EN Official Journal of the European Union L 252/53

REGULATION (EU) 2016/1628 OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL

of 14 September 2016

on requirements relating to gaseous and particulate pollutant emission limits and type-approval for internal combustion engines for non-road mobile machinery, amending Regulations (EU) No 1024/2012 and (EU) No 167/2013, and amending and repealing Directive 97/68/EC

(Text with EEA relevance)

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,

Having regard to the Treaty on the Functioning of the European Union, and in particular Article 114 thereof,

Having regard to the proposal from the European Commission,

After transmission of the draft legislative act to the national parliaments,

Having regard to the opinion of the European Economic and Social Committee (1),

Acting in accordance with the ordinary legislative procedure (2),

Whereas:

(1) The internal market comprises an area without internal frontiers in which the free movement of goods, persons, services and capital has to be ensured. To that end, measures for the reduction of air pollution by engines to be installed in non-road mobile machinery were established by Directive 97/68/EC of the European Parliament and of the Council (3). It is appropriate to pursue efforts in the development and operation of the internal market of the Union.

(2) The internal market should be based on transparent, simple and consistent rules which provide legal certainty and clarity from which businesses and consumers alike can benefit.

(3) A new regulatory approach has been introduced in respect of Union engine type-approval legislation, with the aim of simplifying and accelerating the adoption of such legislation. Pursuant to that approach, the legislator sets out the fundamental rules and principles and empowers the Commission to adopt delegated and implementing acts concerning further technical details. Therefore, with regard to substantive requirements, this Regulation should lay down only essential provisions on the emission of gaseous and particulate pollutants and type-approval for internal combustion engines for non-road mobile machinery, and should empower the Commission to lay down the technical specifications in delegated and implementing acts.

(4) Regulation (EU) No 167/2013 of the European Parliament and of the Council (4) established a regulatory framework for the approval and market surveillance of agricultural and forestry vehicles. Given the similarity of the fields and the positive experience in applying Regulation (EU) No 167/2013, many of the rights and obligations established by that Regulation should be taken into consideration in respect of non-road mobile machinery. However, it is essential that a distinct set of rules be adopted to fully take into account the specific requirements of engines for non-road mobile machinery.

(5) Directive 2006/42/EC of the European Parliament and of the Council (5) lays down the essential health and safety requirements in relation to design and manufacture in order to improve the safety of machinery placed on the market. However, that Directive does not lay down gaseous and particulate pollutant emission requirements for engines for non-road mobile machinery. Certain specific obligations for non-road mobile machinery manufacturers should therefore be laid down in order to ensure that the installation of engines in such machinery is carried out in a manner that does not adversely affect engine performance with regard to gaseous and particulate pollutant emissions. Certain obligations relating to aspects of the emission limits for gaseous and particulate pollutants from engines for non-road mobile machinery are also necessary, in order to ensure the effectiveness of the emission limits for engines laid down in this Regulation.

(6) This Regulation should contain substantive requirements relating to emission limits and EU type-approval procedures for engines for non-road mobile machinery. The main elements of the relevant requirements of this Regulation are based on the results of the impact assessment of 20 November 2013 carried out by the Commission and in which the different options were analysed by listing potential advantages and disadvantages in terms of economic, environmental, safety and societal aspects and in terms of health effects. Both qualitative and quantitative aspects were included in that analysis.

(7) With a view to ensuring the functioning of the internal market, this Regulation should lay down harmonised rules for the EU type-approval of engines for non-road mobile machinery. For that purpose, new emission limits should be established and applied to engines for non-road mobile machinery as well as for agricultural and forestry machinery, to reflect technological progress and to ensure convergence with Union policies in the on-road sector. Those new emission limits should be established with a view to achieving Union air quality targets and reducing the emissions from non-road mobile machinery and agricultural and forestry vehicles, thus decreasing the share of non-road mobile machinery emissions in relation to road vehicle emissions. Accordingly, the scope of Union legislation in this field should be broadened, with a view to improving market harmonisation at Union and international level and minimising the risk of market distortions and adverse health effects.

(8) In addition to broadening the scope of Union legislation in the field of market harmonisation, while minimising the risk of market distortions, this Regulation aims to simplify the current legal framework, including by providing for measures for the simplification of administrative procedures, and to improve the general conditions for enforcement of such legislation, in particular by strengthening the rules on market surveillance.

(9) The Commission White Paper of 28 March 2011, entitled ‘Roadmap to a Single European Transport Area — Towards a competitive and resource efficient transport system’, highlights the particular role to be played by railways and inland waterways in achieving climate targets. Given that the progress of those modes of transport compares unfavourably with that of other sectors in relation to improving air quality, the Commission and Member States' authorities, within their respective remits, should provide different ways of supporting innovation in emission technology so that the continuing increase in the volume of freight shifted to rail and inland waterways goes hand-in-hand with an improvement in air quality in Europe.

(10) The requirements in respect of engines for non-road mobile machinery should follow the principles laid down in the Commission Communication of 5 June 2002 entitled ‘Action plan “Simplifying and improving the regulatory environment”’.

(11) The Seventh General Union Environment Action Programme as adopted by Decision No 1386/2013/EU of the European Parliament and of the Council (6) recalls that the Union has agreed to achieve levels of air quality that do not give rise to significant negative impacts on, and risks to, human health and the environment. Union legislation has established appropriate emission limits for ambient air quality for the protection of human health and sensitive individuals in particular, as well as for national emission ceilings (7). Following its Communication of 4 May 2001, which established the Clean Air for Europe (CAFE) Programme, on 21 September 2005 the Commission adopted another Communication entitled ‘Thematic Strategy on air pollution’. One of the conclusions of that thematic strategy is that further reductions in emissions from the transport sector (air, maritime and land transport), from households and from the energy, agricultural and industrial sectors are needed to achieve Union air quality objectives. In that context, the task of reducing emissions from engines for non-road mobile machinery should be approached as part of an overall strategy. The new emissions limits, referred to as ‘Stage V’, are one of the measures designed to reduce the current in-use emissions of air pollutants, such as particulate pollutants, as well as ozone precursors such as nitrogen oxides (NOx) and hydrocarbons.

(12) On 12 June 2012, the World Health Organisation, through its International Agency for Research on Cancer, reclassified diesel engine exhaust emissions as ‘carcinogenic to humans’ (Group 1), based on sufficient evidence that exposure is associated with an increased risk of lung cancer.

(13) In order to bring about an improvement in the Union's air quality and reach its objectives on air protection in a sustainable manner between now and 2020, and beyond, continuous efforts are required to reduce emissions from various types of engines. For that reason, manufacturers should be provided in advance with clear and comprehensive information on future emission limit values, and should be afforded an appropriate period of time in which to comply with them and pursue the requisite technical developments.

(14) In setting emission limits, it is important to take into account the implications for the competitiveness of markets and manufacturers, the direct and indirect costs imposed on business and the benefits that accrue in terms of stimulating innovation, improving air quality, reducing health costs and increasing life expectancy.

(15) The reduction of emissions from engines in a sustainable manner requires the constant intensification of direct cooperation between manufacturers and related businesses, on the one hand, and well-established scientific research institutions, on the other. Such cooperation plays a significant role in the development of new products and technologies that positively contribute to improving air quality.

(16) Emissions from engines for non-road mobile machinery constitute a significant proportion of the total man-made emissions of certain noxious atmospheric pollutants. Engines responsible for a considerable share of air pollution by NOx and particulate matter should be subject to the new emission limits.

(17) In order to guarantee an optimum level of protection for persons working in the vicinity of machinery, and to keep the cumulative exposure of persons working in the vicinity of several different items of mobile machinery and equipment as low as possible, technology that is currently available should be used to minimise emissions.

(18) The Commission should keep under review emissions which are, as yet, unregulated and which arise as a consequence of the wider use of new fuel formulations, engine technologies and emission control systems. Where necessary, the Commission should submit a proposal to the European Parliament and to the Council with a view to regulating such emissions.

(19) It is necessary to encourage the introduction of alternative fuel engines which can have low NOx and particulate pollutant emissions. Therefore, limit values for total hydrocarbons should be adapted in order to take into account non-methane hydrocarbons and methane emissions.

(20) This Regulation is without prejudice to the entitlement of Member States to lay down, in compliance with the Treaties, such requirements as they may deem necessary to ensure that the public and workers are protected whenever non-road mobile machinery referred to in this Regulation is in use, provided that such requirements do not affect the placing on the market of engines for such machinery.

(21) In order to ensure that emissions of ultrafine particulate pollutants (of size 0,1 μm and below) are regulated, the Commission should be empowered to adopt a number-based approach to emissions of particulate pollutants, in addition to the mass-based approach which is currently used. The number-based approach should draw on the results of the Particulate Measurement Programme of the United Nations Economic Commission for Europe (UNECE) and should be consistent with the existing ambitious objectives for the environment.

(22) In order to achieve those environmental objectives, it is appropriate that the particle number limits laid down in this Regulation are likely to reflect the highest levels of performance currently achieved with particle filters by using the best available technology.

(23) Given the long lifetime of non-road mobile machinery, it is appropriate to consider the retrofitting of engines already in service. Such retrofitting should, in particular, target densely populated urban areas as a means of helping Member States to comply with Union air quality legislation. To ensure a comparable and ambitious level of retrofitting, Member States should take into account the principles of UNECE Regulation No. 132.

(24) Where appropriate and where technologies are interlinked, synergies should be sought between the reduction of gaseous and particulate pollutant emissions from engines for non-road mobile machinery, and emission limits as applied to heavy-duty vehicles. Such action could help to improve economies of scale and improve air quality.

(25) The Commission should adopt worldwide harmonised test cycles in the test procedures that form the basis of EU type-approval emissions regulations. The application of portable emissions measurement systems for monitoring actual in-use emissions should also be considered.

(26) In order to address actual in-use emissions and to prepare the in-service conformity process, a testing methodology for monitoring compliance with emission performance requirements based on the use of portable emission measurement systems should be adopted within an appropriate timeframe.

(27) The proper functioning of the exhaust after-treatment system, specifically in the case of NOx, is essential for complying with the established limits for pollutant emissions. In this context, measures aimed at ensuring the proper operation of exhaust after-treatment systems that rely on the use of any consumable or non-recoverable reagent should be introduced.

(28) Portable fire-fighting pumps are essential in certain emergency situations in which a channelled water supply is unavailable. The installation of exhaust after-treatment systems in engines for such machinery would, however, increase their weight and operating temperatures to the extent that it would become dangerous for the operator and they would be impossible to carry by hand. Portable fire-fighting pumps should, therefore, be excluded from the scope of this Regulation.

(29) Modifications to an engine such as the inactivation of its exhaust after-treatment system, or the increase in its power, could have serious consequences for the engine's emissions performance and durability. Legal persons carrying out such modifications should therefore be responsible for ensuring that the applicable emission limits are respected.

(30) Engines which are covered by, and comply with, the new rules on emission limits and EU type-approval procedures laid down by this Regulation should be permitted to be placed on the market in the Member States. Such engines should not be subject to any other national emission requirements in respect of their being placed on the market. This should be without prejudice to the right of Member States to encourage or restrict the use of engines that have already been placed on the market, provided that the criteria applied are not discriminatory and are objectively justified. Member States granting EU type-approvals should take verification measures in order to ensure that engines produced under EU type-approval procedures can be identified.

(31) Engines for export and for use by the armed forces should not be subject to the emission limits laid down in this Regulation. However, in order to distinguish such engines from engines which are subject to those emission limits, markings should be required in certain cases.

(32) In order to take account of logistic supply constraints and to allow for ‘just in time’ production flow, and to avoid unnecessary costs and administrative burden, a manufacturer should, with the consent of the original equipment manufacturer (‘OEM’), be allowed to deliver an engine separately from its exhaust after-treatment system.

(33) Some non-road mobile machinery operates under conditions of an extreme nature involving risks to life or health, or is subject to very challenging technical requirements. In view of those particular circumstances, and given the relatively small number of engines for such non-road mobile machinery, certain exemptions to the emission limit requirements laid down in this Regulation should be provided for in respect of engines to be used in potentially explosive atmospheres and in lifeboat launch vehicles.

(34) In order to allow for the field-testing activities carried out by manufacturers, which are inherent in the engine development process, the temporary placing on the market of engines that have not been EU type-approved at that stage should be allowed. Exemptions allowing the temporary placing on the market of engines for the purpose of field-testing prototypes should also be permissible.

(35) In order to take account of long term projects in the railway sector requiring heavy investments, an exemption should be provided, in accordance with Directive 2008/57/EC of the European Parliament and of the Council (8), for engines included in projects which were launched before the date of application of this Regulation and which are at an advanced stage of development.

(36) It is essential not to hamper technical innovation as regards the emission performance of engines for non-road mobile machinery with requirements that are not currently provided for by existing administrative procedures for type-approval. It is therefore necessary to provide for certain exemptions and rules in respect of engines that incorporate new technologies or new concepts.

(37) OEMs that produce a limited number of units per year face severe challenges when re-designing their fleet within the standard transition period. Those manufacturers are typically small and medium-sized enterprises (‘SMEs’) that have limited engineering capacity and often obtain information regarding future stage engines later than other OEMs. This is the case, in particular, of agricultural machinery manufacturers producing a limited number of units per year that would face a serious structural challenge when undertaking the transition to Stage V emission limits. It is therefore necessary to provide for specific rules in respect of such cases.

(38) The placing on the market of engines intended to replace engines that are already installed in non-road mobile machinery, and which comply with less stringent emission limits than those laid down in this Regulation, should be permitted in order to allow manufacturers to fulfil their warranty obligations and to ensure sufficient availability of such engines on the market.

(39) According to current estimates, a number of broad gauge line locomotives will need to be replaced between 2016 and 2025. High-power engine locomotives suitable for the 1 520 mm railway network are not available on the Union market. Custom-built solutions would significantly increase the cost of a new locomotive and would deter railway operators from renewing their fleets. The technical and economic constraints of the 1 520 mm railway network should be considered in the EU type-approval procedures. In order to facilitate and speed up the greening of the railway sector in the Member States affected and to promote the use of the best technology currently available on the market, a temporary exemption in respect of certain requirements should be granted for those locomotives on the railway network. Such an exemption could allow the impact of rail traffic on the environment to be reduced.

(40) Cotton production within the Union is limited to very few Member States. Due to the high costs of new cotton harvesting machinery, and in order to avoid placing an additional financial burden on the cotton production sector, which would further threaten its economic viability, operators should be granted access to a wide range of second-hand cotton harvesting machinery. Therefore, Member States should have the possibility of applying, for a limited period of time, national law to engines installed in such machinery.

(41) In relation to market surveillance, this Regulation should impose obligations on national authorities which are more specific than the corresponding obligations laid down in Regulation (EC) No 765/2008 of the European Parliament and of the Council (9).

(42) In order to ensure that the procedure for monitoring conformity of production, which is one of the cornerstones of the EU type-approval system, has been correctly implemented and functions properly, manufacturers should be regularly checked by the appointed competent authority or by an appropriately qualified technical service designated for that purpose.

(43) The Union is a contracting party to the UNECE Agreement concerning the Adoption of Uniform Technical Prescriptions for Wheeled Vehicles, Equipment and Parts which can be fitted to and/or used on Wheeled Vehicles and the Conditions for Reciprocal Recognition of Approvals Granted on the Basis of these Prescriptions (‘Revised 1958 Agreement’). As a consequence, approvals granted under UNECE regulations, and the amendments thereto, which the Union has voted in favour of or to which the Union has acceded, in application of Council Decision 97/836/EC (10), should be recognised as equivalent to EU type-approvals granted under this Regulation. Accordingly, in order to ensure consistency and alignment between Union and UNECE legislation, the Commission should be empowered to adopt delegated acts in order to determine which UNECE regulations are to apply to EU type-approvals.

(44) In order to supplement this Regulation with further technical details, the power to adopt acts in accordance with Article 290 of the Treaty on the Functioning of the European Union should be delegated to the Commission in respect of the monitoring of in-service emission performance, technical tests and measurement procedures, conformity of production, separate delivery of engine exhaust after-treatment systems, engines for field-testing, engines for use in explosive atmospheres, equivalence of engine EU type-approvals, information for OEMs and end-users, and standards and assessment of technical services. It is of particular importance that the Commission carry out appropriate consultations during its preparatory work, including at expert level, and that those consultations be conducted in accordance with the principles laid down in the Interinstitutional Agreement of 13 April 2016 on Better Law-Making (11). In particular, to ensure equal participation in the preparation of delegated acts, the European Parliament and Council receive all documents at the same time as Member States' experts, and their experts systematically have access to meetings of Commission expert groups dealing with the preparation of delegated acts.

(45) In order to ensure uniform conditions for the implementation of this Regulation, implementing powers should be conferred on the Commission. Those powers should be exercised in accordance with Regulation (EU) No 182/2011 of the European Parliament and of the Council (12).

(46) Member States should lay down rules on penalties applicable to infringements of this Regulation and ensure that they are implemented. Those penalties should be effective, proportionate and dissuasive.

(47) With a view to taking into account on-going technical progress and the latest findings in the fields of research and innovation, the further pollutant emission reduction potential of engines already installed in non-road mobile machinery should be identified. The focus of such assessment should be on the engine categories that fall for the first time within the scope of this Regulation, and on those in respect of which emission limit values remain unaltered under this Regulation.

(48) The specific limit values, test procedures and requirements for pollutant emissions laid down in this Regulation should also apply to engines for agricultural and forestry tractors covered by Regulation (EU) No 167/2013. Given the combined effect of the Stage IV postponement for agricultural tractors of categories T2, T4.1 and C2 and the Stage V application dates, Stage IV would, in respect of the power range 56-130 kW, have a very short duration. In order to avoid inefficiencies and an unnecessary burden, the Stage IV compulsory EU type-approval date should be delayed by one year and the flexibility quantity increased appropriately. Furthermore, the transition clauses in this Regulation in respect of the Stage V application requirements should also apply to Stage III B engines. Regulation (EU) No 167/2013 and Commission Delegated Regulation (EU) 2015/96 (13) should, therefore, be amended accordingly.

(49) In the interests of clarity, predictability, rationality and simplification, and in order to reduce the burden on engine and non-road mobile machinery manufacturers, this Regulation should only contain a limited number of implementation stages for the introduction of new emission levels and EU type-approval procedures. The timely definition of requirements is essential for ensuring sufficient lead-time for manufacturers to develop, test and implement technical solutions for engines produced in series, and for manufacturers and approval authorities to put in place the necessary administrative systems.

(50) Directive 97/68/EC has been substantially amended several times. In the interests of clarity predictability, rationality and simplification, that Directive should be repealed and replaced by a regulation and a limited number of delegated and implementing acts. The adoption of a regulation ensures that its provisions are directly applicable, in particular, to manufacturers, approval authorities and technical services, and that they can be amended much more quickly and efficiently to take better account of technical progress.

(51) Directive 97/68/EC should therefore be repealed with effect from a date which would allow industry sufficient time to adapt to this Regulation and to the technical specifications and administrative provisions to be laid down in the delegated and implementing acts adopted pursuant thereto.

(52) Directive 97/68/EC does not provide a derogation for engines for non-road mobile machinery to be used in potentially explosive atmospheres. In order to take account of the strict technical requirements that are essential for the operational safety of such engines, Directive 97/68/EC should be amended in order to allow derogations for such engines to be applied until that Directive is repealed.

(53) The exchange of data and information related to EU type-approvals needs to be improved so that this Regulation can be applied effectively and swiftly. Therefore, the national authorities should be required to cooperate efficiently with each other and with the Commission, and to exchange data and information relating to EU type-approvals by means of the Internal Market Information System (‘IMI’) established by Regulation (EU) No 1024/2012 of the European Parliament and of the Council (14). In order to facilitate the implementation of this Regulation, a module of IMI specifically customised for non-road mobile machinery should be established. It should also be possible for manufacturers and technical services to use IMI for the exchange of data and information on engines for non-road mobile machinery.

(54) Since the objectives of this Regulation, namely to lay down harmonised rules on the administrative and technical requirements relating to emission limits and EU type-approval procedures for engines for non-road mobile machinery, cannot be sufficiently achieved by the Member States, but can rather, by reason of their scale and effects, be better achieved at Union level, the Union may adopt measures in accordance with the principle of subsidiarity as set out in Article 5 of the Treaty on European Union. In accordance with the principle of proportionality as set out in that Article, this Regulation does not go beyond what is necessary in order to achieve those objectives,

HAVE ADOPTED THIS REGULATION:

CHAPTER I

SUBJECT MATTER, SCOPE AND DEFINITIONS

Article 1

Subject matter

1. This Regulation establishes for all engines referred to in Article 2(1) emission limits for gaseous and particulate pollutants as well as the administrative and technical requirements relating to EU type-approval.

This Regulation also lays down certain obligations in relation to non-road mobile machinery in which an engine as referred to in Article 2(1) is being, or has been, installed, as regards the emission limits for gaseous and particulate pollutants from such engines.

2. This Regulation also establishes the requirements for the market surveillance of engines referred to in Article 2(1) which are installed in or are intended to be installed in non-road mobile machinery and which are subject to EU type-approval.

Article 2

Scope

1. This Regulation applies to all engines falling within the categories set out in Article 4(1) which are installed in or are intended to be installed in non-road mobile machinery and, insofar as the emission limits for gaseous and particulate pollutants from those engines are concerned, to such non-road mobile machinery.

2. This Regulation does not apply to engines for:

(a) the propulsion of vehicles referred to in Article 2(1) of Directive 2007/46/EC of the European Parliament and of the Council (15);

(b) the propulsion of agricultural and forestry tractors as defined in point (8) of Article 3 of Regulation (EU) No 167/2013;

(c) the propulsion of vehicles referred to in Article 2(1) of Regulation (EU) No 168/2013 of the European Parliament and of the Council (16);

(d) stationary machinery;

(e) sea-going vessels requiring a valid maritime navigation or safety certificate;

(f) craft as defined in Directive (EU) 2016/1629 of the European Parliament and of the Council (17) and not falling within its scope;

(g) the propulsion or auxiliary purposes of inland waterway vessels of a net power of less than 19 kW;

(h) watercraft as defined in point (1) of Article 3 of Directive 2013/53/EU of the European Parliament and of the Council (18);

(i) aircraft as defined in point (a) of Article 2 of Commission Regulation (EU) No 1321/2014 (19);

(j) recreational vehicles, except snowmobiles, all-terrain vehicles and side-by-side vehicles;

(k) vehicles and machinery exclusively used or intended to be exclusively used in competitions;

(l) portable fire-fighting pumps as defined and covered by the European standard on portable fire-fighting pumps (20);

(m) reduced-scale models or reduced-scale replicas of vehicles or machinery manufactured, for recreational purposes, to a smaller scale than the original and having a net power of less than 19 kW.

Article 3

Definitions

For the purposes of this Regulation, the following definitions apply:

(1) ‘non-road mobile machinery’ means any mobile machine, transportable equipment or vehicle with or without bodywork or wheels, not intended for the transport of passengers or goods on roads, and includes machinery installed on the chassis of vehicles intended for the transport of passengers or goods on roads;

(2) ‘EU type-approval’ means the procedure whereby an approval authority certifies that an engine type or engine family satisfies the relevant administrative provisions and technical requirements of this Regulation;

(3) ‘gaseous pollutants’ means the following pollutants in their gaseous state emitted by an engine: carbon monoxide (CO), total hydrocarbons (HC) and oxides of nitrogen (NOx); NOx being nitric oxide (NO) and nitrogen dioxide (NO2), expressed as NO2 equivalent;

(4) ‘particulate matter’ or ‘PM’ means the mass of any material in the gas emitted by an engine that is collected on a specified filter medium after diluting the gas with clean filtered air so that the temperature does not exceed 325 K (52 °C);

(5) ‘particle number’ or ‘PN’ means the number of solid particles emitted by an engine with a diameter greater than 23 nm;

(6) ‘particulate pollutants’ means any matter emitted by an engine that is measured as PM or PN;

(7) ‘internal combustion engine’ or ‘engine’ means an energy converter, other than a gas turbine, designed to transform chemical energy (input) into mechanical energy (output) with an internal combustion process; it includes, where they have been installed, the emission control system and the communication interface (hardware and messages) between the engine's electronic control unit(s) and any other powertrain or non-road mobile machinery control unit necessary to comply with Chapters II and III;

(8) ‘engine type’ means a group of engines which do not differ in essential engine characteristics;

(9) ‘engine family’ means a manufacturer's grouping of engine types which, through their design, have similar exhaust emission characteristics, and respect the applicable emission limit values;

(10) ‘parent engine’ means an engine type selected from an engine family in such a way that its emissions characteristics are representative of that engine family;

(11) ‘replacement engine’ means an engine that: (a) is exclusively used to replace an engine already placed on the market and installed in non-road mobile machinery; and (b) complies with an emission stage which is lower than that applicable on the date of the engine's replacement;

(12) ‘in-service engine’ means an engine that is operated in non-road mobile machinery over its normal operating patterns, conditions and payloads, and is used to perform the emission monitoring tests as referred to in Article 19;

(13) ‘CI engine’ means an engine that works on the compression-ignition (‘CI’) principle;

(14) ‘SI engine’ means an engine that works on the spark-ignition (‘SI’) principle;

(15) ‘hand-held SI engine’ means an SI engine having a reference power of less than 19 kW, and used in a piece of equipment that meets at least one of the following conditions: (a) it is carried by the operator throughout the performance of its intended function(s); (b) it operates multi-positionally, such as upside down or sideways, to perform its intended function(s); (c) its dry weight, including engine, is less than 20 kg, and it meets at least one of the following conditions: (i) its operator provides physical support for or, alternatively, carries the equipment throughout the performance of its intended function(s); (ii) its operator provides physical support or attitudinal control for the equipment throughout the performance of its intended function(s); (iii) it is used in a generator or a pump;

(16) ‘liquid fuel’ means a fuel which exists in the liquid state at standard ambient conditions (298 K, absolute ambient pressure 101,3 kPa);

(17) ‘gaseous fuel’ means any fuel which is wholly gaseous at standard ambient conditions (298 K, absolute ambient pressure 101,3 kPa);

(18) ‘dual-fuel engine’ means an engine that is designed to simultaneously operate with a liquid fuel and a gaseous fuel, both fuels being metered separately, the consumed amount of one of the fuels relative to the other one being able to vary depending on the operation;

(19) ‘single-fuel engine’ means an engine that is not a dual-fuel engine;

(20) ‘GER’ (Gas Energy Ratio) means, in the case of a dual-fuel engine, the ratio of the energy content of the gaseous fuel over the energy content of both fuels; in the case of a single-fuel engine, GER is defined as being either 1 or 0 according to the type of fuel;

(21) ‘constant-speed engine’ means an engine the EU type-approval of which is limited to constant-speed operation, excluding engines the constant-speed governor function of which is removed or disabled; it may be provided with an idle speed that can be used during start-up or shut-down and it may be equipped with a governor that can be set to an alternative speed when the engine is stopped;

(22) ‘variable-speed engine’ means an engine that is not a constant-speed engine;

(23) ‘constant-speed operation’ means an engine operation with a governor that automatically controls the operator demand to maintain engine speed, even under changing load;

(24) ‘auxiliary engine’ means an engine installed or intended to be installed in non-road mobile machinery that does not directly or indirectly provide propulsion;

(25) ‘net power’ means the engine power in kW obtained on a test bench at the end of the crankshaft, or its equivalent, measured in accordance with the method of measuring the power of internal combustion engines specified in UNECE Regulation No. 120 using a reference fuel or fuel combination set out in Article 25(2);

(26) ‘reference power’ means the net power that is used to determine the applicable emission limit values for the engine;

(27) ‘rated net power’ means the net power in kW as declared by the manufacturer of an engine at rated speed;

(28) ‘maximum net power’ means the highest value of the net power on the nominal full-load power curve for the engine type;

(29) ‘rated speed’ means the maximum full load speed allowed by an engine's governor, as designed by the manufacturer, or, if a governor is not present, the speed at which the maximum net power is attained by the engine, as specified by the manufacturer;

(30) ‘engine production date’ means the date, expressed as the month and year, on which the engine passes the final check, after it has left the production line, and is ready to be delivered or to be put into stock;

(31) ‘transition period’ means the first 24 months following the dates set out in Annex III for the placing on the market of Stage V engines;

(32) ‘transition engine’ means an engine that has an engine production date that is prior to the date set out in Annex III for the placing on the market of Stage V engines and that: (a) complies with the latest applicable emission limits defined in the relevant legislation applicable on 5 October 2016; or (b) falls within a power range, or is used or intended for use in an application, that was not subject to pollutant emission limits and type-approval at Union level on 5 October 2016;

(33) ‘non-road mobile machine production date’ means the month and year indicated on the statutory marking of the machine or, in the absence of a statutory marking, the month and year in which it passes the final check after it has left the production line;

(34) ‘inland waterway vessel’ means a craft falling within the scope of Directive (EU) 2016/1629;

(35) ‘generating set’ means an independent non-road mobile machine that is not part of a power train, primarily intended to produce electric power;

(36) ‘stationary machinery’ means machinery that is intended to be permanently installed in one location for its first use and is not intended to be moved, by road or otherwise, except during shipment from the place of manufacture to the place of first installation;

(37) ‘permanently installed’ means bolted, or otherwise effectively fixed so that it cannot be removed without the use of tools or equipment, to a foundation or an alternative constraint intended to cause the engine to operate in one single location in a building, structure, facility or installation;

(38) ‘snowmobile’ means a self-propelled machine that is intended for off-road travel primarily on snow, is driven by tracks in contact with snow and steered by a ski or skis in contact with the snow, and has a maximum unladen mass, in running order, of 454 kg (including standard equipment, coolant, lubricants, fuel and tools but excluding optional accessories and the driver);

(39) ‘all-terrain vehicle’ or ‘ATV’ means a motorised vehicle, propelled by an engine, intended primarily to travel on unpaved surfaces on four or more wheels with low-pressure tyres, having a seat designed to be straddled by the driver only, or a seat designed to be straddled by the driver and a seat for no more than one passenger, and handlebars for steering;

(40) ‘side-by-side vehicle’ or ‘SbS’ means a self-propelled, operator-controlled, non-articulated vehicle intended primarily to travel on unpaved surfaces on four or more wheels, having a minimum unladen mass, in running order, of 300 kg (including standard equipment, coolant, lubricants, fuel and tools but excluding optional accessories and the driver) and a maximum design speed of 25 km/h or more; such a vehicle is also designed to transport persons and/or goods, and/or to pull and push equipment, is steered by a control other than a handlebar, is designed for recreational or utility purposes and carries no more than six people including the driver, sitting side by side on one or more non-straddle seats;

(41) ‘railway vehicle’ means non-road mobile machinery that operates exclusively on railway tracks;

(42) ‘locomotive’ means a railway vehicle designed to provide, either directly through its own wheels or indirectly through the wheels of other railway vehicles, the motive power for propelling itself and for propelling other railway vehicles that are designed to carry freight, passengers and other equipment, itself being designed or intended not to carry freight or passengers, other than those operating it;

(43) ‘railcar’ means a railway vehicle designed to provide, either directly through its own wheels or indirectly through the wheels of other railway vehicles, the motive power for propelling itself, and is specifically designed to carry goods or passengers, or both goods and passengers, and is not a locomotive;

(44) ‘auxiliary railway vehicle’ means a railway vehicle that is not a railcar or locomotive, including but not limited to a railway vehicle specifically designed to perform maintenance or construction work or lifting operations associated with the track or other infrastructure of the railway;

(45) ‘mobile crane’ means a self-powered jib crane capable of travelling on-road or off-road or both, and relying on gravity for stability and operating on tyres, crawlers or with other mobile arrangements;

(46) ‘snow thrower’ means a self-powered machine that is exclusively designed for clearing snow from a paved surface by collecting a quantity of snow and projecting it forcefully through a chute;

(47) ‘making available on the market’ means any supply of an engine or non-road mobile machinery for distribution or use on the Union market in the course of a commercial activity, whether in return for payment or free of charge;

(48) ‘placing on the market’ means the first making available on the Union market of an engine or non-road mobile machinery;

(49) ‘manufacturer’ means any natural or legal person who is responsible to the approval authority for all aspects of the engine EU type-approval or authorisation process and for ensuring conformity of engine production, and who is also responsible for market surveillance concerns for the engines produced, whether or not they are directly involved in all stages of the design and construction of the engine which is the subject of the EU type-approval process;

(50) ‘manufacturer's representative’ or ‘representative’ means any natural or legal person established in the Union whom the manufacturer duly appoints by a written mandate to represent it in matters concerning the approval authority or the market surveillance authority and to act on its behalf in matters covered by this Regulation;

(51) ‘importer’ means any natural or legal person established in the Union who places on the market an engine from a third country, whether or not the engine is already installed in non-road mobile machinery;

(52) ‘distributor’ means any natural or legal person in the supply chain, other than the manufacturer or the importer, who makes an engine available on the market;

(53) ‘economic operator’ means the manufacturer, the manufacturer's representative, the importer or the distributor;

(54) ‘original equipment manufacturer’ or ‘OEM’ means any natural or legal person that manufactures non-road mobile machinery;

(55) ‘approval authority’ means the authority of a Member State established or appointed by a Member State and notified by it to the Commission and which has competence for: (a) all aspects of the EU type-approval of an engine type or of an engine family; (b) the authorisation process; (c) granting and, where appropriate, withdrawing or refusing EU type-approval, and issuing EU type-approval certificates; (d) acting as the contact point for the approval authorities of other Member States; (e) designating the technical services; and (f) ensuring that the manufacturer meets its obligations regarding conformity of production;

(56) ‘technical service’ means an organisation or body designated by the approval authority as a testing laboratory to carry out tests, or as a conformity assessment body to carry out the initial assessment and other tests or inspections, on behalf of the approval authority, or the authority itself when carrying out those functions;

(57) ‘market surveillance’ means the activities carried out and the measures taken by national authorities to ensure that engines made available on the market comply with the relevant Union harmonisation legislation;

(58) ‘market surveillance authority’ means an authority of a Member State that is responsible for carrying out market surveillance in its territory;

(59) ‘national authority’ means an approval authority or any other authority involved in and responsible for, in respect of engines to be installed in non-road mobile machinery or of non-road mobile machinery in which engines are installed, market surveillance, border control or the placing on the market in a Member State;

(60) ‘end-user’ means any natural or legal person, other than the manufacturer, OEM, importer or distributor, that is responsible for operating the engine installed in non-road mobile machinery;

(61) ‘emission control strategy’ means an element or a set of design elements incorporated into the overall design of an engine, or into non-road mobile machinery in which an engine is installed, and used in controlling emissions;

(62) ‘emission control system’ means any device, system or element of design that controls or reduces emissions;

(63) ‘defeat strategy’ means an emission control strategy that reduces the effectiveness of the emission control system under ambient or engine operating conditions encountered either during normal machine operation or outside the EU type-approval test procedures;

(64) ‘electronic control unit’ means an engine's electronic device that is part of the emission control system and uses data from engine sensors to control engine parameters;

(65) ‘exhaust gas recirculation’ or ‘EGR’ means a technical device that is part of the emission control system and reduces emissions by routing exhaust gases that have been expelled from the combustion chamber(s) back into the engine to be mixed with incoming air before or during combustion, except for the use of valve timing to increase the amount of residual exhaust gas in the combustion chamber(s) that is mixed with incoming air before or during combustion;

(66) ‘exhaust after-treatment system’ means a catalyst, particulate filter, deNOx system, combined deNOx particulate filter or any other emission-reducing device, with the exception of exhaust gas recirculation and turbochargers, that is part of the emission control system but is installed downstream of the engine exhaust ports;

(67) ‘tampering’ means inactivation, adjustment or modification of the emission control system, including any software or other logical control elements of such a system, that has the effect, whether intended or not, of worsening the emissions performance of the engine;

(68) ‘test cycle’ means a sequence of test points, each with a defined speed and torque, to be followed by the engine when being tested under steady state or transient operating conditions;

(69) ‘steady-state test cycle’ means a test cycle in which engine speed and torque are held at a finite set of nominally constant values; steady-state tests are either discrete mode tests or ramped-modal tests;

(70) ‘transient test cycle’ means a test cycle with a sequence of normalised speed and torque values that vary on a second-by-second basis with time;

(71) ‘crankcase’ means the enclosed spaces in, or external to, an engine which are connected to the oil sump by internal or external ducts through which gases and vapours can be emitted;

(72) ‘regeneration’ means an event during which emissions levels change while the exhaust after-treatment system's performance is being restored by design and which can be classified as continuous regeneration or infrequent (periodic) regeneration;

(73) ‘emission durability period’ or ‘EDP’ means the number of hours or, where applicable, the distance used to determine the deterioration factors;

(74) ‘deterioration factors’ means the set of factors that indicate the relationship between emissions at the start and end of the emission durability period;

(75) ‘virtual testing’ means computer simulations, including calculations, undertaken to demonstrate the level of performance of an engine as an aid to decision-making without requiring the use of a physical engine.

Article 4

Engine categories

1. For the purposes of this Regulation, the following engine categories, divided into the sub-categories set out in Annex I, apply:

(1) ‘category NRE’:

(a) engines for non-road mobile machinery intended and suited to move, or to be moved, by road or otherwise, that are not excluded under Article 2(2) and are not included in any other category set out in points (2) to (10) of this paragraph;

(b) engines having a reference power of less than 560 kW used in the place of Stage V engines of categories IWP, IWA, RLL or RLR;

(2) ‘category NRG’: engines having a reference power that is greater than 560 kW, exclusively for use in generating sets; engines for generating sets other than those having those characteristics are included in the categories NRE or NRS, according to their characteristics;

(3) ‘category NRSh’: hand-held SI engines having a reference power that is less than 19 kW, exclusively for use in hand-held machinery;

(4) ‘category NRS’: SI engines having a reference power that is less than 56 kW and not included in category NRSh;

(5) ‘category IWP’:

(a) engines exclusively for use in inland waterway vessels, for their direct or indirect propulsion, or intended for their direct or indirect propulsion, having a reference power that is greater than or equal to 19 kW;

(b) engines used in place of engines of category IWA provided that they comply with Article 24(8);

(6) ‘category IWA’: auxiliary engines exclusively for use in inland waterway vessels and having a reference power that is greater than or equal to 19 kW;

(7) ‘category RLL’: engines exclusively for use in locomotives, for their propulsion or intended for their propulsion;

(8) ‘category RLR’:

(a) engines exclusively for use in railcars, for their propulsion or intended for their propulsion;

(b) engines used in the place of Stage V engines of category RLL;

(9) ‘category SMB’: SI engines exclusively for use in snowmobiles; engines for snowmobiles other than SI engines are included in the category NRE;

(10) ‘category ATS’: SI engines exclusively for use in ATVs and SbS; engines for ATVs and SbS other than SI engines are included in the category NRE.

2. A variable-speed engine of a particular category may be used in the place of a constant-speed engine of the same category.

Variable-speed engines of category IWP used for constant-speed operation shall additionally comply with Article 24(7) or Article 24(8), as applicable.

3. Engines for auxiliary railway vehicles and auxiliary engines for railcars and locomotives are included in the categories NRE or NRS, according to their characteristics.

CHAPTER II

GENERAL OBLIGATIONS

Article 5

Obligations of Member States

1. Member States shall establish or appoint approval authorities and market surveillance authorities in accordance with this Regulation.

2. Member States shall notify the Commission of the establishment and appointment of the approval and market surveillance authorities referred to in paragraph 1, including their names, postal and electronic addresses and areas of responsibility. The Commission shall publish a list and details of the approval authorities on its website.

3. Member States shall only permit the placing on the market of:

(a) engines that are covered by a valid EU type-approval granted in accordance with this Regulation, regardless of whether they are already installed in non-road mobile machinery; and

(b) non-road mobile machinery in which engines as referred to in point (a) are installed.

4. Member States shall not prohibit, restrict or impede the placing on the market of:

(a) engines on grounds relating to aspects of their construction and functioning covered by this Regulation, where those engines satisfy its requirements;

(b) non-road mobile machinery on grounds relating to gaseous and particulate pollutant emissions from engines installed in such machinery, where those engines fall within the scope of this Regulation and satisfy its requirements.

5. Member States shall organise and carry out market surveillance and the control of engines on the market in accordance with Chapter III of Regulation (EC) No 765/2008.

Article 6

Obligations of approval authorities

1. Approval authorities shall ensure that manufacturers applying for EU type-approval comply with this Regulation.

2. Approval authorities shall only grant EU type-approval to engine types or engine families that comply with this Regulation.

3. Approval authorities shall make public, by means of IMI, a register of all engine types and engine families for which EU type-approvals have been granted, extended or withdrawn, or in respect of which an application for EU type-approval has been rejected.

That register shall contain at least the following information:

(a) name and address of the manufacturer and name of the company, if different;

(b) trade name(s) or trade mark(s), as appropriate, belonging to the manufacturer;

(c) designation of the engine types covered by the EU type-approval of the engine type or, where applicable, by the EU type-approval of the engine family;

(d) engine category;

(e) number of the EU type-approval, including the number of any extensions;

(f) date of granting, extension, refusal or withdrawal of the EU type-approval; and

(g) the content of the sections ‘General engine information’ and ‘Final emission result’ of the test report referred to in Article 24(12).

Article 7

Obligations of market surveillance authorities

1. Market surveillance authorities shall perform documentary checks and, where appropriate, physical and laboratory checks of engines, on an adequate scale and on the basis of adequate samples. When doing so, they shall take account of established principles of risk assessment, of any complaints and of any other relevant information.

2. Market surveillance authorities may require economic operators to make such documentation and information available as is deemed necessary for the purpose of carrying out the authorities' activities.

Article 8

General obligations of manufacturers

1. Manufacturers shall ensure that when their engines are placed on the market they are manufactured and approved in accordance with this Regulation.

2. Where manufacturers modify an engine which is subject to EU type-approval in such a manner that it subsequently qualifies to belong to a different category or sub-category, they shall be responsible for ensuring that the engine complies with the requirements applicable to that category or sub-category.

Where a legal person modifies an engine in such a way that it no longer complies with the emission limits applicable to it according to its category or sub-category, that person shall be considered to be responsible for re-establishing compliance with those emission limits.

3. Manufacturers shall be responsible to the approval authority for all aspects of the EU type-approval process and for ensuring conformity of production, regardless of whether they are directly involved in all stages of the construction of an engine.

4. Manufacturers shall ensure that procedures are in place for series production to remain in conformity with the approved type and for monitoring emissions of in-service engines in accordance with Article 19.

Changes in the design or characteristics of an engine type and changes in the requirements with which an engine type is declared to be in conformity shall be taken into account in accordance with Chapter VI.

5. In addition to the statutory marking referred to in Article 32, manufacturers shall indicate, on the engines they have manufactured and place on the market or, where that is not possible, in a document accompanying the engine, their name, registered trade name or registered trade mark and the address in the Union at which they can be contacted.

6. Upon reasoned request, manufacturers shall provide the OEM with a duplicate of the statutory marking referred to in Article 15(4).

7. Manufacturers shall ensure that, while they are responsible for an engine, storage or transport conditions do not jeopardise its compliance with this Chapter and Chapter III.

8. Manufacturers shall keep the EU type-approval certificate with its attachments as referred to in Article 23(1) and, where applicable, a copy of the statement of conformity referred to in Article 31 at the disposal of the approval authorities for a period of 10 years after the placing on the market of an engine.

9. Manufacturers shall provide national authorities, upon reasoned request and via the approval authority, with a copy of the EU type-approval certificate for an engine. That copy shall be in a language which can be easily understood by the requesting national authority.

10. For the purpose of EU type-approval of engines, manufacturers established outside the Union shall appoint a single representative established within the Union to represent them in their dealings with the approval authority.

11. For the purpose of market surveillance, manufacturers established outside the Union shall appoint a single representative established within the Union, which may be the representative referred to in paragraph 10.

Article 9

Obligations of manufacturers concerning engines that are not in conformity

1. A manufacturer who has reason to believe or considers that one of its engines placed on the market is not in conformity with this Regulation shall immediately conduct an investigation into the nature of the suspected non-conformity and the likely extent of its occurrence.

Based on the outcome of the investigation, the manufacturer shall take corrective measures to ensure that engines in production are brought into conformity with the approved engine type or engine family in a timely manner.

The manufacturer shall immediately inform the approval authority that granted the EU type-approval of the investigation, giving details, in particular, of the non-conformity and of any corrective measures taken.

2. Notwithstanding paragraph 1, a manufacturer shall not be required to take corrective measures in respect of an engine which is not in conformity with this Regulation as a result of modifications made after it has been placed on the market and that were not authorised by the manufacturer.

Article 10

Obligations of manufacturers' representatives for market surveillance

As a minimum, manufacturers' representatives for market surveillance shall perform the following tasks, which shall be specified in the written mandate received from the manufacturer:

(a) ensure that the EU type-approval certificate with its attachments as referred to in Article 23(1) and, where applicable, a copy of the statement of conformity referred to in Article 31 can be made available to the approval authorities for a period of ten years following the placing on the market of an engine;

(b) provide the approval authority, upon reasoned request, with all the information and documentation necessary to demonstrate the conformity of production of an engine;

(c) cooperate with the approval and market surveillance authorities, at their request, in respect of any action taken under the mandate.

Article 11

General obligations of importers

1. Importers shall place on the market only compliant engines which have received EU type-approval.

2. Before placing on the market an EU type-approved engine, importers shall ensure that:

(a) the EU type-approval certificate with its attachments as referred to in Article 23(1) is available;

(b) the engine bears the statutory marking referred to in Article 32;

(c) the engine complies with Article 8(5).

3. For a period of ten years following the placing on the market of the engine, importers shall keep, where applicable, a copy of the statement of conformity referred to in Article 31 at the disposal of the approval and market surveillance authorities, and shall ensure that the EU type-approval certificate with its attachments as referred to in Article 23(1) can be made available to those authorities, upon request.

4. Importers shall indicate, on the engine or, where that is not possible, in a document accompanying the engine, their name, registered trade name or registered trade mark and the address at which they can be contacted.

5. Importers shall ensure that the engine is accompanied by the information and instructions referred to in Article 43.

6. Importers shall ensure that while they are responsible for an engine, storage or transport conditions do not jeopardise its compliance with this Chapter or Chapter III.

7. Importers shall provide a requesting national authority, upon reasoned request, with all the information and documentation necessary to demonstrate the conformity of an engine. That information and documentation shall be in a language which can be easily understood by the requesting national authority.

Article 12

Obligations of importers concerning engines that are not in conformity

1. An importer that has reason to believe or considers that an engine is not in conformity with this Regulation, and in particular that it does not correspond to its EU type-approval, shall not place the engine on the market until it has been brought into conformity.

The importer shall inform, without undue delay, the manufacturer and the market surveillance authorities, as well as the approval authority that granted the EU type-approval, thereof.

2. An importer that has reason to believe or considers that an engine which it has placed on the market is not in conformity with this Regulation shall immediately conduct an investigation into the nature of the suspected non-conformity and the likely extent of its occurrence.

Based upon the outcome of the investigation, the importer shall take corrective measures and inform the manufacturer thereof to ensure that engines in production are brought into conformity with the approved engine type or engine family in a timely manner.

Article 13

General obligations of distributors

1. When making an engine available on the market, distributors shall act with due care with regard to the requirements of this Regulation.

2. Before making an engine available on the market, distributors shall verify that:

(a) the manufacturer has complied with Article 8(5);

(b) where applicable, the importer has complied with Article 11(2) and (4);

(c) the engine bears the statutory marking referred to in Article 32;

(d) the information and instructions referred to in Article 43 are available in a language that can be easily understood by the OEM.

3. Distributors shall ensure that while they are responsible for an engine, storage or transport conditions do not jeopardise its compliance with this Chapter or Chapter III.

4. Distributors shall, upon reasoned request, ensure that the manufacturer provides the requesting national authority with the documentation specified in Article 8(8), or that the importer provides the requesting national authority with the documentation specified in Article 11(3).

Article 14

Obligations of distributors concerning engines that are not in conformity

1. Where a distributor has reason to believe or considers that an engine is not in conformity with this Regulation, it shall not make the engine available on the market until it has been brought into conformity.

2. The distributor shall inform the manufacturer or the manufacturer's representative if it has reason to believe or considers that an engine which it has made available on the market is not in conformity with this Regulation, to ensure that the corrective measures necessary to bring the engines in production into conformity with the approved engine type or engine family are taken in accordance with Article 9 or 12.

Article 15

Obligations of OEMs concerning the installation of engines

1. OEMs shall install EU type-approved engines in non-road mobile machinery in accordance with the instructions provided by the manufacturer pursuant to Article 43(2), and in a manner that does not adversely affect the engine's performance with regard to its gaseous and particulate pollutant emissions.

2. Where an OEM does not follow the instructions referred to in paragraph 1 of this Article, or modifies an engine in the course of its installation in non-road mobile machinery in a manner that adversely affects the engine's performance with regard to its gaseous and particulate pollutant emissions, that OEM shall be considered to be a manufacturer for the purposes of this Regulation and shall, in particular, be subject to the obligations laid down in Articles 8 and 9.

3. OEMs shall install EU type-approved engines in non-road mobile machinery only in accordance with the kinds of exclusive use provided for in Article 4.

4. Where the statutory marking of the engine referred to in Article 32 is not visible without removing parts, the OEM shall affix to the non-road mobile machinery, in a visible manner, a duplicate of the marking as referred to in that Article and in the relevant implementing act, provided by the manufacturer.

5. Where non-road mobile machinery with an installed transition engine is placed on the market in accordance with Article 58(5), OEMs shall indicate the non-road mobile machine production date as part of the marking on the machine.

6. Where a manufacturer delivers to an OEM an engine separately from its exhaust after-treatment system in accordance with Article 34(3), the OEM shall, where applicable, provide the manufacturer with information relating to the assembly of the engine and its exhaust after-treatment system.

Article 16

Application of manufacturers' obligations to importers and distributors

An importer or distributor that makes an engine available on the market under its name or trade mark, or that modifies such an engine in such a way that its compliance with the applicable requirements may be affected, shall be considered to be a manufacturer for the purposes of this Regulation and shall, in particular, be subject to the obligations laid down in Articles 8 and 9.

Article 17

Notification obligation for economic operators and OEMs

Economic operators and OEMs shall, upon request, notify the approval and market surveillance authorities of the following, for a period of five years from the date of placing on the market:

(a) any economic operator who has supplied them with an engine;

(b) any economic operator or, where identifiable, any OEM to whom they have supplied an engine.

CHAPTER III

SUBSTANTIVE REQUIREMENTS

Article 18

Exhaust emission requirements for EU type-approval

1. Manufacturers shall ensure that engine types and engine families are designed, constructed and assembled so as to comply with the requirements laid down in Chapter II and this Chapter.

2. As from the dates for the placing on the market of the engines set out in Annex III, engine types and engine families shall not exceed the exhaust emission limit values referred to as Stage V and set out in Annex II.

Where, in accordance with the parameters defining the engine family laid down in the relevant implementing act, one engine family covers more than one power range, the parent engine (for the purposes of the EU type-approval) and all engine types within the same family (for the purposes of conformity of production) shall, with respect to the applicable power ranges:

(a) meet the most stringent emission limit values;

(b) be tested using the test cycles that correspond to the most stringent emission limit values;

(c) be subject to the earliest applicable dates for the EU type-approval and placing on the market set out in Annex III.

3. The exhaust emissions of engine types and engine families shall be measured on the basis of the test cycles set out in Article 24 and in accordance with Article 25.

4. Engine types and engine families shall be designed and fitted with emission control strategies in such a way as to prevent tampering to the extent possible. The use of defeat strategies shall be prohibited.

5. The Commission shall adopt implementing acts laying down the details for the parameters to be used for the definition of engine types and engine families, including their operation modes, and the technical details for the prevention of tampering as referred to in paragraph 4 of this Article. Those implementing acts shall be adopted, by 31 December 2016, in accordance with the examination procedure referred to in Article 56(2).

Article 19

Monitoring of emissions of in-service engines

1. The gaseous pollutant emissions from engines belonging to engine types or engine families of emission Stage V that have been type-approved in accordance with this Regulation shall be monitored by testing in-service engines installed in non-road mobile machinery and operated over their normal operating duty cycles. Such testing shall be conducted, under the responsibility of the manufacturer and in compliance with the requirements of the approval authority, on engines that have been correctly maintained, in compliance with the provisions on the selection of engines, test procedures and reporting of results for the different engine categories.

The Commission shall conduct pilot programmes with a view to developing appropriate test procedures for those engine categories and sub-categories in respect of which such test procedures are not in place.

The Commission shall conduct monitoring programmes for each engine category to determine to what extent the emissions measured from the test cycle correspond to the emissions measured in actual operation. Those programmes and their results shall, on a yearly basis, be the subject of a presentation to the Member States and, subsequently, of a communication to the public.

2. The Commission is empowered to adopt delegated acts in accordance with Article 55 for the purpose of supplementing this Regulation with detailed arrangements with regard to the selection of engines, test procedures and reporting of results referred to in paragraph 1 of this Article. Those delegated acts shall be adopted by 31 December 2016.

CHAPTER IV

EU TYPE-APPROVAL PROCEDURES

Article 20

Application for EU type-approval

1. Manufacturers shall submit a separate application for each engine type or engine family EU type-approval to the approval authority of a Member State, and each application shall be accompanied by the information folder referred to in Article 21. Only one application shall be submitted in respect of a particular engine type or, where applicable, engine family, and it shall be submitted to only one approval authority.

2. Manufacturers shall make available to the technical service responsible for conducting the EU type-approval tests an engine conforming to the engine type or, in the case of an engine family, to the parent engine characteristics described in the information folder referred to in Article 21.

3. In the case of an application for EU type-approval of an engine family, if the approval authority determines that, with regard to the selected parent engine referred to in paragraph 2 of this Article, the application submitted does not fully represent the engine family described in the information folder referred to in Article 21, manufacturers shall make available an alternative and, if necessary, an additional parent engine which is considered by the approval authority to represent the engine family.

4. Within one month of the start of production of the approved engine type or engine family, manufacturers shall submit the initial plan for monitoring in-service engines to the approval authority that granted EU type-approval for that engine type or, where applicable, engine family.

Article 21

Information folder

1. The applicant shall provide the approval authority with an information folder which includes the following:

(a) an information document, including a list of reference fuels and, where requested by the manufacturer, any other specified fuels, fuel mixtures or fuel emulsions referred to in Article 25(2) and described in accordance with the delegated acts referred to in Article 25(4) (‘the information document’);

(b) all relevant data, drawings, photographs and other information relating to the engine type or, where applicable, the parent engine;

(c) any additional information requested by the approval authority in the context of the EU type-approval application procedure.

2. The information folder may be provided in paper form or in an electronic format that is accepted by the technical service and the approval authority.

3. The Commission may adopt implementing acts laying down templates for the information document and for the information folder. Those implementing acts shall be adopted, by 31 December 2016, in accordance with the examination procedure referred to in Article 56(2).

CHAPTER V

CONDUCT OF EU TYPE-APPROVAL PROCEDURES

Article 22

General provisions

1. The approval authority receiving the application shall grant EU type-approval to all engine types or engine families complying with each of the following:

(a) the particulars in the information folder;

(b) the requirements of this Regulation, and in particular the conformity of production arrangements referred to in Article 26.

2. Where an engine fulfils the requirements laid down in this Regulation, approval authorities shall not impose any other EU type-approval requirements with regard to exhaust emissions for non-road mobile machinery in which such an engine is installed.

3. After the dates for the EU type-approval of engines set out in Annex III for each engine sub-category, approval authorities shall not grant an EU type-approval to an engine type or engine family that does not fulfil the requirements laid down in this Regulation.

4. EU type-approval certificates shall be numbered in accordance with a harmonised system to be laid down by the Commission.

5. By means of IMI, the approval authority shall:

(a) make available to the approval authorities of the other Member States a list of the EU type-approvals it has granted or, where applicable, extended, within one month of issuing the corresponding EU type-approval certificate;

(b) make available without delay to the approval authorities of the other Member States a list of the EU type-approvals it has refused to grant or has withdrawn, together with the reasons for its decision;

(c) within one month of receiving a request from the approval authority of another Member State, send that approval authority a copy of the engine type or engine family EU type-approval certificate, where this exists, together with the information package referred to in paragraph 6 for each engine type or engine family which it has approved, refused to approve or the EU type-approval of which it has withdrawn.

6. The approval authority shall put together an information package consisting of the information folder accompanied by the test report and all other documents added by the technical service or by the approval authority to the information folder in the course of carrying out their functions (‘the information package’).

The information package shall include an index listing its contents, suitably numbered or otherwise marked so as to clearly identify all the pages and the format of each document, in order to present a record of the successive steps in the management of the EU type-approval, in particular the dates of revisions and updating.

The approval authority shall ensure that the information contained in the information package is available for a period of at least 25 years following the end of the validity of the EU type-approval concerned.

7. The Commission may adopt implementing acts laying down:

(a) the method for establishing the harmonised numbering system referred to in paragraph 4;

(b) the templates and data structure for the exchange of data referred to in paragraph 5.

Those implementing acts shall be adopted, by 31 December 2016, in accordance with the examination procedure referred to in Article 56(2).

Article 23

Specific provisions concerning the EU type-approval certificate

1. The EU type-approval certificate shall contain the following attachments:

(a) the information package;

(b) where applicable, the names and specimen signatures of the persons authorised to sign statements of conformity as referred to in Article 31 and an indication of their position in the company.

2. The Commission shall lay down a template for the EU type-approval certificate.

3. In respect of each engine type or engine family that has been approved, the approval authority shall:

(a) complete all the relevant sections of the EU type-approval certificate and attach the test report;

(b) compile the index to the information package;

(c) issue the completed certificate, together with its attachments, to the applicant without delay.

4. Where an EU type-approval has, in accordance with Article 35, been made subject to restrictions as to its validity or where the engine type or engine family has been exempted from certain requirements of this Regulation, the EU type-approval certificate shall specify those restrictions or exemptions.

5. The Commission may adopt implementing acts laying down the template for the EU type-approval certificate referred to in paragraph 2 of this Article. Those implementing acts shall be adopted, by 31 December 2016, in accordance with the examination procedure referred to in Article 56(2).

Article 24

Tests required for EU type-approval

1. Compliance with the technical prescriptions laid down in this Regulation shall be demonstrated by means of appropriate tests performed by designated technical services. The measurement and test procedures and the specific equipment and tools for the conduct of those tests shall be those laid down in Article 25.

2. The manufacturer shall make available to the approval authority as many engines as are required under the relevant delegated acts for the performance of the required tests.

3. The required tests shall be conducted on engines that are representative of the engine type or, where applicable, of the parent engine of the engine family to be approved.

Notwithstanding the first subparagraph, the manufacturer may, in agreement with the approval authority, select an engine which, although not representative of the engine type or, where applicable, of the parent engine of the engine family to be approved, combines a number of the most unfavourable features with regard to the required level of performance. Virtual testing methods may be used to aid decision-making during the selection process.

4. For the purposes of conducting the EU type-approval tests, the applicable test cycles are those set out in Annex IV. The test cycles applicable to each engine type included in the EU type-approval shall be indicated in the information document.

5. An engine that is representative of the engine type or, where applicable, of the parent engine of the engine family, or an engine selected in accordance with the second subparagraph of paragraph 3, shall be tested on a dynamometer using the applicable non-road steady-state test cycle identified in Tables IV-1 to IV-10 of Annex IV. The manufacturer may choose whether to conduct that test using the discrete-mode or the ramped-modal test method. Except in the cases referred to in paragraphs 7 and 8, a variable-speed engine of a particular category used in a constant-speed operation of the same category need not be tested using the applicable constant-speed steady-state test cycle.

6. In the case of a constant-speed engine with a governor that can be set to an alternative speed, the requirements of paragraph 5 shall be fulfilled at each applicable constant speed and the information document shall indicate the speeds that apply for each engine type.

7. In the case of an engine of category IWP intended to be used for both variable-speed and constant-speed operation, the requirements of paragraph 5 shall be fulfilled for each applicable steady-state test cycle separately and the information document shall indicate each steady-state test cycle in respect of which those requirements were fulfilled.

8. In the case of an engine of category IWP that is intended for use in the place of an engine of category IWA in accordance with Article 4(2), the requirements of paragraph 5 of this Article shall be fulfilled for each applicable steady-state test cycle set out in Tables IV-5 and IV-6 of Annex IV, and the information document shall indicate each steady-state test cycle in respect of which those requirements were fulfilled.

9. Except for engines type-approved pursuant to Article 34(5) and (6), variable-speed engines of category NRE having a net power that is greater than or equal to 19 kW but not more than 560 kW shall, in addition to fulfilling the requirements of paragraph 5 of this Article, also be tested on a dynamometer using the transient test cycle identified in Table IV-11 of Annex IV.

10. Engines of sub-categories NRS-v-2b and NRS-v-3 having a maximum speed of less than or equal to 3 400 rpm shall, in addition to fulfilling the requirements of paragraph 5, also be tested on a dynamometer using the transient test cycle identified in Table IV-12 of Annex IV.

11. The Commission is empowered to adopt delegated acts in accordance with Article 55 supplementing this Regulation by laying down the detailed technical specifications and characteristics of the steady-state and transient test cycles referred to in this Article, including the corresponding method for the determination of the engine load and speed settings. Those delegated acts shall be adopted by 31 December 2016.

12. The Commission may adopt implementing acts laying down the single format of the test report required for EU type-approval. Those implementing acts shall be adopted, by 31 December 2016, in accordance with the examination procedure referred to in Article 56(2).

Article 25

Conduct of measurements and tests for EU type-approval

1. The final exhaust emission test results for engines subject to this Regulation shall be calculated by applying all of the following to the laboratory test results:

(a) the emissions of crankcase gases, where required by paragraph 3 and where not already included in the laboratory measurement;

(b) any necessary adjustment factor, where required by paragraph 3 and where the engine includes a regenerating exhaust after-treatment system;

(c) in respect of all engines, deterioration factors appropriate to the emission durability periods specified in Annex V.

2. The testing of an engine type or engine family to determine whether it meets the emission limits set out in this Regulation shall be carried out by using the following reference fuels or fuel combinations, as appropriate:

(a) diesel;

(b) petrol;

(c) petrol/oil mixture, for two stroke SI engines;

(d) natural gas/bio methane;

(e) liquid petroleum gas (LPG);

(f) ethanol.

The engine type or engine family shall, in addition, meet the exhaust emission limits set out in this Regulation in respect of any other specified fuels, fuel mixtures or fuel emulsions included by a manufacturer in an application for EU type-approval and described in the information folder.

3. As regards the conduct of measurements and tests, the technical requirements shall be met in respect of:

(a) apparatus and procedures for the conduct of tests;

(b) apparatus and procedures for emission measurement and sampling;

(c) methods for data evaluation and calculations;

(d) methods for establishing deterioration factors;

(e) in relation to engines in categories NRE, NRG, IWP, IWA, RLR, NRS, NRSh, SMB and ATS complying with Stage V emission limits set out in Annex II: (i) methods for taking account of emissions of crankcase gases; (ii) methods for determining and taking account of continuous or infrequent regeneration of exhaust after-treatment systems;

(f) in relation to electronically controlled engines in categories NRE, NRG, IWP, IWA, RLL and RLR complying with Stage V emission limits set out in Annex II and using electronic control to determine both the quantity and timing of injecting fuel or using electronic control to activate, de-activate or modulate the emission control system used to reduce NOx: (i) emission control strategies, and shall include the documentation required to demonstrate those strategies; (ii) NOx control measures, and shall include the method used to demonstrate those control measures; (iii) the area associated with the relevant non-road steady-state test cycle, within which the amount by which the emissions are permitted to exceed the emission limits set out in Annex II is controlled; (iv) the selection by the technical service of additional measurement points from within the control area during the emission bench test.

4. The Commission is empowered to adopt delegated acts in accordance with Article 55 supplementing this Regulation by setting out:

(a) the methodology for adapting the emission laboratory test results to include the deterioration factors referred to in point (c) of paragraph 1;

(b) the technical characteristics of the reference fuels referred to in paragraph 2 and, where applicable, the requirements for the description of any other specified fuels, fuel mixtures or fuel emulsions described in the information folder;

(c) the detailed technical requirements and characteristics for the conduct of measurements and tests referred to in paragraph 3;

(d) the method used to measure PN, taking account of the specifications given in the 06 series of UNECE Regulation No. 49;

(e) the detailed technical requirements applicable to the testing of dual-fuel engines or gaseous-fuelled single-fuel engines referred to in Annex II.

Those delegated acts shall be adopted by 31 December 2016.

Article 26

Conformity of production arrangements

1. An approval authority which has granted an EU type-approval shall take the necessary measures in relation to that EU type-approval to verify, if necessary in cooperation with the approval authorities of the other Member States, that adequate arrangements have been made to ensure that the engines in production will be in conformity with the approved type with respect to the requirements of this Regulation.

2. An approval authority which has granted an EU type-approval shall take the necessary measures in relation to that EU type-approval to verify that statements of conformity issued by the manufacturer comply with Article 31.

3. An approval authority which has granted an EU type-approval shall take the necessary measures in relation to that EU type-approval to verify, if necessary in cooperation with the approval authorities of the other Member States, that the arrangements referred to in paragraph 1 of this Article continue to be adequate in that engines in production will continue to be in conformity with the approved type and that statements of conformity, where applicable, will continue to comply with Article 31.

4. In order to verify the conformity of an engine with the approved type, the approval authority which has granted the EU type-approval may carry out any of the checks or tests required for the EU type-approval on samples taken at the premises of the manufacturer, including at the manufacturer's production facilities.

5. Where an approval authority which has granted an EU type-approval establishes that the arrangements referred to in paragraph 1 are not being applied, deviate significantly from the arrangements agreed as referred to in paragraph 1, have ceased to be applied or are no longer considered to be adequate, even though production is continuing, it shall either take the necessary measures to ensure that the procedure for conformity of production is followed correctly, or shall withdraw the EU type-approval.

6. The Commission is empowered to adopt delegated acts in accordance with Article 55 supplementing this Regulation by laying down the detailed measures to be taken and procedures to be followed by the approval authorities to ensure that the engines in production are in conformity with the approved type. Those delegated acts shall be adopted by 31 December 2016.

CHAPTER VI

AMENDMENTS AND VALIDITY OF EU TYPE-APPROVALS

Article 27

General provisions

1. The manufacturer shall inform the approval authority that granted the EU type-approval of any change in the particulars recorded in the information package, without delay.

In the event of such a change, that approval authority shall decide which of the procedures laid down in Article 28 is to be followed.

Where necessary, the approval authority may decide, after consulting the manufacturer, that a new EU type-approval is to be granted.

2. An application for the amendment of an EU type-approval shall be submitted only to the approval authority that granted the original EU type-approval.

3. If the approval authority finds that, for the purposes of making an amendment, inspections or tests need to be repeated, it shall inform the manufacturer accordingly.

The procedures laid down in Article 28 shall apply only if, on the basis of those inspections or tests, the approval authority concludes that the requirements for EU type-approval continue to be fulfilled.

Article 28

Revisions and extensions of EU type-approvals

1. Where particulars recorded in the information package have been changed, without requiring inspections or tests to be repeated, such an amendment shall be termed a ‘revision’.

In the event of such a revision, the approval authority shall, without unjustified delay, revise the relevant pages of the information package as necessary, marking each of them to clearly show the nature of the amendment, and it shall also state the date of revision and include a revised index to the information package. A consolidated, updated version of the information package, accompanied by a detailed description of the amendments, shall be deemed to fulfil the requirement of this paragraph.

2. An amendment as referred to in paragraph 1 shall be termed an ‘extension’ where the particulars recorded in the information package have been changed and any of the following occurs:

(a) further inspections or tests are required;

(b) any information included in the EU type-approval certificate, with the exception of its attachments, has changed;

(c) a new requirement set out in this Regulation or in a delegated or implementing act adopted pursuant to this Regulation becomes applicable to the approved engine type or engine family.

In the event of an extension, the approval authority shall establish an updated EU type-approval certificate denoted by an extension number that shall be incremented in accordance with the number of successive extensions previously granted. That EU type-approval certificate shall clearly show the reason for the extension and the date of extension.

3. Whenever pages of the information package are amended or a consolidated, updated version is established, the index to the information package attached to the EU type-approval certificate shall be amended accordingly to indicate the date of the most recent extension or revision, or the date of the most recent consolidation of the updated version.

4. No amendment to the EU type-approval of an engine type or engine family shall be required if a new requirement referred to in point (c) of paragraph 2 is, from a technical point of view, irrelevant to that engine type or engine family with regard to its emission performance.

Article 29

Issue and notification of amendments

1. In the event of a revision of an EU type-approval, the approval authority shall issue to the applicant, without unjustified delay, the revised documents or the consolidated, updated version, as appropriate, including the revised index to the information package, as referred to in the second subparagraph of Article 28(1).

2. In the event of an extension of an EU type-approval, the approval authority shall issue to the applicant, without unjustified delay, the updated EU type-approval certificate referred to in the second subparagraph of Article 28(2), including the attachments thereto, and the index to the information package.

3. The approval authority shall, by means of IMI, notify the approval authorities of the other Member States of any amendment made to EU type-approvals, in accordance with Article 22(5).

Article 30

Validity of EU type-approval

1. EU type-approvals shall be issued for an unlimited duration.

2. An EU type-approval of an engine shall become invalid in any of the following cases:

(a) where new requirements applicable to the approved engine type or, where applicable, to the engine family become mandatory for its placing on the market and it is not possible to extend or revise the EU type-approval accordingly;

(b) where production of the approved engine type or engine family is definitively and voluntarily discontinued;

(c) where the validity of the EU type-approval expires by virtue of a restriction, in accordance with Article 35(3);

(d) where the EU type-approval has been withdrawn in accordance with Articles 26(5), 39(1) or 40(3).

3. Where the conditions for the validity of an EU type-approval are no longer satisfied in respect of only one engine type within an engine family, the EU type-approval of the engine family in question shall become invalid only in so far as that particular engine type is concerned.

4. Where the production of an engine type or, where applicable, an engine family is definitively discontinued, the manufacturer shall notify the approval authority that granted the corresponding EU type-approval of that discontinuation.

Within one month of receiving that notification, the approval authority that granted the EU type-approval for the engine type or engine family shall inform the approval authorities of the other Member States accordingly.

5. Without prejudice to paragraph 4, where an EU type-approval of an engine type or, where applicable, of an engine family is to become invalid, the manufacturer shall notify the approval authority that granted the corresponding EU type-approval of that fact.

In such cases, the approval authority that granted the EU type-approval shall without delay communicate all relevant information to the approval authorities of the other Member States.

That communication shall specify, in particular, the date of production and the engine identification number of the last engine produced.

6. The notification requirements referred to in paragraphs 4 and 5 shall be deemed to have been fulfilled where the relevant information has been uploaded onto IMI.

CHAPTER VII

STATEMENT OF CONFORMITY AND MARKINGS

Article 31

Statement of conformity

1. The manufacturer, in its capacity as the holder of an engine type or engine family EU type-approval, shall deliver a statement of conformity (‘statement of conformity’) to accompany engines which are placed on the market, on the basis of:

(a) an exemption referred to in Article 34(2), (4), (5), (6), (7) or (8), Article 35(4); or

(b) a transitional provision referred to in Article 58(9), (10) or (11).

The statement of conformity shall specify the particular features and restrictions that are to apply to the engine, shall be delivered free of charge together with the engine and shall, where applicable, accompany the non-road mobile machine in which the engine is installed. Its delivery shall not be made dependent on an explicit request or on the submission of additional information to the manufacturer. The statement of conformity may also be delivered in the form of a secure electronic file.

For a period of 10 years after the engine production date, the manufacturer shall, at the request of the end-user, issue a duplicate of the statement of conformity in return for payment of an amount not exceeding the cost of issuing it. The word ‘duplicate’ shall be clearly visible on any such duplicate statement of conformity.

2. The statement of conformity shall be drawn up in at least one of the official languages of the institutions of the Union.

Any Member State may request from the manufacturer that the statement of conformity be translated into its official language or languages.

3. The person(s) authorised to sign statements of conformity shall belong to the manufacturer's organisation and shall be duly authorised by the management of that organisation to fully engage the legal responsibility of the manufacturer with respect to the design and construction, or with respect to the conformity of production, of the engine.

4. The statement of conformity shall be completed in its entirety and shall not contain any restrictions as regards the use of the engine other than those provided for in this Regulation.

5. The Commission may adopt implementing acts laying down the template for the statement of conformity, including the features aimed at preventing forgery and allowing verification of the secure electronic file. To that end, the implementing acts shall provide the security features used for protecting the statement of conformity. Those implementing acts shall be adopted, by 31 December 2016, in accordance with the examination procedure referred to in Article 56(2).

Article 32

Statutory marking of engines

1. The manufacturer shall affix a marking to each engine manufactured in conformity with the approved type (‘the statutory marking’).

2. In respect of the following engines, the statutory marking shall include supplementary information indicating that the engine is subject to the relevant exemption or transitional provision:

(a) engines for export to third countries referred to in Article 34(1) that are manufactured either in the Union or outside the Union and subsequently installed in non-road mobile machinery in the Union;

(b) engines placed on the market in accordance with Article 34(2), (5), (6) or (8);

(c) engines temporarily placed on the market in accordance with Article 34(4);

(d) transition engines placed on the market in accordance with Article 58(5);

(e) replacement engines placed on the market in accordance with Article 34(7), Article 58(10) or (11).

3. The Commission may adopt implementing acts laying down the template for the statutory marking, including the mandatory essential information required when the engine leaves the productio