Proposal for a REGULATION (EU) No …/… OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL on the approval of agricultural or forestry vehicles
Date: 2010-07-23
Institutions: European Commission
Subjects: agricultural equipment, agricultural implement, approval, commercial vehicle, tractor

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EUROPEAN COMMISSION 

Brussels, 23.7.2010 
COM(2010)395 final 

2010/0212 (COD) 

Proposal for a 

REGULATION (EU) No …/… OF THE EUROPEAN PARLIAMENT AND OF THE 
COUNCIL 

on the approval of agricultural or forestry vehicles 

(Text with EEA relevance) 

SEC(2010)934 
 SEC(2010)933

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EXPLANATORY MEMORANDUM 

1. 

CONTEXT OF THE PROPOSAL 

•  Grounds for and objectives of the proposal 

The objective of the proposal is to lay down harmonised rules on the manufacture of 
agricultural and forestry vehicles (tractors, trailers and towed equipment) with a view 
to ensuring the functioning of the internal market while at the same time providing for 
a  high  level  of  road  and  occupational  safety  and  environmental  protection.  Existing 
legislation will be replaced in order to align it with the principles of Better Regulation 
and Simplification. 

The proposal aims at enhancing the safety of vehicles by introducing requirements for 
all categories of agricultural and forestry vehicles. 

Finally, the proposal contributes to the competitiveness of the industry by simplifying 
the  existing  vehicle  type-approval  legislation,  improving  transparency  and  easing 
administrative burden. 

•  General context 

The technical requirements for the type-approval of tractors with regard to numerous 
safety and environmental elements have been harmonised at the level of the Union in 
order to avoid requirements that differ from one Member State to another, to ensure a 
high  level  of  road  and  occupational  safety  and  environmental  protection  throughout 
the Community and to allow for a harmonized system of EU type-approval. 

New technologies like ABS (anti-lock braking systems) are now available and can be 
implemented  in  the  near  future,  which  will  dramatically  improve  vehicle  safety. 
Research  has  indicated  that  there  would  be  significant  benefits  if  such  technologies 
were 
introduced  as  standard  on  new  vehicles.  Setting  common  mandatory 
requirements  would  also  prevent  the  fragmentation  of  the  internal  market  resulting 
from varying product standards emerging across Member States.  

The  Commission  in  its  Communication  on  “A  Competitive  Automotive  Regulatory 
Framework for the 21st Century”1 welcomed the recommendation from the CARS 21 
report2  to  simplify  the  current  whole  vehicle  type-approval  regulatory  framework. 
Following  this  recommendation,  the  proposal  significantly  simplifies  the  type-
approval legislation by replacing 24 base Directives (and around 35 related amending 
Directives) in the field of agricultural and forestry vehicle technical requirements with 
one Council and Parliament Regulation. 

•  Existing provisions in the area of the proposal 

•  The existing type-approval legislation for tractors is regulated in the following EU-

1 
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COM(2007) 22.  
CARS 21, A Competitive Automotive Regulatory System for the 21st century: ISBN 92-79-00762-9. 

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acts:  Council  Directives  74/347/EEC,  76/432/EEC,  76/763/EEC,  77/537/EEC, 
78/764/EEC,  80/720/EEC,  86/297/EEC,  86/298/EEC,  86/415/EEC,  87/402/EEC; 
European  Parliament  and  Council  Directives  2000/25/EC,  2003/37/EC, 
2009/57/EC,  2009/58/EC,  2009/59/EC,  2009/60/EC,  2009/61/EC,  2009/63/EC, 
and 
2009/64/EC, 
2009/144/EC. 

2009/68/EC, 

2009/66/EC, 

2009/75/EC, 

2009/76/EC 

The  draft  proposal  and  its  implementing  and  delegated  acts  will  carry  over  the 
existing requirements laid down in the above acts. Compared to the existing acts, the 
regulation will lay down new requirements on one advanced safety measure, namely 
anti-lock  braking  systems,  together  with  some  further  updates  in  the  braking 
requirements  like  shorter  braking  distances  and  the  introduction  of  hydrostatic 
systems. In addition, the proposal will introduce requirements on a series of technical 
aspects for those vehicle categories for which they are not yet defined under Directive 
2003/37/EC, at a level similar to what exists today in the Directives referred to above. 

•  Consistency with the other policies and objectives of the Union 

The proposal is consistent with the EU objective to make roads safer as outlined, in 
particular,  in  the  White  Paper  on  European  Transport  Policy3.  This  was  adopted  by 
the  Commission  in  2001  and  provides  an  umbrella  for  the  European  Road  Safety 
Action Programme. 

Furthermore,  as  far  as  the  environmental  aspects  of  the  proposal  are  concerned,  no 
changes are proposed to the existing levels of protection. The only change is that the 
Regulation  should  refer  to  Directive  97/68/EC  on  emissions  of  Non-Road  Mobile 
Machinery  instead  of  having  a  specific  one  for  tractors,  simplifying  the  current 
implementation process while keeping the key features for future developments. 

Finally,  the  proposal  is  consistent  with  the  EU  strategy  for  the  simplification  of  the 
regulatory  environment  as  announced  in  the  Commission's  Communication  on 
“Updating  and  simplifying  the  Community  acquis”4  which  identifies  the  type-
approval system for motor vehicles as a priority area for simplification of Community 
legislation. 

2. 

CONSULTATION OF INTERESTED PARTIES AND IMPACT ASSESSMENT 

•  Consultation of interested parties 

Consultation  methods,  main  sectors 
respondents 

targeted  and  general  profile  of 

In  developing  the  proposal  the  Commission  has  consulted  stakeholders  in  a 
number of ways: 

•  There  was  a  general  internet  consultation,  covering  all  aspects  of  the 
proposal. Reactions were received from Member States (ministries), tractor 

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COM(2001) 370. 
COM(2003) 71. 

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manufacturers  (European  and  national  representatives  and  individual 
companies) and component manufacturers, transport organisations and user 
representation. 

•  In  the  context  of  the  Impact  Assessment  study  an  external  consultant 
invited  some  200  stakeholders  to  contribute  and  send  in  comments.  In 
addition a meeting was held with interested parties. 

•  The proposal has been discussed in several meetings of the Commission’s 

Working Group on Agricultural Tractors. 

Summary of responses and how they have been taken into account 

During the internet consultation, a number of issues were raised by stakeholders. The 
impact  assessment  that  accompanies  this  proposal  provides  a  full  account  of  the 
substantive issues raised and discusses how they have been taken into consideration. 

An open consultation was conducted over the internet from 3/07/2008 to 12/09/2008. 
The  Commission 
results  are  available  on 
http://ec.europa.eu/enterprise/automotive/consultation/agricultural_vehicles/call.htm. 

responses.  The 

received  19 

•  Collection and use of expertise 

Scientific/expertise domains concerned 

The  proposal  required  the  assessment  of  different  policy  options  as  well  as  the 
associated economic, societal and environmental impacts. 

Methodology used 

The  consultant,  TRL  ltd.,  sent  an  enquiry  to  all  relevant  stakeholders  (public 
authorities,  manufacturing  industry  and  users  organisations);  a  draft  report  was 
discussed in a meeting with those interested, which resulted in further contributions. 

Means used to make the expert advice publicly available 

The TRL report is available on the DG Enterprise and Industry website.  

•  Impact assessment 

For each of the main aspects of the proposal, different options were considered: 

1. 

Simplification aspects – I: Directives or Regulations 

a)  No change in policy. This would mean that the existing 24 Directives would be 

maintained with additional amendments when necessary. 

b)  Replace existing separate Directives by one Regulation. 

c) 

Replace  existing  Directives  by  one  Co-Decision  Regulation  and  a  limited 

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number  of  thematic  delegated  and  implementing  acts.  This  is  the  retained 
option. 

2. 

Simplification  aspect  –  II:  all  in  detailed  EU  legislation  or  reference  to 
international standards 

a)  No change in policy. This would mean that the existing 24 Directives would be 
maintained with additional amendments when necessary. The Directives would 
continue to operate in parallel with the existing UNECE Regulations and OECD 
Codes with the technical requirements usually (but not always) being the same. 
This  is  currently  the  cause  of  much  confusion  for  stakeholders  who  are  not 
closely  involved  with  the  type-approval  system,  and  leads  to  a  situation  of  a 
regulatory system that is less than fully transparent.  

b)  Replace  existing  separate  Directives  where  possible  by  equivalent  UNECE 

Regulations. 

c) 

Replace  existing  separate  Directives  where  possible  by  equivalent  UNECE 
Regulations,  or  OECD  Codes  (roll-over  protection  systems)  or  possibly 
CEN/CENELEC  or  ISO  standards.  This  is  the  retained  option  since  it  would 
maximise  the  advantages  of  simplification  at  the  benefit,  in  particular,  of 
national authorities and industry. 

3. 

Completion of the internal market 

a)  No change in policy. This would mean that bit-by-bit the package as foreseen in 

Directive 2003/37/EC would be completed. 

b) 

c) 

Complete the EU TA requirements and make EU WVTA mandatory for all 
categories. 

Complete the EU TA requirements but leave EU WVTA optional for certain 
categories (T4, T5, C, R and S). 

The Commission carried out an impact assessment listed in the Work Programme; the 
report is accessible on [CIRCA WEBPAGE] 

3. 

LEGAL ELEMENTS OF THE PROPOSAL 

•  Summary of the proposed action 

The  proposal  significantly  simplifies  the  agricultural  vehicle  type-approval  system 
with  respect  to  the  technical  requirements  on  safety  and  emissions  by  repealing  24 
Directives. 

The proposal will, through the delegated acts foreseen herein, lay down in detail the 
new  mandatory  requirements  on  braking.  In  particular,  the  delegated  acts  adopted 
under this proposal will require amongst others:  

–  mandatory fitting of anti-lock braking systems on some categories (T5 fast tractors 

and their trailers suitable for speeds over 40 km/h);  

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–  higher deceleration performance; 

–  compatibility between tractor and trailers/towed equipment. 

•  Legal basis 

The legal basis of the proposal is Article 114 of the Treaty on the Functioning of the 
European Union. 

•  Subsidiarity principle 

The subsidiarity principle applies since the proposal does not fall under the exclusive 
competence of the Union. 

The objectives of the proposal cannot be sufficiently achieved by the Member States 
for the following reasons. 

In order to allow for an EU vehicle type approval system, the technical requirements 
for  the  type-approval  of  motor  vehicles  with  regard  to  safety  and  environmental 
elements must be harmonised at Union level. Action by Member States alone would 
not  allow  for  an  EU  whole  vehicle  type-approval  system.  European  Union  action  is 
necessary because of the need to avoid the emergence of barriers to the single market. 

Union action will better achieve the objectives of the proposal because it will avoid 
fragmentation  of  the  internal  market  which  would  otherwise  arise  and  will  enhance 
the safety and environmental performance of vehicles. 

The proposal therefore complies with the subsidiarity principle. 

•  Proportionality principle 

The proposal complies with the proportionality principle for the following reasons. 

As  shown  in  the  impact  assessment,  the  proposal  complies  with  the  proportionality 
principle  because  it  does  not  go  beyond  what  is  necessary  in  order  to  achieve  the 
objectives of ensuring the proper functioning of the internal market while at the same 
time providing for a high level of public safety and environmental protection. 

The  simplification  of  the  regulatory  environment  will  significantly  contribute  to  the 
reduction of administrative costs for national authorities and industry. 

•  Choice of instruments 

Proposed instruments: regulation. 

Other means would not be adequate for the following reasons. 

The  use  of  a  Regulation  is  considered  to  be  appropriate  in  providing  the  required 
assurance  for  compliance  whilst  not  requiring  the  transposition  into  Member  States' 
legislation. 

The proposal uses the “split-level approach” that has originally been introduced at the 

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request of the European Parliament and used in other pieces of legislation in the area 
of  EU  type  approval  of  motor  vehicles.  This  approach  foresees  legislation  in  two 
steps:  

•  first, the fundamental provisions will be laid down by the European Parliament and 
the Council in a Regulation based on Article 114 of the Treaty on the Functioning 
of the European Union through the ordinary legislative procedure; 

•  secondly,  the  technical  specifications  implementing  the  fundamental  provisions 
will be laid down in delegated acts adopted by the Commission in accordance with 
Article 290 of the Treaty on the Functioning of the European Union.  

4. 

BUDGETARY IMPLICATION 

The proposal has no implication for the Community budget. 

5. 

ADDITIONAL INFORMATION 

•  Simulation, pilot phase and transitory period 

There  is  a  general  transitory  period  in  the proposal  in  order  to  allow  sufficient  lead 
time for vehicle and component manufacturers and administrations. 

•  Simplification 

The proposal provides for simplification of legislation. 

24 Directives on the type-approval of vehicles will be repealed. 

The  proposal  provides  for  simplification  of  administrative  procedures  for  public 
authorities. The proposal is included in the Commission's rolling programme for up-
date  and  simplification  of  the  ‘acquis  communautaire’  and  it's  Legislative  Work 
Programme under the reference 2009/ENTR/001. 

•  Repeal of existing legislation 

The adoption of the proposal will lead to the repeal of existing legislation. 

•  European Economic Area 

The  proposed  act  concerns  an  EEA  matter  and  should  therefore  extend  to  the 
European Economic Area. 

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2010/0212 (COD) 

Proposal for a 

EUROPEAN PARLIAMENT AND COUNCIL REGULATION 

Regulation (EU) No .../2010 of the European Parliament and of the Council for the 
approval of agricultural and forestry vehicles 

(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, 

Having regard to the opinion of the European Economic and Social Committee5  

After transmission of the proposal to the national Parliaments, 

Acting in accordance with the ordinary legislative procedure, 

Whereas: 

(1) 

(2) 

In  order  to  promote  the  internal  market,  a  comprehensive  Community  type  approval 
system for tractors, their trailers and interchangeable towed equipment was established by 
Directive 2003/37/EC of the European Parliament and of the Council of 26 May 2003 on 
type approval of agricultural or forestry tractors, their trailers and interchangeable towed 
machinery,  together  with  their  systems,  components  and  separate  technical  units  and 
repealing Directive 74/150/EEC6.  

For the purposes of the establishment and operation of the internal market of the Union, it 
is  appropriate  to  replace  the  approval  systems  of  the  Member  States  with  a  Union 
approval procedure based on the principle of total harmonisation, while at the same time 
taking  due  account  of  cost-benefit  considerations,  with  special  attention  given  to  small 
and medium-sized enterprises. 

(3) 

Following  the  request  of  the  European  Parliament  and  with  the  aim  of  simplifying  and 
accelerating the procedure, a new regulatory approach has been introduced in the Union 

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OJ C[…], […], p. […] 
OJ L 171, 9.7.2003, p. 1. 

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(4) 

(5) 

(6) 

(7) 

vehicle  type-approval  legislation  according  to  which  the  legislator  in  the  ordinary 
legislative procedure sets out the fundamental rules and principles only and delegates the 
legislation  of  further  technical  details  to  the  Commission.  With  regard  to  substantive 
requirements, this Regulation should therefore lay down only fundamental provisions on 
road  safety,  occupational  safety  and  environmental  performance  and  delegate  to  the 
Commission the power to lay down the technical specifications in delegated acts. 

This  Regulation  is  without  prejudice  to  measures  regarding  the  use  of  agricultural  and 
forestry vehicles on the road, such as specific drivers' licence requirements, limitations of 
the maximum speed or measures regulating the access to certain roads. 

In  order  to  ensure  a  high  level  of  road  safety,  occupational  safety  and  environmental 
protection the technical requirements and environmental standards applicable to vehicles, 
systems, components and separate technical units with regard to type-approval should be 
harmonised. 

Since  the  Directives  on  non-road  mobile  machinery7  do  not  provide  for  harmonized 
requirements for road safety, it is appropriate to provide the option for manufacturers of 
mobile machinery to have their products approved in accordance with European standards 
for  the  road  safety  requirements  under  this  Regulation;  therefore,  mobile  machinery 
should  be  included  in  this  Regulation  on  an  optional  basis  with  regard  to  system  type-
approvals for road safety requirements, in particular since the requirements applicable to 
mobile machinery outside of this regulation do not comprise any road safety aspects. 

In order to simplify the type-approval legislation in line with the recommendations of the 
Report  CARS  21:  A  Competitive  Automotive  Regulatory  System  for  the  21st  century8 
("CARS 21"), it is appropriate to repeal all separate Directives without reducing the level 
of protection. The requirements set out in those Directives should be carried over to this 
Regulation  or  its  delegated  acts  and  should  be  replaced,  where  appropriate,  with 
references to the corresponding regulations of the United Nations Economic Commission 
for  Europe  (UNECE),  as  incorporated  into  Union  law  in  accordance  with  Article  4  of 
Council  Decision  97/836/EC  of  27  November  1997  with  a  view  to  accession  by  the 
European  Union  to  the  Agreement  of  the  United  Nations  Economic  Commission  for 
Europe 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")9.  To  reduce  the  administrative  burden  of  the 
type-approval process it is appropriate to allow vehicle manufactures to type-approve in 
accordance  with  this  Regulation,  where  appropriate,  directly  by  means  of  obtaining 
approval to the relevant UNECE Regulation as listed in Annex I. 

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Cf. Directives 97/68/EC and 2006/42/EC. 
COM(2007)22 final. 
OJ L 346, 17.12.1997, p.78. 

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(8) 

Consequently,  UNECE  Regulations  to  which  the  Union  accedes,  in  application  of 
Decision  97/836/EC,  and  amendments  to  UNECE  Regulations  to  which  the  Union  has 
already acceded should be incorporated within the EU type-approval procedure either as 
requirements  for  EU  vehicle  type-approval,  or  as  alternatives  to  existing  Union  law.  In 
particular,  where  the  Union  decides  that  a  UNECE  Regulation  shall  become  part  of  the 
EU  vehicle  type-approval  requirements  and  replace  existing  EU  legislation,  the  power 
should  be  delegated  to  the  Commission  to  adopt  the  necessary  adaptations  to  this 
Regulation or to adopt the necessary implementing acts. 

(9) 

As an alternative, reference can be made in the delegated acts to Codes established by the 
Organisation for Economic Cooperation and Development (OECD) or to CEN/CENELEC 
or ISO standards which are directly available to the public.  

(10)  The requirements of this regulation are in accordance with the principles enshrined in the 

Action plan entitled ‘Simplifying and improving the regulatory environment’10. 

(11) 

It is of particular importance that future measures proposed on the basis of this Regulation 
or procedures to be implemented in application of it should comply with these principles, 
which have been restated by the Commission in its Report CARS 21. In particular, for the 
purposes of better regulation and simplification and in order to avoid constant updating of 
existing EU legislation on issues of technical specifications, this Regulation should make 
reference  to  existing  international  standards  and  regulations  which  are  available  to  the 
public without reproducing them in the EU legal framework. 

(12)  Directive 2003/37/EC in a first stage limited the mandatory application of the EU whole 
vehicle  type-approval  procedure  to  the  vehicle  categories  T1,  T2  and  T3  and  did  not 
provide  for  all  requirements  necessary  in  order  to  apply  for  EC-whole  vehicle  type 
approval  on  a  voluntary  basis  for  other  categories.  In  order  to  complete  the  internal 
market  and  to  ensure  that  it  functions  properly,  this  Regulation  should  allow 
manufacturers to apply for EU-whole vehicle type approval for all categories covered by 
this Regulation on a voluntary basis, thereby enabling them to benefit from the advantages 
of the internal market by means of the EU type-approval. 

(13) 

It is appropriate to establish the principle that vehicles must be designed, constructed and 
assembled so as to minimise the risk of injury to the vehicle occupants and to other road 
users.  For  this  purpose,  it  is  necessary  that  manufacturers  ensure  that  vehicles  comply 
with the relevant requirements set out in this Regulation. Those provisions should include, 
but not be limited to, requirements relating to vehicle structural integrity, systems to aid 
the  driver's  control  of  the  vehicle,  systems  to  provide  the  driver  with  visibility  and 
information on the state of the vehicle and the surrounding area, vehicle lighting systems, 
vehicle occupant protection systems, the vehicle exterior and accessories, vehicle masses 
and dimensions and vehicle tyres. 

10 

COM(2002)278 final, 5.6.2002. 

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(14) 

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

(15) 

In  order  to  prevent  misuse,  the  simplified  procedure  for  small  series  vehicles  should  be 
restricted to limited numbers of vehicles; it is therefore necessary to define precisely the 
concept of small series in terms of the number of vehicles produced. 

(16) 

It is important to lay down provisions for the individual approval of vehicles, in order to 
allow sufficient flexibility in the multi-stage approval system. 

(17)  The main objective of the legislation of the Union on the approval of vehicles is to ensure 
that  new  vehicles,  components  and  separate  technical  units  put  on  the  market  provide  a 
high level of safety and environmental protection. This aim should not be impaired by the 
fitting of certain parts or equipment after vehicles have been placed on the market or have 
entered  into  service.  Thus,  appropriate  measures  should  be  taken  in  order  to  make  sure 
that  parts  or  equipment  which  can  be  fitted  to  vehicles  and  which  are  capable  of 
significantly impairing the functioning of systems that are essential in terms of safety or 
environmental  protection,  are  subject  to  a  prior  control  by  an  approval  authority  before 
they  are  offered  for  sale.  These  measures  should  consist  of  technical  provisions 
concerning the requirements that those parts or equipment have to comply with. 

(18)  Those measures should only apply to a limited number of parts and equipment, the list of 
which  should  be  established  in  a  delegated  act  after  having  consulted  the  stakeholders. 
Such  measures  should  ensure  that  the  parts  or  equipment  in  question  do  not  impair  the 
safety  or  environmental  performance  of  the  vehicle  while  at  the  same  time  preserving 
wherever possible competition in the aftermarket. 

(19) 

(20) 

It is important that manufacturers supply relevant information to vehicle owners in order 
to prevent misuse of safety devices. 

In order to allow manufacturers of components or separate technical units to apply for EU 
type-approval  for  components  or  separate  technical  units  or  authorisation,  it  is  also 
important for these manufacturers  to  have access to certain information that is available 
only  from  the  vehicle  manufacturer,  such  as  the  technical  information,  including 
drawings, required for the development of parts for the aftermarket. 

(21)  Unrestricted access to vehicle repair information, via a standardised format which can be 
used  to  retrieve  the  technical  information,  and  effective  competition  on  the  market  for 
vehicle  repair  and  maintenance  information  services  are  necessary  to improve  the 
functioning  of  the  internal  market,  particularly  as  regards  the  free  movement  of  goods, 
freedom  of  establishment  and  freedom  to  provide  services.  A  great  proportion  of  such 
information  is  related  to  on-board  diagnostic  (OBD)  systems  and  their  interaction  with 
other  vehicle  systems.  It  is  appropriate  to  lay  down  technical  specifications  that  the 

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websites  of  the  manufacturers  should  follow,  along  with  targeted  measures  to  ensure 
reasonable access for small and medium-sized enterprises.  

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

(23)  The Commission should be empowered to adopt delegated acts in accordance with Article 
290  of  the  Treaty  in  respect  of  road  safety  (including  braking),  occupational  safety  and 
environmental  performance,  testing,  access  to  repair  and  maintenance  information  and 
appointment and specific authorized tasks of technical services, in order to supplement or 
amend certain non-essential elements of this Regulation. 

the  acceptance  of  documents 

(24)  Some  of  the  subjects  covered  by  this  Regulation  require  uniform  conditions  for  the 
implementation  in  the  Member  States,  in  order  to  ensure  the  proper  functioning  of  the 
internal market by facilitating mutual recognition of administrative decisions taken in the 
different  Member  States  and 
issued  by  vehicle 
manufacturers, thus allowing stakeholders to benefit from the internal market more easily. 
The  Commission  should  therefore  be  empowered  to  adopt  implementing  acts  in 
accordance with Article 291 of the Treaty in order to lay down uniform conditions for the 
implementation of this regulation with regard to the following items: list of information to 
be  provided  when  applying  for  type-approval,  type-approval  procedures,  templates  for 
manufacturers'  additional  plates,  EU  type-approval  certificates,  list  of  type  approvals 
issued, numbering system for EU type-approvals and procedures to ensure conformity of 
production. 

(25)  According  to  Article  291  of  the  TFEU,  rules  and  general  principles  concerning 
mechanisms  for  the  control  by  Member  States  of  the  Commission's  exercise  of  its 
implementing  powers  shall  be  laid  down  in  advance  by  a  Regulation  adopted  in 
accordance  with  the  ordinary  legislative  procedure.  Pending  the  adoption  of  that  new 
Regulation, Council Decision 1999/468/EC of 28 June 1999 laying down the procedures 
for the exercise of implementing powers conferred on the Commission continues to apply, 
with the exception of the regulatory procedure with scrutiny, which is not applicable. 

(26)  As  a  consequence  of  the  application  of  the  new  regulatory  system  set  in  place  by  this 
regulation,  Directive  2003/37/EC  and  the  following  Directives  should  be  repealed: 
Directive 74/347/EEC of the Council11 of 25 June 1974 on the approximation of the laws 
of  the  Member  States  relating  to  the  field  of  vision  and  windscreen  wipers  for  wheeled 
agricultural or forestry tractors, Directive 76/432/EEC of the Council12 of 6 April 1976 on 
the  approximation  of  the  laws  of  the  Member  States  relating  to  the  braking  devices  of 
wheeled agricultural or forestry tractors, Directive 76/763/EEC of the Council13 of 27 July 
1976 on the approximation of the laws of the Member States relating to passenger seats 

11 
12 
13 

OJ L 191 of 15.07.1974, p. 5. 
OJ L 122 of 8.05.1976, p. 1. 
OJ L 262 of 27.09.1976, p. 135. 

EN 

12 

   EN 

 
                                                 
for wheeled agricultural or forestry tractors, Directive 77/537/EEC of the Council14 of 28 
June 1977 on the approximation of the laws of the Member States relating to the measures 
to  be  taken  against  the  emission  of  pollutants  from  diesel  engines  for  use  in  wheeled 
agricultural or forestry tractors, Directive 78/764/EEC of the Council15 of 25 July 1978 on 
the  approximation  of  the  laws  of  the  Member  States  relating  to  the  driver's  seat  on 
wheeled  agricultural  or  forestry  tractors,  Directive  80/720/EEC  of  the  Council16  of  24 
June 1980 on the approximation of the laws of the Member States relating to the operating 
space, access to the driving position and the doors and windows of wheeled agricultural or 
forestry  tractors,  Directive  86/297/EEC  of  the  Council17,  of  26  May  1986  on  the 
approximation  of  the  laws  of  the  Member  States  relating  to  the  power  take-offs  of 
wheeled  agricultural  and  forestry  tractors  and  their  protection,  Directive  86/298/EEC  of 
the Council18 of 26 May 1986 on rear-mounted roll-over protection structures of narrow-
track wheeled agricultural and forestry tractors, Directive 86/415/EEC of the Council19 of 
24 July 1986 on the installation, location, operation and identification of the controls of 
wheeled  agricultural  or  forestry  tractors,  Directive  87/402/EEC  of  the  Council20  of  25 
June  1987  on  roll-over  protection  structures  mounted  in  front  of  the  driver's  seat  on 
narrow-track  wheeled  agricultural  and  forestry  tractors,  Directive  2000/25/EEC  of  the 
European Parliament and the Council21 of 22 May 2000 on action to be taken against the 
emission of gaseous and particulate pollutants by engines intended to power agricultural 
or  forestry  tractors  and  amending  74/150/EEC,  Directive  2009/57/EC  of  the  European 
Parliament  and  the  Council22  of  13  July  2009  on  the  approximation  of  the  laws  of  the 
Member  States  relating  to  the  roll-over  protection  structures  of  wheeled  agricultural  or 
forestry tractors, Directive 2009/58/EC of the European Parliament and the Council23 of 
13  July  2009  on  the  approximation  of  the  laws  of  the  Member  States  relating  to  the 
coupling  device  and  the  reverse  of  wheeled  agricultural  or  forestry  tractors,  Directive 
2009/59/EC  of  the  European  Parliament  and  the  Council24  of  13  July  2009  on  the 
approximation of the laws of the Member States relating to rear-view mirrors for wheeled 
agricultural of forestry tractors, Directive 2009/60/EC of the European Parliament and the 
Council25 of 13 July 2009 on the approximation of the laws of the Member States relating 
to the maximum design speed of and load platforms for wheeled agricultural or forestry 
tractors,  Directive  2009/61/EC  of  the  European  Parliament  and  the  Council26  of  17 
October  1978  on  the  approximation  of  the  laws  of  the  Member  States  relating  to  the 
installation  of  lighting  and  light-signalling  devices  on  wheeled  agricultural  and  forestry 

14 
15 
16 
17 
18 
19 
20 
21 
22 
23 
24 
25 
26 

OJ L 220 of 29.08.1977, p. 38. 
OJ L 255 of 18.09.1978, p. 1. 
OJ L 194 of 28.07.1980, p. 1. 
OJ L 186 of 8.07.1986, p. 19. 
OJ L 186 of 8.07.1986, p. 26. 
OJ L 240 of 26.08.1986, p. 1. 
OJ L 220 of 8.08.1987, p. 1. 
OJ L 173 of 12.07.2000, p. 1. 
OJ L 261 of 3.10.2009, p. 1. 
OJ L 198 of 30.7.2009, p. 4. 
OJ L 198 of 30.7.2009, p. 9. 
OJ L 198 of 30.7.2009, p. 15. 
OJ L 203 of 5.8.2009, p. 19. 

EN 

13 

   EN 

 
                                                 
tractors,  Directive 2009/63/EC  of the  European Parliament and the Council27 of 13 July 
2009 on the approximation of the laws of the Member States relating to certain parts and 
characteristics  of  wheeled  agricultural  or  forestry  tractors,  Directive  2009/64/EC  of  the 
European  Parliament  and  the  Council28  of  13  July  2009  on  the  suppression  of  radio 
interference produced by agricultural or forestry tractors (electromagnetic compatibility), 
Directive 2009/66/EC of the European Parliament and the Council  29 of 13 July 2009 on 
the approximation of the laws of the Member States relating to the steering equipment of 
wheeled  agricultural  or  forestry  tractors,  Directive  2009/68/EC  of  the  European 
Parliament  and  the  Council  30  of  13  July  2009  on  the  approximation  of  the  laws  of  the 
Member  States  relating  to  the  component  type-approval  of  lighting  and  light-signalling 
devices  on  wheeled  agricultural  or  forestry  tractors,  Directive  2009/75/EC  of  the 
European Parliament and the Council31 of 13 July 2009 on the approximation of the laws 
of the Member States relating to the roll-over protection structures of wheeled agricultural 
or forestry tractors (static testing), Directive 2009/76/EC of the European Parliament and 
the  Council32  of  13  July  2009  on  the  approximation  of  the  laws  of  the  Member  States 
relating  to  the  driver-perceived  noise  level  of  wheeled  agricultural  or  forestry  tractors, 
Directive  2009/144/EC  of  the  European  Parliament  and  the  Council33  of  30  November 
2009  on  the  approximation  of  the  laws  of  the  Member  States  relating  to  certain 
components  and  characteristics  of  wheeled  agricultural  or  forestry  tractors  (dimensions 
and towable masses etc). 

(27) 

It is important for all stakeholders to establish a clear relation between this Regulation and 
Directive  2006/42/EC  on  the  safety  of  machinery34,  in  order  to  clearly  establish  which 
requirements a specific product needs to fulfil. 

HAVE ADOPTED THIS REGULATION: 

CHAPTER I 
SUBJECT MATTER, SCOPE AND DEFINITIONS 

Article 1 
Subject matter 

This  Regulation  establishes  the  administrative  and  technical  requirements  for  the  EU  type-
approval of all new vehicles referred to in Article 2. 

27 
28 
29 
30 
31 
32 
33 
34 

OJ L 214 of 19.8.2009, p. 23. 
OJ L 216 of 20.8.2009, p. 1. 
OJ L 201 of 1.8.2009, p. 11. 
OJ L 203 of 5.8.2009, p. 52. 
OJ L 261 of 3.10.2009, p. 40. 
OJ L 201 of 1.8.2009, p. 18. 
OJ L 27 of 30.1.2010, p.33. 
OJ L 157, 9.6.2006, p.24. 

EN 

14 

   EN 

 
                                                 
This Regulation also establishes the requirements for the sale and entry into service of parts and 
equipment  intended  for  vehicles  approved  in  accordance  with  this  Regulation  and  of  the 
prohibition of such sale and entry into service.  

This Regulation is without prejudice to the application of the relevant legislation of the Union on 
road safety.  

Article 2 
Scope 

1. 

This  Regulation  shall  apply  to  the  type-approval  and  individual  approval  of  vehicles 
designed  and  constructed  in  one  or  more  stages,  and  of  systems,  components  and 
separate technical units designed and constructed for such vehicles.  

This Regulation shall apply to the following vehicles: 

(a) 

tractors (categories T and C), 

(b) 

trailers (category R), 

(c) 

interchangeable towed equipment (category S) and 

(d)  mobile machinery (category U). 

2. 

3. 

This  Regulation  shall  not  apply  to  interchangeable  machinery  that  is  fully  raised  from 
the ground when the vehicle to which it is attached is in use on a road. 

For  the  following  vehicles,  the  manufacturer  may  choose  whether  to  apply  for  type-
approval under this regulation or for national type-approval:  

(a)  mobile machinery; 

(b) 

trailers and towed implements, categories R and S; 

(c) 

in case of individual approval, prototypes of vehicles used under the responsibility 
of  a  manufacturer  to  perform  a  specific  test  programme  and  which  where 
specifically designed and constructed for that purpose. 

Article 3 
Definitions 

For the purposes of this Regulation and of the acts listed in Annex I except as otherwise provided 
therein: 

EN 

15 

   EN 

 
1. 

2. 

3. 

4. 

5. 

6. 

7. 

8. 

9. 

10. 

"type-approval" means the procedure whereby an approval authority certifies that a type 
of  vehicle,  system,  component  or  separate  technical  unit  satisfies  the  relevant 
administrative provisions and technical requirements; 

"whole  vehicle  type  approval"  means  a  type  approval  whereby  an  approval  authority 
certifies  that  a  complete  vehicle  satisfies  the  relevant  administrative  provisions  and 
technical requirements; 

"system  type  approval"  means  a  type  approval  whereby  an  approval  authority  certifies 
that a system built into a vehicle of a specific type satisfies the relevant administrative 
provisions and technical requirements 

"component  type  approval"  means  a  type  approval  whereby  an  approval  authority 
certifies that a component independently of a vehicle satisfies the relevant administrative 
provisions and technical requirements; 

"separate  technical  unit  type  approval"  means  a  type  approval  whereby  an  approval 
authority certifies that a separate technical unit in relation to one or more specified types 
of vehicles satisfies the relevant administrative provisions and technical requirements 

"national type-approval" means a type-approval procedure laid down by the national law 
of a Member State, the validity of such approval being restricted to the territory of that 
Member State; 

"EU type-approval" means the procedure whereby an approval authority certifies that a 
type  of  vehicle,  system,  component  or  separate  technical  unit  satisfies  the  relevant 
administrative provisions and technical requirements of this Regulation; 

‘tractor’ means any motorised, wheeled or tracked agricultural or forestry vehicle having 
at  least  two  axles  and  a  maximum  design  speed  of  not  less  than  6  km/h,  the  main 
function  of  which  lies  in  its  tractive  power  and  which  has  been  especially  designed  to 
pull,  push,  carry  and  actuate  certain  interchangeable  equipment  designed  to  perform 
agricultural or forestry work, or to tow agricultural or forestry trailers or equipment; it 
may be adapted to carry a load in the context of agricultural or forestry work and/or may 
be equipped with one or more passenger seats; 

‘trailer’ means any towed agricultural or forestry vehicle intended mainly to carry loads 
and designed to be towed by a tractor for agricultural or forestry purposes and which is 
not  designed  to  process  materials  [and  where  the  ratio  of  the  technically  permissible 
gross mass to the unladen mass of that vehicle is equal to or greater than 3,0;  

‘interchangeable  towed  equipment’  means  any  vehicle  used  in  agriculture  or  forestry 
which is designed to be towed by a tractor, changes or adds to its functions, permanently 
incorporates an implement or is designed to process materials, which may include a load 
platform designed and constructed to receive any tools and appliances needed for those 
purposes  and  to  store  temporarily  any  materials  produced  or  needed  during  work  and 

EN 

16 

   EN 

 
11. 

12. 

13. 

14. 

15. 

16. 

17. 

18. 

19. 

20. 

21. 

22. 

where  the  ratio  of  the  technically  permissible  gross  mass  to  the  unladen  mass  of  that 
vehicle is less than 3,0; 

"mobile  machinery"  means  any  self-propelled vehicle with the exclusion of machinery 
mounted  on  a  motor  vehicle  chassis,  which  is  designed  and  constructed  specifically  to 
perform work and which, because of its construction characteristics, is not suitable for 
carrying passengers or for transporting goods.  

"vehicle"  means  any  tractor,  trailer,  interchangeable  towed  equipment  or  mobile 
machinery as defined in points 8, 9, 10 and 11; 

"type of vehicle" means vehicles of a particular category which do not differ in at least 
the essential respects specified in point 41, regardless of whether they belong to different 
variants and versions as defined in points 42 and 43; 

"base vehicle" means any vehicle which is used at the initial stage of a multi-stage type-
approval process; 

"incomplete vehicle" means any vehicle which must undergo at least one further stage of 
completion in order to meet the relevant technical requirements of this Regulation; 

"completed  vehicle"  means  a  vehicle,  resulting  from  the  process  of  multi-stage  type-
approval, which meets the relevant technical requirements of this Regulation; 

"complete vehicle" means any vehicle which need not be completed in order to meet the 
relevant technical requirements of this Regulation; 

"end-of-series  vehicle"  means  any  vehicle  that  is  part  of  a  stock  which  cannot  be 
registered or sold or entered into service owing to the entry into force of new technical 
requirements against which it has not been approved; 

"system"  means  an  assembly  of  devices  combined  to  perform  one  or  more  specific 
functions in a vehicle and which is subject to the requirements of any of the regulatory 
acts; 

"component" means a device subject to the requirements of a regulatory act and intended 
to be part of a vehicle, which may be type-approved independently of a vehicle where 
the regulatory act makes express provisions for so doing; 

"separate technical unit" means a device subject to the requirements of a regulatory act 
and intended to be part of a vehicle, which may be type-approved separately, but only in 
relation to one or more specified types of vehicle where the regulatory act makes express 
provisions for so doing; 

"original  parts  or  equipment"  means  parts  or  equipment  which  are  manufactured 
according  to  the  specifications  and  production  standards  provided  by  the  vehicle 
manufacturer for the production of parts or equipment for the assembly of the vehicle in 

EN 

17 

   EN 

 
question,  including  those  parts  or  equipment  which  are  manufactured  on  the  same 
production  line  as  these  parts,  or  equipment  and,  based  on  a  rebuttable  presumption, 
parts  or  equipment  for  which  the  manufacturer  certifies  that  the  parts  or  equipment 
match the quality of the components used for the assembly of the vehicle in question and 
have been manufactured according to the specifications and production standards of the 
vehicle manufacturer;  

"manufacturer" means the person or body who is responsible to the approval authority 
for all aspects of the type-approval or authorization process and for ensuring conformity 
of production, whether or not the person or body is directly involved in all stages of the 
construction  of  the  vehicle,  system,  component  or  separate  technical  unit  which  is  the 
subject of the approval process; 

"manufacturer's  representative"  means  any  natural  or  legal  person  established  in  the 
Union who is duly appointed by the manufacturer to represent him before the approval 
authority and to act on his behalf in matters covered by this Regulation; 

"approval authority" means the authority of a Member State established or appointed by 
the Member State and notified to the Commission by the Member State in accordance 
with  Article  5  with  competence  for  all  aspects  of  the  approval  of  a  type  of  vehicle, 
system, component or separate technical unit or of the individual approval of a vehicle, 
for  the  authorisation  process,  for  issuing  and,  if  appropriate,  withdrawing  approval 
certificates, for acting as the contact point for the approval authorities of other Member 
States,  for  designating  the  technical  services  and  for  ensuring  that  the  manufacturer 
meets his obligations regarding the conformity of production; 

"technical service" means an organisation or body designated by the approval authority 
of  a  Member  State  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; 

"self-testing" means the performance of tests in his own facilities, the registration of the 
test  results  and  the  submission  of  a  report  including  conclusions  to  the  approval 
authority  by  a  manufacturer  who  has  been  designated  as  technical  service  in  order  to 
assess the compliance of certain requirements; 

"virtual  testing  method"  means  computer  simulations  including  calculations  which 
demonstrate whether a vehicle, a system, a component or a separate technical unit fulfils 
the  technical  requirements  of  a  regulatory  act  without  requiring  the  use  of  a  physical 
vehicle, system, component or separate technical unit; 

"type-approval  certificate"  means  the  document  whereby  the  approval  authority 
officially certifies that a type of vehicle, system, component or separate technical unit is 
approved; 

23. 

24. 

25. 

26. 

27. 

28. 

29. 

EN 

18 

   EN 

 
30. 

31. 

32. 

33. 

34. 

35. 

"EU type-approval certificate"  means the certificate based on the model set out in this 
Regulation  or  the  communication  form  set  out  in  the  relevant  equivalent  UNECE 
Regulations or OECD Codes listed in Annex I; 

"individual  approval  certificate"  means  the  document  whereby  the  approval  authority 
officially certifies that a particular vehicle is approved; 

"certificate  of  conformity"  means  the  document,  based  on  the  model  set  out  in  this 
Regulation  and  issued  by  the  manufacturer,  which  certifies  that  at  the  time  of  its 
production a vehicle belonging to the series of the type approved in accordance with this 
Regulation corresponded to the type approved in the type approval and complied with all 
regulatory requirements listed therein; 

“on-board  diagnostic  system”  or  ”OBD  system”  means  a  system  for  emission  control 
which has the capability of identifying the likely area of malfunction by means of fault 
codes stored in a computer memory; 

“vehicle  repair  and  maintenance  information”  means  all  information  required  for 
diagnosis,  servicing,  inspection,  periodic  monitoring,  repair,  re-programming  or  re-
initialising  of  the  vehicle  and  which  the  manufacturers  provide  for  their  authorised 
dealers  and  repairers,  including  all  subsequent  amendments  and  supplements  to  such 
information;  

“independent operator” means undertakings other than authorised dealers and repairers 
which  are  directly  or  indirectly  involved  in  the  repair  and  maintenance  of  motor 
vehicles, in particular repairers, manufacturers or distributors of repair equipment, tools 
or spare parts, publishers of technical information, automobile clubs, roadside assistance 
operators, operators offering inspection and testing services, operators offering training 
for installers, manufacturers and repairers of equipment for alternative fuel vehicles; 

36. 

"new vehicle" means a vehicle which:  

(a) 

has never been registered previously, or 

(b)  has  been  registered  for  less  than  six  months  at  the  time  of  application  for  an 
individual approval.  

"registration" means that the vehicle, upon identification, has obtained the administrative 
authorisation for entry into service in road traffic, be it permanently, temporarily or for a 
short period of time and that a registration number has been issued; 

"placing on the market" means making available a vehicle for the first time in the Union 
with a view to distribution or use, whether for reward or free of charge;  

"entry  into  service"  means  the  first  use,  for  its  intended  purpose,  in  the  Union,  of  a 
vehicle covered by this Regulation; 

37. 

38. 

39. 

EN 

19 

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40. 

41. 

"sale" means any sale, from vehicle manufacturer to retailer or the sale to the end user; 

'vehicle type' means vehicles of the same category that do not differ in respect of at least 
the following essential aspects: 

– 

– 

– 

– 

– 

manufacturer; 

manufacturer's type designation; 

essential construction and design characteristics; 

backbone  chassis/chassis  with  side  members/articulated  chassis  (obvious  and 
fundamental differences); 

for category T: axles (number) or, for category C: axles/tracks (number); 

and, only for tractors: 

– 

engine (internal combustion/electric/hybrid). 

42. 

‘variant’ means vehicles of the same type which do not differ in respect of at least the 
following aspects: 

(a) For tractors: 

– 

– 

– 

– 

– 

– 

– 

– 

– 

– 

– 

engine, 

operating principle, 

number and arrangement of cylinders, 

power  difference  of  no  more  than  30  %  (the  highest  power  being  no 

more than 1,3 times the lowest power), 

cylinder  capacity  difference  of  no  more  than  20  %  (the  highest  figure 

being no more than 1,2 times the lowest figure); 

powered axles (number, position, interconnection); 

steered axles (number and position); 

maximum laden mass differing by no more than 10 %; 

transmission (type); 

rollover protection structure; 

braked axles (number); 

EN 

20 

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(b) For trailers or towed equipment:  

– 

– 

– 

steering axles (number, position, interconnection); 

maximum laden mass differing by no more than 10 %; 

braked axles (number); 

43. 

‘version of a variant' means vehicles which consist of a combination of items shown in 
the information package. 

Article 4 
Vehicle Categories 

For the purposes of this Regulation the following vehicle categories apply:  

1. 

2. 

3. 

4. 

5. 

6. 

"category T" comprises all wheeled tractors; 

"category  T1"  comprises  wheeled  tractors  with  a  maximum  design  speed  of  not  more 
than 40 km/h, with the closest axle to the driver having a minimum track width of not 
less than 1 150 mm, with an unladen mass, in running order, of more than 600 kg, and 
with a ground clearance of not more than 1 000 mm; 

"category  T2"  comprises  wheeled  tractors  with  a  minimum  track  width  of  less  than  1 
150 mm, with an unladen mass, in running order, of more than 600 kg, with a ground 
clearance of not more than 600 mm and with a maximum design speed of not more than 
40 km/h, unless the height of the centre of gravity of the tractor (measured in relation to 
the ground) divided by the average minimum track for each axle exceeds 0,90, in which 
case the maximum design speed is restricted to 30 km/h; 

"category  T3"  comprises  wheeled  tractors  with  a  maximum  design  speed  of  not  more 
than 40 km/h, and with an unladen mass, in running order, of not more than 600 kg; 

"category T4" comprises special purpose wheeled tractors with a maximum design speed 
of not more than 40 km/h; 

"category T4.1" (high–clearance tractors) comprises tractors designed for working with 
high-growing  crops,  such  as  vines.  They  feature  a  raised  chassis  or  section  of  chassis, 
enabling them to advance in parallel with the crop with left and right wheels on either 
side of one or more rows of the crop. They are intended for carrying or operating tools 
which may be fitted at the front, between the axles, at the rear or on a platform. When 
the  tractor  is  in  working  position  the  ground  clearance  perpendicular  to  the  crop  rows 
exceeds 1 000 mm. Where the height of the centre of gravity of the tractor, measured in 
relation to the ground, using the tyres normally fitted, divided by the average minimum 
track  of  all  of  the  axles  exceeds  0,90,  the  maximum  design  speed  shall  not  exceed  30 
km/h; 

EN 

21 

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7. 

8. 

9. 

10. 

11. 

12. 

13. 

14. 

15. 

"category  T4.2"  (extra–wide  tractors)  comprises  tractors  characterised  by  their  large 
dimensions, primarily intended for working large areas of farmland; 

"category  T4.3"  (low-clearance  tractors)  comprises  four-wheel  drive  tractors  whose 
interchangeable  equipment  is  intended  for  agricultural  or  forestry  use  and  which  are 
characterised by a supporting frame, equipped with one or more power take-offs, having 
a technically permissible mass no greater than 10 tonnes, for which the ratio of this mass 
to the maximum unladen mass in running order is less than 2,5 and having the centre of 
gravity,[see  former  footnote  38]  measured  in  relation  to  the  ground  using  the  tyres 
normally fitted, of less than 850 mm; 

"category T5" comprises wheeled tractors with a maximum design speed of more than 
40 km/h; 

"category  C"  comprises  track  –  laying  tractors  propelled  by  endless  tracks  or  by  a 
combination of wheels and endless tracks, with subcategories defined by analogy with 
category T; 

"category R" comprises trailers; each trailer category described in points 12 to 15 also 
includes an ‘a’ or ‘b’ index, according to its design speed: 

– 

– 

(a) 

‘a’ for trailers with a maximum design speed below or equal to 40 km/h, 

(b) 

‘b’ for trailers with a maximum design speed above 40 km/h; 

"category R1" comprises trailers, the sum of the technically permissible masses per axle 
of which does not exceed 1 500 kg; 

"category R2" comprises trailers, the sum of the technically permissible masses per axle 
of which exceeds 1 500 kg but does not exceed 3 500 kg; 

"category R3" comprises trailers, the sum of the technically permissible masses per axle 
of which exceeds 3 500 kg but does not exceed 21 000 kg; 

"category R4" comprises trailers, the sum of the technically permissible masses per axle 
of which exceeds 21 000 kg; 

16. 

"category S" comprises interchangeable towed equipment.  

Each  category  of  interchangeable  towed  equipment  includes  an  ‘a’  or  ‘b’  index, 
according to its design speed: 

– 

– 

 ‘a’ for interchangeable towed equipment with a maximum design speed below or 
equal to 40 km/h, 

 ‘b’ for interchangeable towed equipment with a maximum design speed above 40 
km/h; 

EN 

22 

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17. 

18. 

19. 

"category  S1"  comprises  interchangeable  towed  equipment,  the  sum  of  the  technically 
permissible masses per axle of which does not exceed 3 500 kg; 

"category  S2"  comprises  interchangeable  towed  equipment,  the  sum  of  the  technically 
permissible masses per axle of which exceeds 3 500 kg; 

“category  U”  comprises  machinery  as  defined  in  Directive  2006/42/EC,  which  is  self-
propelled and intended for use in agriculture or forestry. 

EN 

23 

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4. 

1. 

2. 

3. 

4. 

1. 

2. 

CHAPTER II 
GENERAL OBLIGATIONS 

Article 5 
National authorities 

Member States shall establish and appoint the national authorities competent in matters 
concerning approval, and notify to the Commission such establishment and appointment 
in accordance with Article 53. 

The  notification  act  of  the  approval  authorities  shall  include  their  name,  address, 
including electronic address, and area of responsibility. 

Approval authorities shall ensure that manufacturers applying for approval comply with 
their obligations under this Regulation. 

Approval authorities shall approve only such vehicles, systems, components or separate 
technical units as satisfy the requirements of this Regulation. 

Approval authorities shall register or permit the sale or entry into service only of such 
vehicles,  components  and  separate  technical  units  as  satisfy  the  requirements  of  this 
Regulation.  They  shall  not  prohibit,  restrict  or  impede  the  registration,  sale,  entry  into 
service or circulation on the road of vehicles, components or separate technical units, on 
grounds  related  to  aspects  of  their  construction  and  functioning  covered  by  this 
Regulation, if they satisfy its requirements. 

Article 6 
General obligations of manufacturers 

The manufacturer is responsible to the approval authority for all aspects of the approval 
process and for ensuring  conformity of  production, whether or not  the manufacturer is 
directly  involved  in  all  stages  of  the  construction  of  a  vehicle,  system,  component  or 
separate technical unit. 

In  the  case  of  multi-stage  type-approval,  each  manufacturer  is  responsible  for  the 
approval and conformity of production of the systems, components or separate technical 
units  added  at  the  stage  of  vehicle  completion  handled  by  the  manufacturer.  The 
manufacturer  who  modifies  components  or  systems  already  approved  at  earlier  stages 
shall be responsible for the approval and conformity of production of those components 
and systems. 

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3. 

4. 

1. 

2. 

The  manufacturer  who  modifies  the  incomplete  vehicle  in  a  manner  which  leads  to  a 
qualification  as  a  different  category  of  vehicle  with  the  consequence  that  legal 
requirements  already  assessed  in  a  previous  stage  of  approval  have  changed,  is  also 
responsible for compliance with those requirements. 

For the purposes of this Regulation, a manufacturer established outside the Community 
shall  appoint  a  single  representative  established  in  the  Community  to  represent  him 
before the approval authority.  

References to the manufacturer shall be understood as indicating either the manufacturer 
or this representative.  

CHAPTER III 
SUBSTANTIVE REQUIREMENTS  

Article 7  
Requirements on road safety 

Manufacturers shall ensure that vehicles are designed, constructed and assembled so as 
to minimise the risk of injury to the vehicle occupants and to other road users. 

Manufacturers  shall  ensure  that  vehicles,  systems,  components  and  separate  technical 
units  comply  with  the  relevant  requirements  set  out  in  this  Regulation  including  the 
requirements relating to: 

(a) 

vehicle structure integrity; 

(b) 

systems to aid the control of the vehicle by the driver, including steering, braking 

including anti-lock braking systems and electronic stability control systems; 

(c) 

systems  to  provide  the  driver  with  visibility  and  information  on  the  state  of  the 

vehicle and the surrounding area, including glazing, mirrors and driver information 

systems; 

(d)  vehicle lighting systems; 

(e) 

vehicle  occupant  protection,  including  interior  fittings,  head  restraint,  seat  belts, 

vehicle doors; 

(f) 

vehicle exterior and accessories; 

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(g) 

electromagnetic compatibility; 

(h) 

audible warning devices; 

(i) 

heating systems; 

(j) 

devices to prevent unauthorised use; 

(k)  vehicle identification systems; 

(l)  masses and dimensions;  

(m)  electrical safety; 

(n) 

rear protective structures; 

(o) 

lateral protection; 

(p) 

load platforms; 

(q) 

couplings and reversing devices; 

(r) 

controls; 

(s) 

tyres; 

(t) 

spray-suppression systems. 

3. 

4. 

The  requirements  referred  to  in  paragraphs  1  and  2  shall  apply  to  vehicles,  systems, 
components and separate technical units intended therefore, insofar as they are declared 
applicable to the relevant vehicle category set out in Article 4. 

The  Commission  shall  be  delegated  powers  to  adopt  in  accordance  with  Article  57  a 
delegated act laying down the detailed technical requirements including test procedures 
and  limit  values,  where  applicable,  for  the  subjects  listed  in  paragraph  2  in  order  to 
ensure that a high level of road safety will be obtained. 

Article 8 
Requirements on occupational safety 

1. 

Manufacturers shall ensure that vehicles are designed, constructed and assembled so as 
to minimise the risk of injury to persons working on or with the vehicle. 

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26 

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2. 

Manufacturers  shall  ensure  that  vehicles,  systems,  components  and  separate  technical 
units  comply  with  the  relevant  requirements  set  out  in  this  Regulation  including  the 
requirements relating to: 

(a) 

roll-over protection systems (hereinafter ROPS); 

(b) 

falling objects protection systems (hereinafter FOPS); 

(c) 

passenger seats; 

(d) 

internal sound levels; 

(e) 

driving seat; 

(f) 

operating space and access to the driving position; 

(g)  power take-offs; 

(h)  protection of drive components; 

(i) 

seat-belt anchorage points; 

(j) 

safety belts; 

(k)  protection of driver against penetrating objects (hereinafter OPS); 

(l) 

protection of driver against hazardous substances; 

(m)  operators manual. 

3. 

4. 

The  requirements  referred  to  in  paragraphs  1  and  2  shall  apply  to  vehicles,  systems, 
components and separate technical units intended therefor, insofar as they are declared 
applicable to the relevant vehicle category by this Regulation. 

The  Commission  shall  be  delegated  powers  to  adopt  in  accordance  with  Article  57  a 
delegated act laying down the detailed technical requirements including test procedures 
and  limit  values,  where  applicable,  for  the  subjects  listed  in  paragraph  2  in  order  to 
ensure that a high level of occupational safety will be obtained. 

Article 9  
Requirements on environmental performance  

1. 

Manufacturers shall ensure that vehicles are designed, constructed and assembled so as 
to minimise the impact to the environment. 

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2. 

3. 

4. 

5. 

Manufacturers  shall  ensure  that  vehicles,  systems,  components  and  separate  technical 
units  comply  with  the  relevant  requirements  set  out  in  this  Regulation,  including  the 
requirements relating to: 

(a) 

pollutant emissions; 

(b) 

external sound level. 

The specific limit values, procedures and test requirements for pollutant emissions laid 
down for mobile machinery in Directive 97/68/EC35 shall apply.  

The  requirements  referred  to  in  paragraphs  1  and  2  shall  apply  to  vehicles,  systems, 
components and separate technical units intended therefor, insofar as they are declared 
applicable to the relevant vehicle category by this Regulation. 

The  Commission  shall  be  delegated  powers  to  adopt  in  accordance  with  Article  57  a 
delegated act laying down the detailed technical requirements including test procedures 
and limit values, where applicable, on the external sound level as described in paragraph 
2(b) and the installation of approved engines in a vehicle and the related provisions for 
flexibility as described in paragraphs 2(a) and 3 in order to ensure that a high level of 
environmental performance will be obtained. 

CHAPTER IV 
EU TYPE-APPROVAL PROCEDURES 

Article 10  
Procedures for the EU whole vehicle type-approval  

1. 

The manufacturer may choose one of the following procedures: 

(a) step-by-step type-approval; 

(b) single-step type-approval; 

(c) mixed type-approval; 

(d) multi-stage approval. 

2. 

The step-by-step type-approval procedure is a vehicle approval procedure consisting in 
the  step-by-step  collection  of  the  whole  set  of  EU  type-approval  certificates  for  the 
systems,  components  and  separate  technical  units  relating  to  the  vehicle,  and  which 
leads, at the final stage, to the approval of the whole vehicle. 

35 

OJ L 59 of 27.2.1998, p.1. 

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The single-step type-approval is a procedure consisting in the approval of a vehicle as a 
whole by means of a single operation. 

The  mixed  type-approval  is  a  step-by-step  type-approval  procedure  for  which  one  or 
more system approvals are achieved during the final stage of the approval of the whole 
vehicle,  without  it  being  necessary  to  issue  the  EU  type-approval  certificates  for  those 
systems. 

The multi-stage type-approval procedure is an approval procedure in which one or more 
approval authorities certify that, depending on the state of completion, an incomplete or 
completed type of vehicle satisfies the relevant administrative provisions and technical 
requirements of this Regulation. 

Multi-stage  type-approval  shall  be  granted  in  respect  of  a  type  of  incomplete  or 
completed vehicle which conforms to the particulars in the information folder and which 
meets the technical requirements specified by the relevant acts listed in Annex I, having 
regard to the state of completion of the vehicle. 

The  type-approval  for  the  final  stage  of  completion  shall  only  be  granted  after  the 
approval  authority  has  verified  that  the  type  approval(s)  issued  for  the  incomplete 
vehicle  certify  that  the  vehicle  type  approved  at  the  final  stage  meets  all  technical 
requirements applicable at the time when and for the category of vehicle for which the 
type-approval for the completed vehicle is granted. 

The  choice  of  the  approval  procedure  shall  not  affect  the  applicable  regulatory 
requirements  with  which  the  approved  vehicle  type  has  to  comply  at  the  time  of  the 
issuing of the whole vehicle type-approval. 

Implementing powers are conferred on the Commission in order to lay down templates 
for the details of the arrangements with regard to type-approval procedures in Article 54.  

Article 11  
Application for type-approval 

The  manufacturer  shall  submit  the  application  for  type-approval  to  the  approval 
authority  

Only one application may be submitted in respect of a particular type of vehicle and it 
may be submitted in only one Member State.  

A separate application shall be submitted for each type to be approved. 

3. 

4. 

5. 

6. 

1. 

2. 

3. 

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Article 12  
Information to be provided in the application for type-approval  

1. 

An  information  document,  as  specified  in  implementing  legislation,  prescribes  the 
information to be supplied by the applicant. 

The  applicant  shall  provide  to  the  approval  authority  an  information  folder.  The 
information  folder  shall  include  the  information  document  and  all  data,  drawings, 
photographs and other information required therein. Such information may be supplied 
on paper or in electronic format.  

Implementing powers are conferred on the Commission in order to lay down templates 
for an information document and an information folder in Article 54. 

2. 

When applying for type-approval, the manufacturer shall specify the chosen procedure 
in accordance with Article 10 (1) a) to d), and provide the information folder. 

Article 13  
Specific requirements for information to be provided in the application for type-approval under 
different procedures 

1. 

2. 

3. 

An  application  for  step-by-step  type-approval  shall  be  accompanied  by  an  information 
folder  and  shall  be  accompanied  by  the  complete  set  of  type-approval  certificates 
required  pursuant  to  each  of  the  applicable  separate  acts  and  UNECE  Regulations  or 
OECD Codes listed in Annex I. 

In the case of the type-approval of a system or separate technical unit, pursuant to the 
applicable acts listed in Annex I, the approval authority shall have access to the related 
information folder until such time as the approval is either issued or refused. 

An  application  for  single-step  type-approval  shall  be  accompanied  by  an  information 
folder containing the relevant information in relation to the acts listed in Annex I. 

In  the  case  of  a  mixed  type-approval  procedure,  the  information  folder  shall  be 
accompanied by one or more type-approval certificates required pursuant to each of the 
applicable separate acts and UNECE Regulations or OECD Codes listed in Annex I and 
shall  include,  insofar  as  no  type-approval  certificate  is  presented,  the  relevant 
information required in the implementing measures to this Regulation, in relation to the 
acts listed in Annex I. 

4. 

Without prejudice to paragraphs 1, 2 and 3, the following information shall be supplied 
for the purposes of multi-stage type-approval: 

(a)  At the first stage, those parts of the information folder and the EU type-approval 
certificates  required  for  a  complete  vehicle  which  are  relevant  to  the  state  of 
completion of the base vehicle; 

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30 

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(b)  At the second and subsequent stages, those parts of the information folder and the 
EU  type-approval  certificates  which  are  relevant  to  the  current  stage  of 
construction,  together  with  a  copy  of  the  EU  type-approval  certificate  for  the 
vehicle issued at the preceding stage of construction; in addition, the manufacturer 
shall  supply  full  details  of  any  changes  or  additions  that  he  has  made  to  the 
vehicle. 

The  information  specified  in  points  (a)  and  (b)  may  be  supplied  in  accordance  with 
paragraph 2. 

5. 

The approval authority may, by reasoned request, call upon the manufacturer to supply 
any  additional  information  needed  to  enable  a  decision  to  be  taken  on  which  tests  are 
required or to facilitate the execution of those tests. 

Article 14 
Procedure to be followed for the EU type-approval of systems, components or separate technical 
units 

The manufacturer shall submit the application to the approval authority.  

Only  one  application  may  be  submitted  in  respect  of  a  particular  type  of  system, 
component or separate technical unit and it may be submitted in only one Member State. 

A separate application shall be submitted for each type to be approved. 

CHAPTER V 
CONDUCT OF EU TYPE-APPROVAL PROCEDURES 

Article 15 
General provisions 

1. 

2. 

3. 

Approval authorities shall only grant an EU type-approval after having ensured that the 
conformity  of  production  procedures  referred  to  in  Article  19  have  been  implemented 
and if the type of vehicle, system, component or  separate technical unit complies with 
the applicable requirements. 

EU type-approvals shall be granted in accordance with Articles 16 and 17. 

If  an  approval  authority  finds  that  a  type  of  vehicle,  system,  component  or  separate 
technical unit, albeit built in conformity with the required provisions, presents a serious 
risk to road safety or seriously harms the environment or public health or, for tractors, 
presents a serious risk to occupational safety, it may refuse to grant EU type-approval. In 
this case, it shall immediately send the approval authorities of the other Member States 

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31 

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4. 

5. 

6. 

7. 

8. 

9. 

10. 

and the Commission a detailed file explaining the reasons for its decision and setting out 
the evidence for its findings. 

EU  type-approval  certificates  shall  be  numbered  in  accordance  with  a  harmonized 
system. 

The approval authority shall, within 20 working days, send to the approval authorities of 
the  other  Member  States  a  copy  of  the  EU  vehicle  type-approval  certificate,  together 
with the attachments, for each type of vehicle which it has approved. The hard copy may 
be replaced by an electronic file. 

The approval authority shall inform without delay the approval authorities of the other 
Member  States  of  its  refusal  or  withdrawal  of  any  vehicle  approval,  together  with  the 
reasons for its decision. 

The approval authority shall send at three-monthly intervals to the approval authorities 
of the other Member States a list of the system, component or separate technical unit EU 
type-approvals  it  has  granted,  amended,  refused  to  grant  or  withdrawn  during  the 
preceding period.  

If so requested by an approval authority of another Member State, the approval authority 
which has granted an EU type-approval shall, within 20 working days of receiving that 
request,  send  to  the  former  a  copy  of  the  EU  type-approval  certificate  in  question, 
together with the attachments. The paper copy may be replaced by an electronic file. 

If so requested by the Commission, the approval authority shall submit the information 
described in paragraphs 5 to 8 also to the Commission. 

The  approval  authority  shall  put  together  an  information  package  consisting  in  the 
information folder accompanied by the test reports 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  folder  shall  contain  an  index  listing  the 
contents  of  the  information  package,  suitably  numbered  or  otherwise  marked  so  as  to 
identify  clearly  all  the  pages,  the  format  of  that  document  being  such  as  to  present  a 
record of the successive steps in the management of the EU type-approval, in particular 
the dates of the revisions and updating. 

Article 16 
Specific provisions concerning the type-approval certificate 

1. 

The type-approval certificate shall contain, as attachments, the following:  

(a) 

the information package referred to in Article 15; 

(b) 

the test results; 

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(c) 

the name(s) and specimen(s) of the signature(s) of the person(s) authorised to sign 
certificates of conformity and a statement of their position in the company. 

The type approval certificate shall be issued on the basis of the template laid down in the 
implementing act to this regulation:  

In respect of each type of vehicle, the approval authority shall: 

(a) 

complete all the relevant sections of the EU type-approval certificate, including the 
test  results  sheet  appended  thereto,  in  accordance  with  the  template  of  the  type 
approval certificate set out in the implementing act to this Regulation; 

(b) 

compile the index to the information package; 

(c) 

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

In the case of an EU type-approval in relation to which, in accordance with Article 26, 
restrictions  have  been  imposed  as  to  its  validity,  or  certain  provisions  of  the  acts  have 
been waived, the EU type-approval certificate shall specify those restrictions or waivers. 

Where  the  manufacturer  chooses  the  mixed  type-approval  procedure,  the  approval 
authority shall complete in the information document the references for the test reports, 
established  by  regulatory  acts,  for  which  no  EU  type-approval  certificate  is  available. 
Implementing powers are conferred on the Commission in order to lay down a template 
of such a document in Article 54. 

Where  the  manufacturer  chooses  the  single-step  type-approval  procedure,  the  approval 
authority shall establish the list of applicable requirements or acts and append that list to 
the  EU 
the 
Commission in order to lay down a template of such a list in Article 54. 

type-approval  certificate.  Implementing  powers  are  conferred  on 

Article 17 
Specific provisions concerning systems, components or separate technical units 

EU  type-approval  shall  be  granted  in  respect  of  a  system  which  conforms  to  the 
particulars  in  the  information  folder  and  which  meets  the  technical  requirements  laid 
down in the relevant act listed in Annex I. 

A component or separate technical unit EU type-approval shall be granted in respect of a 
component  or  separate  technical  unit  which  conforms  to  the  particulars  in  the 
information folder and which meets the technical requirements laid down in the relevant 
separate act listed in Annex I. 

Where  components  or  separate  technical  units,  whether  or  not  intended  for  repair, 
servicing or maintenance, are also covered by a system type-approval with respect to a 

2. 

3. 

4. 

5. 

6. 

1. 

2. 

3. 

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33 

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vehicle,  no  additional  component  or  separate  technical  unit  approval  shall  be  required 
unless provided for under the relevant act listed in Annex I. 

Where  a  component  or  separate  technical  unit  fulfils  its  function  or  offers  a  specific 
feature only in conjunction with other parts of the vehicle, thereby making it possible to 
verify compliance with the requirements only when the component or separate technical 
unit is operating in conjunction with those other vehicle parts, the scope of the EU type-
approval of the component or the separate technical unit shall be restricted accordingly. 

In such cases, the EU type-approval certificate shall specify any restriction on its use and 
shall indicate the special conditions for its mounting. 

When such a component or separate technical unit is fitted by the vehicle manufacturer, 
compliance with any applicable restrictions on use or conditions for mounting shall be 
verified at the time when the vehicle is approved. 

Article 18 
Tests required for EU type-approval 

Compliance with the technical prescriptions laid down in this Regulation and in the acts 
listed  in  Annex  I  shall  be  demonstrated  by  means  of  appropriate  tests  performed  by 
designated technical services.  

The  test  procedures  and  the  specific  equipment  and  tools  prescribed  to  perform  those 
tests are described in those acts. 

The  manufacturer  shall  make  available  to  the  approval  authority  as  many  vehicles, 
components  or  separate  technical  units  as  are  required  under  the  relevant  acts  for  the 
performance of the required tests. 

The  required  tests  shall  be  performed  on  vehicles,  components  and  separate  technical 
units which are representative of the type to be approved. 

However,  the  manufacturer  may  select,  in  agreement  with  the  approval  authority,  a 
vehicle,  a  system,  a  component  or  a  separate  technical  unit  which,  while  not 
representative of the type 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. 

Virtual testing methods may be used as alternatives to the test procedures referred to in 
paragraph 1 and subject to the agreement of the approval authority, at the request of the 
manufacturer  with  respect  to  those  requirements  listed  in  the  delegated  acts  adopted 
under this regulation. 

Virtual testing methods shall fulfil the conditions set out tin the delegated acts adopted 
under this regulation. 

4. 

1. 

2. 

3. 

4. 

5. 

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6. 

1. 

2. 

3. 

The  Commission  shall  be  delegated  powers  to  adopt  in  accordance  with  Article  57  a 
delegated act specifying which requirements can be subject to virtual testing and laying 
down  the  conditions  under  which  such  virtual  testing  must  be  performed  in  order  to 
ensure  that  the  results  obtained  through  virtual  testing  are  as  meaningful  as  those 
obtained through physical testing. 

Article 19 
Conformity of production arrangements 

The  approval  authority  which  grants  an  EU  type-approval  shall  take  the  necessary 
measures to verify, if need be in cooperation with the approval authorities of the other 
Member  States,  that  adequate  arrangements  have  been  made  to  ensure  that  production 
vehicles, systems, components or separate technical units, as the case may be, conform 
to the approved type. 

The approval authority which has granted an EU type-approval shall take the necessary 
measures  in  relation  to  that  approval  to  verify,  if  need  be  in  cooperation  with  the 
approval  authorities  of  the  other  Member  States,  that  the  arrangements  referred  to  in 
paragraph 1 continue to be adequate and that production vehicles, systems, components 
or  separate  technical  units,  as  the  case  may  be,  continue  to  conform  to  the  approved 
type. 

Verification  to  ensure  that  vehicles,  systems,  components  or  separate  technical  units 
conform  to  the  approved  type  shall  be  limited  to  the  procedures  set  out  in  the 
implementing acts to this regulation. To that end, the approval authority of the Member 
State which has granted the EU type-approval may carry out any of the checks or tests 
prescribed  with  regard  to  the  regulatory  requirement  which  is  subject  of  the  EU  type 
approval  on  samples  taken  in  the  premises  of  the  manufacturer,  including  production 
facilities. 

When 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  and control plans agreed, have ceased to be applied or are no longer 
considered to be adequate, although production continues, that approval authority shall 
take  the  necessary  measures  to  ensure  that  the  conformity  of  production  procedure  is 
followed correctly or withdraw the type-approval. 

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CHAPTER VI 
AMENDMENTS TO EU TYPE-APPROVALS 

Article 20 
General provisions 

1. 

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

That  approval  authority  shall  decide,  in  accordance  with  the  rules  laid  down  in  this 
Chapter, which procedure is to be followed. 

Where  necessary  it  may  decide,  in  consultation  with  the  manufacturer,  that  a  new  EU 
type-approval or a new individual approval is to be granted. 

2. 

3. 

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

If  the  approval  authority  finds  that,  for  the  purposes  of  making  an  amendment,  the 
repetition  of  inspections  or  tests  is  necessary,  it  shall  inform  the  manufacturer 
accordingly. 

The  procedures  referred  to  in  Article  19  shall  apply  only  if  on  the  basis  of  those 
inspections or tests the approval authority concluded that the requirements for EU type-
approval continue to be fulfilled. 

Article 21 
Specific provisions concerning vehicles, systems, components or separate technical units 

1. 

If particulars recorded  in the information package have changed, without  requiring the 
repetition of inspections or tests, the amendment shall be designated a "revision". 

In  such  cases,  the  approval  authority  shall  issue  the  revised  page  of  the  information 
package  as  necessary,  marking  each  revised  pages  to  show  clearly  the  nature  of  the 
change  and  the  date  of  re-issue.  A  consolidated,  updated  version  of  the  information 
package, accompanied by a detailed description of the changes, shall be deemed to meet 
this requirement. 

2. 

The  amendment  shall  be  designated  an  "extension"  if,  in  addition  to  the  provisions  of 
paragraph 1, any of the following occurs: 

(a) 

further inspections or tests are required; 

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(b) 

(c) 

any  information  on  the  EU  type-approval  certificate,  with  the  exception  of  its 
attachments, has changed; 

new requirements under any of the acts applicable to the approved vehicle type or 
to the approved system, component or separate technical unit enter into force. 

In such cases, the approval authority shall issue a revised EU type-approval certificate 
denoted  by  an  extension  number,  incremented  in  accordance  with  the  number  of 
successive  extensions  already  granted.  The  approval  certificate  shall  show  clearly  the 
reason for the extension and the date of re-issue. 

Whenever amended pages or a consolidated, updated version are issued, the index to the 
information package attached to the approval certificate shall be amended accordingly to 
show  the  date  of  the  most  recent  extension  or  revision,  or  the  date  of  the  most  recent 
consolidation of the updated version. 

Article 22 
Issue and notification of amendments 

In the case of an extension all relevant sections of the EU type-approval certificate, the 
attachments  thereto,  and  the  index  to  the  information  package  shall  be  updated.  The 
updated certificate and its attachments shall be issued to the applicant without delay. 

In the case of a revision, the revised documents or the consolidated, updated version, as 
appropriate, including the revised index to the information package, shall be issued by 
the approval authority to the applicant without delay. 

The  approval  authority  shall  notify  any  amendment  made  to  EU  type-approvals  to  the 
approval  authorities  of  the  other  Member  States  in  accordance  with  the  procedures  set 
out in Article 15. 

CHAPTER VII 
VALIDITY OF EU TYPE-APPROVAL  

Article 23 
Termination of validity 

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

An EU type-approval of a vehicle shall cease to be valid in any of the following cases: 

(a)  new  requirements  in  any  act  applicable  to  the  approved  vehicle  type  become 
mandatory  for  the  registration,  sale  or  entry  into  service  of  new  vehicles,  and  it  is  not 
possible to update the type-approval accordingly; 

1. 

2. 

3. 

1. 

2. 

EN 

37 

   EN 

 
3. 

4. 

5. 

(b) production of the approved vehicle is definitively discontinued voluntarily; 

(c)  the  validity  of  the  type-approval  expires  by  virtue  of  a  special  restriction  in 
accordance with Article 26. 

Where only one variant within a type or one version within a variant becomes invalid, 
the EU type-approval of the vehicle in question shall lose validity only in so far as the 
particular variant or version is concerned. 

When  production  of  a  particular  type  of  vehicle  is  definitively  discontinued,  the 
manufacturer  shall  notify  the  approval  authority  that  granted  the  EU  type-approval  for 
that vehicle. 

Upon receiving such notification, that authority shall inform the approval authorities of 
the other Member States accordingly within 20 working days. 

Without  prejudice  to  paragraph  4,  in  cases  where  an  EU  type-approval  of  a  vehicle  is 
due to become invalid, the manufacturer shall notify the approval authority that granted 
the EU type-approval. 

The approval authority shall without delay communicate all relevant information to the 
approval  authorities  of the  other Member States so  as to enable the  application,  where 
appropriate, of Article 34. 

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

CHAPTER VIII 
CERTIFICATE OF CONFORMITY AND MARKINGS 

Article 24 
Certificate of conformity 

1. 

The manufacturer, in his capacity of the holder of a whole vehicle type-approval, shall 
deliver  a  certificate  of  conformity  as  a  paper  document  to  accompany  each  vehicle, 
whether complete, incomplete or completed, which is manufactured in conformity with 
the approved vehicle type. 

Such certificate shall be delivered free of charge to the buyer together with the vehicle, 
its  delivery  may  not  be  made  dependent  on  an  explicit  request  or  the  submission  of 
additional information to the manufacturer. 

2. 

The  manufacturer  shall  use  the  template  of  the  certificate  of  conformity  given  in 
implementing measures in accordance with Article 54. 

EN 

38 

   EN 

 
3. 

4. 

5. 

6. 

7. 

8. 

9. 

10. 

1. 

Unless  a  different  agreement  has  been  concluded  with  the  buyer  of  the  vehicle,  the 
certificate of conformity shall be drawn up in an official language of the Member State 
where the vehicle is purchased. 

The certificate of conformity shall be designed to prevent forgery. To that end, the paper 
used shall be protected either by coloured graphics or by a watermark in the form of the 
manufacturer's identification mark. 

The  certificate  of  conformity  shall  be  completed  in  its  entirety  and  shall  not  contain 
restrictions as regards the use of the vehicle other than those provided for in a regulatory 
act. 

In the case of an incomplete or completed vehicle, the manufacturer shall complete only 
those items on side 2 of the certificate of conformity which have been added or changed 
at  the  current  stage  of  approval  and,  if  applicable,  shall  attach  to  the  certificate  all 
certificates of conformity delivered at the previous stage. 

The  certificate  of  conformity  as  set  out  in  the  implementing  act  to  this  Regulation  for 
vehicles approved in accordance with paragraph 2 of Article 26 shall display in the title 
thereof  the  phrase  "For  complete/completed  vehicles,  type-approved  in  application  of 
Article 26 of Regulation […][this Regulation](provisional approval)." 

The certificate of conformity as set out in the implementing act shall, for vehicles type-
approved  in  accordance  with  Article  28,  display  in  the  title  thereof  the  phrase  "For 
complete/completed  vehicles  type-approved  in  small  series",  and  in  close  proximity 
thereto the year of production followed by a sequential number, between 1 and the limit 
indicated in the table set out in Part 1 of Annex II, denoting, in respect of each year of 
production, the position of that vehicle within the production allocated for that year. 

Without  prejudice  to  paragraph  1,  the  manufacturer  may  transmit  data  or  information 
contained  in  the  certificate  of  conformity  by  electronic  means  to  the  registration 
authority of the Member State. 

A duplicate of the certificate of conformity may be issued only by the manufacturer. The 
word "duplicate" must be clearly visible on the face of any duplicate certificate. 

Article 25 
Type-approval mark 

The manufacturer of a component or separate technical unit, whether or not it is part of a 
system,  shall  affix  to  each  component  or  unit  manufactured  in  conformity  with  the 
approved type the type-approval mark, required by the relevant delegated act under this 
Regulation or the relevant UNECE Regulation or OECD-Code. 

EN 

39 

   EN 

 
2. 

3. 

1. 

2. 

3. 

4. 

Where no such type-approval mark is required, the manufacturer shall affix at least the 
trade name or trade mark of the manufacturer, and the type number and an identification 
number. 

The  EU  type-approval  mark  shall  be  drawn  in  accordance  with  the  model  set  out  in 
implementing legislation to this Regulation. 

CHAPTER IX 
EXEMPTIONS AND NEW TECHNOLOGIES OR CONCEPTS 
INCOMPATIBILITY WITH DELEGATED ACTS OR UNECE 
REGULATIONS 

Article 26 
Exemptions for new technologies or new concepts  

The  manufacturer  may  apply  for  an  EU  type-approval  in  respect  of  a  type  of  system, 
component  or  separate  technical  unit  that  incorporates  new  technologies  or  concepts 
which are incompatible with one or more acts or requirements listed in Annex I. 

The approval authority shall grant the EU type-approval referred to in paragraph 1 if all 
of the following conditions are met: 

(a) the application states the reasons why the technologies or concepts in question make 
the  system,  component  or  separate  technical  unit  incompatible  with  the 
requirements; 

(b)  the  application  describes  the  safety  and  environmental  implications  of  the  new 
technology and the measures taken in order to ensure that by comparison with the 
requirements from which exemption is sought, at least an equivalent level of safety 
and environmental protection is ensured; 

(c) test descriptions and results are presented which prove that the condition in point (b) 

is met.  

Pending  the  decision  on  authorisation  by  the  Commission,  the  approval  authority  may 
grant a provisional approval, valid only in the territory of that Member State, in respect 
of  a  type  of  vehicle  covered  by  the  exemption  sought.  The  approval  authority  shall 
inform the Commission and the other Member States thereof without delay by means of 
a file containing the information referred to in paragraph 2. 

Other approval authorities may decide to accept the provisional approval referred to in 
paragraph 3 on their territory. 

EN 

40 

   EN 

 
5. 

6. 

The granting of an exemption for new technologies or new concepts shall be subject to 
authorisation by the Commission in accordance with the procedure referred to in Article 
55(2). 

Where appropriate, the decision on authorisation shall also specify whether its validity is 
subject to any restrictions. In all cases, the validity of the approval shall not be less than 
36 months. 

If  the  Commission  decides  to  refuse  authorisation,  the  approval  authority  shall 
immediately  give  notice  to  the  holder  of  the  provisional  type-approval  referred  to  in 
paragraph 3 that the provisional approval will be revoked six months after the date of the 
Commission's decision. 

However,  vehicles  manufactured  in  conformity  with  the  provisional  approval  before  it 
was  revoked  shall  be  permitted  to  be  registered,  sold  or  enter  service  in  any  Member 
State that accepted the provisional approval. 

Article 27 
Action required 

1. 

Where the Commission authorised the granting of an exemption pursuant to Article 26, 
it shall immediately take the necessary steps to adapt the delegated acts or requirements 
concerned to technological developments. 

Where  the  exemption  pursuant  to  Article  26  relates  to  a  UNECE  Regulation,  the 
Commission  shall  propose  an  amendment  to  the  relevant  UNECE  Regulation  in 
accordance with the procedure applicable under the Revised 1958 Agreement. 

2. 

As  soon  as  the  relevant  acts  or  requirements  have  been  amended,  any  restriction 
attaching to the exemption shall be lifted. 

If the necessary steps to adapt the delegated acts or requirements have not been taken, 
the validity of an exemption may be extended, at the request of the Member State which 
granted  the  approval,  by  a  Commission  decision  adopted  in  accordance  with  the 
procedure referred to in Article 55(2). 

CHAPTER X 
VEHICLES PRODUCED IN SMALL SERIES 

Article 28 
National type-approval of small series 

1. 

The  manufacturer  may  request  a  national  type  approval  of  small  series  of  a  type  of 
vehicle within the quantitative limits set out in Part 1 of Annex II. 

EN 

41 

   EN 

 
2. 

3. 

4. 

5. 

6. 

7. 

8. 

9. 

For such an approval the national authority may, if it has reasonable grounds to do so, 
wave  one  or  more  of  the  provisions  of  one  or  more  of  the  acts  listed  in  Annex  I  , 
provided that it has laid down alternative requirements. 

The  alternative  requirements  referred  to  in  paragraph  1  shall  ensure  a  level  of  road 
safety,  environmental  protection,  and  occupational  safety  which  is  equivalent  to  the 
greatest extent practicable to the level provided for by the relevant act listed in Annex I. 

For the purpose of type-approval of vehicles under this Article, systems, components or 
separate  technical  units  which  are  type-approved  in  accordance  with  the  acts  listed  in 
Annex I shall be accepted. 

The type-approval certificate shall specify the content of the waivers granted pursuant to 
paragraph 1. For the purposes of this article, the type-approval certificate shall be drafted 
in accordance with the model set out in implementing legislation but shall not bear the 
heading  "EU  vehicle  type-approval  certificate".  Type-approval  certificates  shall  be 
numbered in accordance with this regulation. 

The validity of the type-approval shall be restricted to the territory of the Member State 
the approval authority of which granted the approval. 

However, if the manufacturer so requests, a copy of the type-approval certificate and its 
attachments  shall  be  sent  by  registered  mail  or  by  electronic  mail  to  the  approval 
authorities of the Member States designated by the manufacturer. 

Within 60 days of receipt, the approval authorities of the Member States designated by 
the manufacturer shall decide whether or not they accept the type-approval. They shall 
formally  communicate  that  decision  to  the  approval  authority  referred  to  in  the  first 
subparagraph. 

A  type-approval  shall  not  be  refused  unless  the  approval  authority  has  reasonable 
grounds  to  believe  that  the  technical  provisions  according  to  which  the  vehicle  was 
approved are not equivalent to its own. 

On  request of an  applicant  who wishes to sell, register or put into service  a  vehicle in 
another Member State, the approval authority that granted the approval shall provide the 
applicant with a copy of the type-approval certificate including the information package. 
The  national  authority  shall  permit  the  sale,  registration  or  entry  into  service  of  this 
vehicle  unless  it  has  reasonable  grounds  to  believe  that  the  technical  provisions 
according to which the vehicle was approved are not equivalent to its own. 

EN 

42 

   EN 

 
CHAPTER XI 
INDIVIDUAL APPROVALS 

Article 29 
Individual approvals 

1. 

2. 

3. 

4. 

5. 

1. 

2. 

3. 

An application for individual approval shall be submitted by the manufacturer or by the 
owner  of  the  vehicle.  It  may  also  be  submitted  by  a  person,  established  in  the 
Community, acting on behalf of the manufacturer or the owner of the vehicle. 

In  the  individual  approval  procedure,  approval  authorities  shall  certify  that  the  vehicle 
satisfies the relevant administrative provisions and technical requirements. 

An individual approval shall apply to a particular vehicle, whether it is unique or not. 

Applications for individual approval shall cover a maximum of 15 vehicles of the same 
type. 

This Article shall apply to vehicles which at the time of the application for the individual 
approval had never obtained the administrative authorisation for the entry into service, 
involving its identification and the issuing of a registration number, including temporary 
or  short-term  registrations  or  professional  registration  or  put  into  service,  or  had  only 
been registered or put into service for less than six months. 

Article 30 
Exemptions for individual approvals 

An approval authority may exempt the vehicle from compliance with one or more of the 
acts  listed  in  Annex  I,  provided  that  the  approval  authority  imposes  alternative 
requirements and has reasonable grounds for such exemption. 

Alternative  requirements  must  ensure  a  level  of  road  safety,  environmental  protection, 
and occupational safety which is equivalent to the greatest extent practicable to the level 
provided for by the relevant act listed in Annex I. 

Approval  authorities  shall  not  carry  out  destructive  tests.  They  shall  use  any  relevant 
information  provided  by  the  applicant  establishing  compliance  with  the  alternative 
requirements. 

Approval authorities shall accept any system, component or separate technical unit EU 
type-approval instead of the alternative requirements. 

EN 

43 

   EN 

 
4. 

The approval authority shall grant the individual approval if the vehicle conforms to the 
description  appended 
technical 
the  applicable 
the  application  and  satisfies 
requirements and shall without delay issue the individual approval certificate. 

to 

The  format  of  the  individual  approval  certificate  shall  be  based  on  the  template  of  the 
EU  type-approval  certificate  set  out  in  Annex  V  and  shall  contain  at  least  the 
information  necessary  to  complete  the  application  for  registration  provided  for  in 
Council Directive 1999/37/EC36. 

Individual  approval  certificates  shall  not  bear  the  heading  "EU  vehicle  approval".  An 
individual approval certificate shall bear the vehicle identification number of the vehicle 
concerned. 

1. 

2. 

3. 

4. 

1. 

Article 31 
Validity and acceptance of individual approval  

The validity of an individual approval shall be restricted to the territory of the Member 
State in which it was granted. 

Where an applicant wishes to sell, register or put into service in another Member State a 
vehicle  which  has  been  granted  an  individual  approval,  the  approval  authority  that 
granted  the  approval  shall,  on  request,  provide  the  applicant  with  a  statement  of  the 
technical  provisions  against  which  the  vehicle  was  approved  and  any  additional 
information  stating  in  detail  the  nature  of  the  technical  requirements  satisfied  by  that 
particular vehicle. 

With  regard  to  a  vehicle which has  been granted an individual  approval by a  approval 
authority of one Member State in accordance with the provisions of Article 29, the other 
Member  States  shall  permit  that  vehicle  to  be  sold,  registered  or  to  enter  into  service 
unless  they  have  reasonable  grounds  to  believe  that  the  technical  provisions  against 
which the vehicle was approved are not equivalent to their own. 

At the request of the manufacturer or of the owner of the vehicle, approval authorities 
shall grant an individual approval to a vehicle which complies with the provisions of this 
Regulation,. In such a case, approval authorities shall accept the individual approval and 
shall permit the sale, registration and entry into service of the vehicle. 

Article 32 
Specific provisions 

The provisions of this Chapter may apply to vehicles which have been type-approved in 
accordance  with  this  Regulation  and  which  have  been  modified  before  their  first 
registration or entry into service. 

36 

OJ L 138, 1.6.1999, p. 57. 

EN 

44 

   EN 

 
                                                 
2. 

3. 

1. 

2. 

3. 

1. 

The  procedure  set  out  in  this  Chapter  may  apply  to  a  particular  vehicle  during  the 
successive  stages  of  its  completion  in  accordance  with  a  multi-stage  type-approval 
procedure. 

The procedure set out in this Chapter may not replace an intermediate stage within the 
normal  sequence  of  a  multi-stage  type-approval  procedure  and  may  not  apply  for  the 
purposes of obtaining the first-stage approval of a vehicle. 

CHAPTER XII 
REGISTRATION, SALE AND ENTRY INTO SERVICE 

Article 33 
Registration, sale and entry into service of vehicles 

Without prejudice to the provisions of Articles 36 and 37, vehicles for which EU whole 
vehicle type approval is mandatory or for which the manufacturer has obtained such type 
approval  under  this  regulation  shall  only  be  registered,  sold  or  entered  into  service  if 
they  are  accompanied  by  a  valid  certificate  of  conformity  issued  in  accordance  with 
Article 24. 

In  the  case  of  incomplete  vehicles,  the  sale  of  such  vehicles  is  permitted,  but  the 
competent authorities of the Member States may refuse the permanent registration and 
entry into service of such vehicles for such time as the vehicles remain incomplete. 

As regards small-series vehicles, the number of vehicles registered, sold or entered into 
service in the course of a single year shall not exceed the number of units set out in Part 
1 of Annex II. 

Paragraph  1  shall  not  apply  to  vehicles  intended  for  use  by  the  armed  forces,  civil 
protection,  fire-fighting  or  public  order  services  or  to  vehicles  type-approved  in 
accordance with Articles 28 or 32. 

Article 34 
Registration, sale and entry into service of end-of-series vehicles 

Subject  to  the  limits  set  out  in  Part  2  of  Annex  II  and  to  the  time  limit  set  out  in 
paragraph  2,  vehicles  conforming  to  a  type  of  vehicle  whose  EU  type-approval  is  no 
longer valid may be registered, sold and entered into service. 

The  first  subparagraph  shall  apply  only  to  vehicles  within  the  territory  of  the  Union 
which  were  covered  by  a  valid  EU  type-approval  at  the  time  of  their  production,  but 
which had not been registered or put into service before that EU type-approval lost its 
validity. 

EN 

45 

   EN 

 
2. 

3. 

4. 

5. 

1. 

2. 

3. 

4. 

Paragraph 1 shall apply, in the case of complete vehicles, for a period of twelve months 
from  the  date  on  which  validity  of  the  EU  type-approval  expired  and,  in  the  case  of 
completed vehicles, for a period of eighteen months from that date. 

A manufacturer who wishes to benefit from the provisions of paragraph 1 shall submit a 
request  to  the  competent  authority  of  each  Member  State  concerned  by  the  entry  into 
service of the vehicles in question. That request must specify any technical or economic 
reasons preventing those vehicles from complying with the new technical requirements. 

The competent authorities concerned shall decide, within three months of receiving the 
request, whether and in what number to permit the registration of those vehicles within 
their territory. 

Member  States  shall  ensure  that  the  number  of  vehicles  to  be  registered  or  put  into 
service  in  the  framework  of  the  procedure  set  out  in  this  Article  is  are  effectively 
monitored. 

This  Article  shall  apply  only  to  discontinuation  due  to  termination  of  validity  of  the 
type-approval in the case referred to in Article 23(2)(a). 

Article 35 
Sale and entry into service of components and separate technical units 

Components or separate technical units may only be sold and entered into service if they 
comply  with  the  requirements  of  the  relevant  acts  listed  in  Annex  1  and  are  properly 
marked in accordance with Article 25. 

Paragraph 1 shall not apply in the case of components or separate technical units which 
are specifically constructed or designed for new vehicles not covered by this Regulation. 

By way of derogation from paragraph 1, Member States may permit the sale and entry 
into service of components or separate technical units which have been exempted from 
one or more provisions of this regulation in application of Article 26 or are intended for 
mounting on vehicles covered by approvals granted under Articles 28 or 29 that concern 
the component or separate technical unit in question. 

By  way  of  derogation  from  paragraph  1,  and  unless  otherwise  provided  for  in  a  this 
regulation, Member States may permit the sale and entry into service of components or 
separate technical units which are intended for mounting on vehicles which, at the time 
of  their  entry  into  service,  were  not  required  by  this  Regulation  or  by  Directive 
2003/37/EC to be EU type-approved. 

EN 

46 

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CHAPTER XIII 
SAFEGUARD CLAUSES 

Article 36 
Vehicles, systems, components or separate technical units in compliance with this Regulation 

1. 

2. 

3. 

4. 

If a national authority finds that new vehicles, systems, components or separate technical 
units, albeit in compliance with the applicable requirements or properly marked, present 
a  serious  risk  to  road  safety,  seriously  harm  the  environment  or  public  health  or,  for 
tractors, present a serious risk to occupational safety, that national authority may, for a 
maximum period of six months, refuse to register such vehicles or to permit the sale or 
entry into service in its territory of such vehicles, components or separate technical units. 

In  such  cases,  the  national  authority  concerned  shall  immediately  notify  the 
manufacturer, the national authorities of the other Member States and the Commission 
accordingly, stating the reasons on which its decision is based and, in particular, whether 
it is the result of any of the following: 

(a) 

shortcomings in the relevant acts;  

(b) 

incorrect application of the relevant requirements. 

The  Commission  shall,  as  soon  as  possible  consult  the  parties  concerned  and,  in 
particular, the approval authority that granted the type-approval in order to prepare the 
decision. 

Where  the  measures  referred  to  in  paragraph  1  are  attributed  to  shortcomings  in  the 
relevant acts, the Commission shall take the following measures : 

(a)  where  delegated  acts  are  concerned,  the  Commission  shall  amend  those  acts 

accordingly; 

(b)  where  UNECE  Regulations  are  concerned,  the  Commission  shall  propose  the 
necessary  draft  amendments  to  the  relevant  UNECE  Regulations  in  accordance 
with the procedure applicable under the Revised 1958 Agreement. 

Where the measures referred to in paragraph 1 are attributed to incorrect application of 
the  relevant  requirements,  the  Commission  shall  take  the  necessary  steps  in  order  to 
ensure  that  the  approval  authority  concerned  complies  with  such  requirements.  The 
approval authorities of all Member States shall be informed about such steps. 

EN 

47 

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Article 37 
Vehicles, systems, components or separate technical units not in conformity with the approved 
type 

1. 

2. 

3. 

4. 

If  new  vehicles,  systems,  components  or  separate  technical  units  accompanied  by  a 
certificate of conformity or bearing an approval mark do not conform to the type it has 
approved,  the  national  authority  which  has  granted  an  EU  type-approval  shall  take  the 
necessary  measures,  including  the  withdrawal  of  type-approval,  to  ensure  that 
production  vehicles,  systems,  components  or  separate  technical  units,  as  the  case  may 
be,  are  brought  into  conformity  with  the  approved  type.  It  shall  inform  the  approval 
authorities of the other Member States of the measures taken within 20 working days. 

For the purposes of paragraph 1, deviations from the particulars in the EU type-approval 
certificate or the information package shall be deemed to constitute failure to conform to 
the  approved  type.  A  vehicle  shall  not  be  deemed  to  deviate  from  the  approved  type 
where tolerances are permitted by the relevant regulatory acts and those tolerances are 
respected. 

If a national approval authority of another Member State demonstrates that new vehicles, 
components  or  separate  technical  units  accompanied  by  a  certificate  of  conformity  or 
bearing an approval mark do not conform to the approved type, it may ask the national 
authority  which  granted  the  EU  type-approval  to  verify  that  vehicles,  systems, 
components  or  separate  technical  units  in  production  continue  to  conform  to  the 
approved type. On receipt of such a request, the national authority which granted the EU 
type-approval shall take the requisite action as soon as possible and in any case within 
60 working days of the date of the request. 

The  approval  authority  shall  request  the  national  authority  which  granted  the  system, 
component, separate technical unit or incomplete vehicle EU type-approval to take the 
necessary actions to ensure that vehicles in production are brought back into conformity 
with the approved type in the following cases: 

(a) 

(b) 

in relation to an EU vehicle type-approval, where the non-conformity of a vehicle 
is  attributable  exclusively  to  the  non-conformity  of  a  system,  component  or 
separate technical unit; 

in  relation  to  a  multi-stage  type-approval,  where  the  non-conformity  of  a 
completed  vehicle  is  attributable  exclusively  to  the  non-conformity  of  a  system, 
component or separate technical unit being part of the incomplete vehicle, or of the 
incomplete vehicle itself. 

On  receipt  of  such  a  request,  the  national  authority  concerned  shall  take  the  necessary 
actions, if necessary in conjunction with the Member State making the request, as soon 
as possible and in any case within 60 working days of the date of the request. 

EN 

48 

   EN 

 
5. 

6. 

Where  a  failure  to  conform  is  established, the  approval  authority of  the  Member  State 
which granted the system, component or separate technical unit EU type-approval or the 
approval of the incomplete vehicle shall take the measures set out in paragraph 1. 

The  approval  authorities  shall  inform  each  other  within  20  working  days  of  any 
withdrawal of EU type-approval and of the reasons therefore. 

If  the  national  authority  that  granted  EU  type-approval  disputes  the  failure  to  conform 
notified  to  it,  the  Member  States  concerned  shall  endeavour  to  settle  the  dispute.  The 
Commission  shall  be  kept  informed  and,  where  necessary,  shall  hold  appropriate 
consultations with a view to reaching a settlement. 

Article 38 
Parts and equipment which pose a significant risk to the correct functioning of essential systems 

1. 

2. 

3. 

4. 

The sale, the offer for sale or entry into service of parts or equipment which are capable 
of posing a significant risk to the correct functioning of systems that are essential for the 
safety  of  the  vehicle  or  for  its  environmental  performance,  shall  be  prohibited,  unless 
they have been authorised by an approval authority in accordance with paragraph 4 and 
Article 39 paragraphs 1 and 2. 

The Commission shall establish a list of such parts or equipment in accordance with the 
procedure  referred  to  in  Article  57,  taking  account  of  available  information  on  the 
following: 

(a) 

(b) 

the seriousness of the risk to the safety or environmental performance of vehicles 
fitted with parts and equipment under consideration; 

the  effect  on  consumers  and  manufacturers  in  the  after-market  of  the  imposition 
under this Article of a possible authorisation requirement on parts and equipment. 

Paragraph  1  shall  not  apply  to  original  parts  and  equipment  and  to  parts  or  equipment 
which are type-approved  in  accordance with the provisions of one of the acts listed in 
Annex  I,  except  where  the  approval  relates  to  aspects  other  than  those  covered  in 
paragraph 1. 

The Commission shall be delegated powers to adopt, where appropriate, in accordance 
with  Article  57,  a  delegated  act  identifying  the  parts  and  equipment  referred  to  in  the 
first subparagraph when placed on the market. 

The list referred to in the second subparagraph of paragraph 1 may be updated and, to 
the  extent  necessary,  the  model  and  numbering  system  of  the  certificate  referred  to  in 
paragraph  4  as  well  as  aspects  relating  to  the  procedure,  the  requirements  which  such 
parts must fulfil, the marking, packaging and the appropriate tests may be established in 
accordance with the procedure referred to in Article 57. 

EN 

49 

   EN 

 
5. 

These  requirements  may  be  based  on  the  acts  listed  in  Annex  I  or  may  consist  of  a 
comparison of the part or equipment with the performance of the original vehicle, or of 
any  of  its  parts,  as  appropriate.  In  those  cases,  the  requirements  must  ensure  that  the 
parts or equipment do not impair the functioning of those systems that are essential for 
the safety of the vehicle or its environmental performance. 

Article 39 
Parts and equipment which pose a significant risk to the correct functioning of essential systems 
– related requirements 

1. 

2. 

3. 

For the purposes of the first subparagraph of paragraph 1 of Article 38, the manufacturer 
of  parts  or  equipment  shall  submit  to  the  approval  authority  a  test  report  drafted  by  a 
designated  technical  service  which  certifies  that  the  parts  or  equipment  for  which 
authorisation  is  sought  comply  with  the  requirements  referred  to  in  paragraph  3.  The 
manufacturer  may  introduce  only  one  application  per  type  per  part  with  only  one 
approval authority. 

The  application  shall  include  details  concerning  the  manufacturer  of  the  parts  or 
equipment, the type, identification and part numbers of the parts or equipment for which 
authorisation is sought, as well as the vehicle manufacturer's name, type of vehicle and, 
if  appropriate,  years  of  construction  or  any  other  information  permitting  the 
identification of the vehicle for which the fitting of such parts or equipment is intended. 

When  the  approval  authority  is  satisfied,  taking  account  of  the  test  report  and  other 
evidence, that the parts or equipment in question comply with the requirements referred 
to  in  paragraph  3,  it  shall  issue  a  certificate  to  the  manufacturer  without  delay.  This 
certificate shall authorise the parts or equipment to be sold, offered for sale or fitted to 
vehicles in the Community subject to the second subparagraph of paragraph 2. 

The  manufacturer  shall  inform  without  delay  the  approval  authority  that  issued  the 
certificate  of  any  change  affecting  the  conditions  under  which  it  was  delivered.  That 
approval authority shall decide whether the certificate has to be reviewed or reissued and 
whether further tests are necessary. 

The  manufacturer  shall  be  responsible  for  ensuring  that  the  parts  and  equipment  are 
produced and continue to be produced under the conditions under which the certificate 
was issued. 

Before delivering any authorisation, the approval authority shall verify the existence of 
satisfactory  arrangements  and  procedures  for  ensuring  effective  control  of  the 
conformity of production. 

Where the approval authority finds that the conditions for issuing the authorisation are 
no  longer  fulfilled,  it  shall  request  the  manufacturer  to  take  the  necessary  measures  to 
ensure that the parts or equipment are brought back into conformity. If necessary, it shall 
withdraw the authorisation. 

EN 

50 

   EN 

 
4. 

5. 

1. 

2. 

3. 

Approval  authorities  from  different  Member  States  shall  bring  any  disagreement  in 
relation to the certificates referred to in paragraph 4 to the attention of the Commission. 
The Commission shall take the appropriate measures in order to solve the disagreement, 
including,  where  necessary,  requiring  the  withdrawal  of  the  authorisation,  after  having 
consulted the approval authorities. 

As long as the list referred to in the second subparagraph of paragraph 1 has not been 
established,  Member  States  may  maintain  national  provisions  dealing  with  parts  and 
equipment  which  are  capable  of  affecting  the  correct  functioning  of  systems  that  are 
essential for the safety of the vehicle or its environmental performance. 

Article 40 
Recall of vehicles 

Where  a  manufacturer  who  has  been  granted  an  EU  whole  vehicle  type-approval  is 
obliged, in accordance with Regulation (EC) 765/200837,to recall vehicles already sold, 
registered or put into service because 

– 

– 

a system, component or separate technical unit fitted to the vehicle, whether or not 
duly approved in accordance with this Regulation, 

or  a  part  which  is  not  subject  to  any  specific  requirements  under  type  approval 
legislation presents a serious risk to road safety, occupational safety, public health 
or  environmental  protection,  that  manufacturer  shall  immediately  inform  the 
approval authority that granted the vehicle approval thereof. 

The manufacturer shall propose to the approval authority a set of appropriate remedies to 
neutralise the risk referred to in paragraph 1. The approval authority shall communicate 
the  proposed  measures  to  the  approval  authorities  of  the  other  Member  States  without 
delay. 

The  approval  authorities  shall  ensure  that  the  measures  are  effectively  implemented  in 
their respective territories. 

If the measures are considered to be insufficient by the approval authority concerned or 
have not been implemented quickly enough, it shall inform the approval authority that 
granted the EU vehicle type-approval without delay. 

The approval authority that granted the EU vehicle type-approval shall then inform the 
manufacturer. If the manufacturer does not propose and implement effective corrective 
measures,  the  approval  authority  which  granted  the  EU  type-approval  shall  take  all 
protective measures required, including the withdrawal of the EU vehicle type-approval. 
In  case  of  withdrawal  of  the  EU  vehicle  type-approval,  the  approval  authority  shall 

37 

OJ L 218 of 13.8.2008, p. 30. 

EN 

51 

   EN 

 
                                                 
notify  the  manufacturer,  the  approval  authorities  of  the  other  Member  States  and  the 
Commission by registered letter or equivalent electronic means within 20 working days. 

Article 41 
Notification of decisions and remedies available 

All  decisions  taken  pursuant  to  the  provisions  of  this  Regulation  and  all  decisions 
refusing or withdrawing EU type-approval, or refusing registration or prohibiting sales, 
shall  state  in  detail  the  reasons  on  which  they  are  based.  Any  such  decision  shall  be 
notified to the party concerned who shall, at the same time, be informed of the remedies 
available to him under the laws in force in the Member State concerned and of the time 
limits allowed for the exercise of such remedies. 

CHAPTER XIV 
INTERNATIONAL REGULATIONS 

Article 42 
UNECE Regulations required for EU type-approval 

1. 

2. 

1. 

2. 

UNECE  Regulations  to  which  the  Union  has  acceded  and  which  are  listed  in  Annex  I 
shall be part of the EU type-approval of a vehicle in the same way as the delegated acts 
under  this  Regulations.  They  shall  apply  to  the  categories  of  vehicles  listed  in  the 
relevant columns in the table of Annex I. 

When the Union has decided to apply on a compulsory basis a UNECE Regulation for 
the  purpose  of  EU  vehicle  type-approval  in  accordance  with  Article  4(4)  of  Council 
Decision 97/836/EC38, the annexes to this Regulation shall be amended as appropriate in 
accordance with the procedure referred to in Article 56(2) The act amending the annexes 
to  this  Regulation  shall  specify  the  dates  of  compulsory  application  of  the  UNECE 
Regulation or of its amendments. 

Article 43 
UNECE Regulations and EU type-approval of vehicles produced in small series 

The  UNECE  Regulations  listed  in  Annex  I  shall  be  considered  as  equivalent  to  the 
corresponding  delegated  acts  in  as  much  as  they  share  the  same  scope  and  subject 
matter. 

The  approval  authorities  of  the  Member  States  shall  accept  approvals  granted  in 
accordance  with  those  UNECE  Regulations  and,  where  applicable,  the  pertaining 

38 

OJ L 346, 17.12.1997, p. 78. 

EN 

52 

   EN 

 
                                                 
3. 

1. 

2. 

1. 

2. 

approval  marks,  in  lieu  of  the  corresponding  approvals  and  approval  marks  granted  in 
accordance with this Regulation and its corresponding delegated acts. 

Where  the  Community  has  decided  to  apply,  for  the  purposes  of  paragraph  1,  a  new 
UNECE Regulation or a UNECE Regulation as amended, Annex I shall be amended as 
appropriate, in accordance with the procedure referred to in Article 56(2). 

Article 44 
Equivalence with other regulations 

The  Council  may,  acting  by  qualified  majority  on  a  proposal  from  the  Commission, 
recognise the equivalence between the conditions or provisions for EU type-approval of 
systems, components and separate technical units established by this Regulation and the 
procedures established by international Regulations of third countries, in the framework 
of multilateral or bilateral agreements between the Community and third countries. 

The complete test reports issued on the basis of the standardised OECD Codes listed in 
Annex  I,  approved  according  to  the  general  rules  of  OECD,  may  be  used  as  an 
alternative to the test reports drawn up under this Regulation or the separate Regulations. 

CHAPTER XV 
PROVISION OF TECHNICAL INFORMATION 

Article 45 
Information intended for users 

The  manufacturer  may  not  supply  any  technical  information  related  to  the  particulars 
provided for in this Regulation, its implementing acts or delegated acts listed in Annex I 
which diverges from the particulars approved by the approval authority. 

Where an implementing or delegated act listed in Annex I so provides, the manufacturer 
shall  make  available  to  users  all  relevant  information  and  necessary  instructions 
describing  any  special  conditions  or  restrictions  linked  to  the  use  of  a  vehicle,  a 
component or a separate technical unit. 

That information shall be supplied in the official languages of the Member State where 
the vehicle is to be sold. It shall be provided, after acceptance by the approval authority, 
in the owner's manual. 

EN 

53 

   EN 

 
Article 46 
Information intended for manufacturers of components or separate technical units 

The  vehicle  manufacturer  shall  make  available  to  the  manufacturers  of  components  or 
separate  technical  units  all  particulars  which  are  necessary  for  EU  type-approval  of 
components  or  separate  technical  units,  or  necessary  to  obtain  an  authorisation  under 
Article  38  including,  where  applicable,  drawings  listed  in  the  delegated  act  listed  in 
Annex I. 

The  vehicle  manufacturer  may  impose  a  binding  agreement  on  the  manufacturers  of 
components or separate technical units to protect the confidentiality of any information 
which is not in the public domain, including information related to intellectual property 
rights. 

The manufacturer of components or separate technical units, in his capacity as the holder 
of  an  EU  type-approval  certificate  which,  in  accordance  with  Article  17(4),  includes 
restrictions on use or special mounting conditions or both, shall provide all the detailed 
information thereon to the vehicle manufacturer. 

Where a delegated act listed in Annex I so provides, the manufacturer of components or 
separate technical units shall provide, together with the components or separate technical 
units produced, instructions regarding restrictions on use or special mounting conditions 
or both. 

CHAPTER XVI 
Access to vehicle repair and maintenance information 

Article 47 
Manufacturers' obligations 

Manufacturers  shall  provide  unrestricted  and  standardised  access  to  vehicle  repair  and 
maintenance  information  to  independent  operators  through  websites  in  a  readily 
accessible and prompt manner. In particular, this access should be granted in a manner 
which  is  non-discriminatory  compared  to  the  provision  given  or  access  granted  to 
authorised dealers and repairers. 

This  information  shall  include  information  required  for  fitting  parts  or  equipment  on 
vehicles. 

Manufacturers  shall  make  training  material  available  to  independent  operators  and 
authorised dealers and repairers. 

The  information  referred  to  in  paragraph 1  shall  include  as  a  minimum  all  of  the 
following:  

1. 

2. 

1. 

2. 

3. 

EN 

54 

   EN 

 
(a) the unequivocal vehicle identification number; 

(b) service handbooks including repair and maintenance records; 

(c) technical manuals; 

(d)  component  and  diagnosis  information  (such  as  minimum  and  maximum 
theoretical values for measurements); 

(e) wiring diagrams; 

(f) diagnostic trouble codes, including manufacturer specific codes; 

(g) the software calibration identification number applicable to a vehicle type; 

(h) information provided concerning, and delivered by means of, proprietary tools 
and equipment; 

(i) data record information and two-directional monitoring and test data; 

(j) work units. 

4. 

5. 

6. 

7. 

8. 

Authorised  dealers  or  repairers  within  the  distribution  system  of  a  given  vehicle 
manufacturer  shall  be  regarded  as  independent  operators  for  the  purposes  of  this 
Regulation to the extent that they provide repair or maintenance services for vehicles in 
respect of which they are not members of the vehicle manufacturer's distribution system. 

The  vehicle  repair  and  maintenance  information  shall  always  be  available,  except  as 
required for maintenance purposes of the information system. 

For  the  purposes  of  manufacture  and  servicing  of  OBD-compatible  replacement  or 
service  parts  and  diagnostic  tools  and  test  equipment,  manufacturers  shall  provide  the 
relevant OBD and vehicle repair and maintenance information on a non-discriminatory 
basis  to  any  interested  component,  diagnostic  tools  or  test  equipment  manufacturer  or 
repairer. 

For the purposes of the design and manufacture of automotive equipment for alternative 
fuel  tractors,  manufacturers  shall  provide  the  relevant  OBD  and  vehicle  repair  and 
maintenance information on a non-discriminatory basis to any interested manufacturer, 
installer or repairer of equipment for alternative fuel vehicles. 

When applying for EU type approval or national type approval, the manufacturer shall 
provide the approval authority with proof of compliance with this Regulation relating to 
the information required in this article. 

In  the  event  that  such  information  is  not  available,  or  does  not  conform  to  this 
Regulation and its implementing measures at that point in time, the manufacturer shall 
provide it within six months from the date of type approval. 

EN 

55 

   EN 

 
 
 
 
 
 
 
 
 
 
 
9. 

10. 

11. 

12. 

If  such  proof  of  compliance  is  not  provided  within  that  period,  the  approval  authority 
shall take appropriate measures to ensure compliance. 

The manufacturer shall make subsequent amendments and supplements to vehicle repair 
and maintenance  information  available on its websites at  the same time they  are made 
available to authorised repairers. 

Where repair and maintenance records of a vehicle are kept in a central database of the 
vehicle  manufacturer  or  on  its  behalf,  independent  repairers  shall  have  access  free  of 
charge to such records and shall be able to enter information on repair and maintenance 
which they have performed. 

The  Commission  shall  be  delegated  powers  to  adopt  in  accordance  with  Article  57  a 
delegated act laying down the detailed requirements with regard to access to repair and 
maintenance  information,  in  particular  technical  specifications  relating  to  the  way  in 
which vehicle repair and maintenance information shall be provided. 

Article 48 
Division of obligations with regard to several holders of type-approval  

In  case  of  step-by-step  type  approval,  including  multistage  type  approval,  the  manufacturer 
responsible  for  the  respective  type  approval  shall  also  be  responsible  for  communicating  repair 
information relating to the particular system, component, separate technical unit or the particular 
stage to both the final manufacturer and independent operators.  

The  final  manufacturer  shall  be  responsible  for  communicating  information  about  the  whole 
vehicle to independent operators. 

Article 49 
Fees for access to vehicle repair and maintenance information 

1. 

2. 

Manufacturers may charge reasonable and proportionate fees for access to vehicle repair 
and maintenance information covered by this Regulation. 

A fee shall not be reasonable or proportionate if it discourages access by failing to take 
into  account  the  extent  to  which  the  independent  operator  uses  it.  Manufacturers  shall 
make  available  vehicle  repair  and  maintenance  information  on  a  daily,  monthly,  and 
yearly  basis,  with  fees  for  access  to  such  information  varying  in  accordance  with  the 
respective periods of time for which access is granted. 

Article 50 
Penalties 

1. 

Member States shall lay down the provisions on penalties applicable for infringement by 
manufacturers of the provisions of this Regulation and shall take all measures necessary 

EN 

56 

   EN 

 
to  ensure  that  they  are  implemented.  The  penalties  provided  for  must  be  effective, 
proportionate  and  dissuasive.  Member  States  shall  notify  those  provisions  to  the 
Commission  by  [6  months  after  publication  of  this  Regulation]  and  shall  notify  it 
without delay of any subsequent amendment affecting them. 

2. 

The types of infringements which are subject to a penalty shall include: 

(a) making false declarations during the approval procedures or procedures leading 
to a recall; 

(b) falsifying test results for type approval or in-service conformity; 

(c)  withholding  data  or  technical  specifications  which  could  lead  to  recall  or 
withdrawal of type approval; 

(d) use of defeat devices; 

(e) refusal to provide access to information. 

CHAPTER XVII 
DESIGNATION AND NOTIFICATION OF TECHNICAL 
SERVICES 

Article 51  
Designation of technical services 

1. 

2. 

3. 

Technical  services  designated  by  national  authorities  for  the  purposes  of  this  Article 
shall comply with the provisions of this Regulation. 

The  technical  services  shall  carry  out  themselves  or  supervise  the  tests  required  for 
approval or inspections set out in this Regulation or in one of the acts listed in Annex I, 
except  where  alternative  procedures  are  permitted.  The  technical  services  may  not 
conduct tests or inspections for which they have not been duly designated. 

The  technical  services  shall  fall  into  one  or  more  of  the  five  following  categories  of 
activities, depending on their field of competence: 

(a) 

(b) 

category  A,  technical  services  which  carry  out  in  their  own  facilities  the  tests 
referred to in this Regulation and in the acts listed in Annex I; 

category  B,  technical  services  which  supervise  the  tests  referred  to  in  this 
Regulation  and  in  the  acts  listed  in  Annex  I,  performed  in  the  manufacturer's 
facilities or in the facilities of a third party; 

EN 

57 

   EN 

 
 
 
 
 
 
(c) 

(d) 

category  C,  technical  services  which  assess  and  monitor  on  a  regular  basis  the 
manufacturer's procedures for controlling conformity of production; 

category  D, technical services which supervise  or  perform  tests  or  inspections  in 
the framework of the surveillance of conformity of production; 

(e) 

category E, technical services in charge of individual approvals. 

Technical  services  shall  demonstrate  appropriate  skills,  specific  technical  knowledge 
and  proven  experience  in  the  specific  fields  covered  by  this  Regulation  and  the  acts 
listed  in  Annex  I.  Technical  services  shall  comply  with  the  standards  set  up  in  the 
delegated  act  which  are  relevant  for  the  activities  they  carry  out.  However,  such 
compliance  is  not  required  for  the  purposes  of  the  last  stage  of  a  multi-stage  type-
approval procedure as referred to in Article 32(1). 

An approval authority may be designated as a technical service for one or more of the 
activities referred to in paragraph 3. 

A manufacturer or a subcontracting party acting on his behalf may only be designated as 
a technical service for category A activities with regard to the technical requirements for 
which self-testing is allowed in a delegated act adopted under this regulation. 

Technical  services,  other  than  those  designated  in  accordance  with  paragraph  6,  of  a 
third country may be notified for the purposes of Article 53 only in the framework of a 
bilateral agreement between the Union and the third country in question. 

The  Commission  shall  be  delegated  powers  to  adopt  in  accordance  with  Article  57  a 
delegated  act  laying  down  the  standards  with  which  the  technical  services  have  to 
comply and the procedure for the assessment of technical services in order to ensure that 
these services meet the same high level of performance standards in all Member States. 

Article 52 
Assessment of the skills of the technical services 

The  skills  referred  to  in  Article  51  shall  be  demonstrated  by  an  assessment  report 
established  by  a  competent  authority.  This  may  include  a  certificate  of  accreditation 
issued by an accreditation body. 

The  assessment  on  which  the  report  referred  to  in  paragraph  1  is  based  shall  be 
conducted in accordance with the provisions laid down in a delegated act in accordance 
with Article 51 (8) under this regulation. The assessment report shall be reviewed after a 
maximum period of three years. 

The assessment report shall be communicated to the Commission upon request. 

The  approval  authority  which  intends  to  be  designated  as  a  technical  service  shall 
demonstrate  compliance  through  documentary  evidence.  This  documentary  evidence 

4. 

5. 

6. 

7. 

8. 

1. 

2. 

3. 

4. 

EN 

58 

   EN 

 
5. 

1. 

2. 

3. 

4. 

5. 

may  consist  in  an  assessment  conducted  by  auditors  independent  of  the  activity  being 
assessed. Such auditors may be from within the same organisation provided that they are 
managed autonomously from personnel undertaking the assessed activity. 

A manufacturer or a subcontracting party acting on his behalf, designated as a technical 
service, shall comply with the relevant provisions of this Article. 

Article 53 
Procedures for notification 

Member  States  shall  notify  to  the  Commission  the  name,  the  address  including 
electronic address, the responsible persons and the category of activities with respect to 
each designated technical service. They shall notify it of any subsequent modifications 
thereto. The notification act shall state in respect of which subjects listed in Annex I the 
technical services have been designated. 

A technical service may conduct the activities referred to in Article 50 for the purposes 
of type-approval for  the  Member  State which designated it only if it has been notified 
beforehand to the Commission. 

The  same  technical  service  may  be  designated  and  notified  by  several  Member  States 
irrespective of the category of activities which it conducts. 

Where a specific organisation or competent body, the activity of which is not included in 
those referred to in Article 51, needs to be designated in application of an act listed in 
Annex I the notification shall be made in accordance with the provisions of this Article. 

The  Commission  shall  publish  on  its  web-site  a  list  and  details  regarding  the  approval 
authorities and technical services. 

CHAPTER XVIII 
IMPLEMENTING MEASURES AND DELEGATION  

Article 54 
Implementing measures  

In  order  to  lay  down  uniform  conditions  for  the  implementation  of  this  Regulation  the 
Commission  shall,  in  accordance  with  the  procedure  referred  to  in  Article  55,  adopt 
implementing acts laying down the following implementing measures:  

1. 

the  details  of  the  arrangements  with  regard  to  type-approval  procedures  in  accordance 
with Article 10 (6) of this Regulation; 

EN 

59 

   EN 

 
2. 

3. 

4. 

5. 

6. 

7. 

8. 

9. 

1. 

2. 

templates  for  the  information  folder  and  the  information  document  in  accordance  with 
Article 12 (1) of this Regulation; 

a  numbering  system  of  EU  type-approval  certificates  in  accordance  with  Article  15  of 
this Regulation; 

a  template  for  a  type-approval  certificate  in  accordance  with  Article  15(5)  of  this 
Regulation; 

a template for the list of system, component or separate technical unit EU type-approvals 
in accordance with Article 16 (5) of this Regulation; 

a  template  of  the  list  of  applicable  requirements  or  regulatory  acts  in  accordance  with 
Article 16(6) of this Regulation; 

the  details  of  the  arrangements  with  regard  to  conformity  of  production  in  accordance 
with Article 19 of this Regulation; 

the  template  of  a  certificate  of  conformity  in  accordance  with  Article  24  of  this 
Regulation; 

the  model  of  the  EU  type-approval  mark  in  accordance  with  Article  25  of  this 
Regulation; 

Article 55 
Committee 

The  Commission  shall  be  assisted  by  a  committee  referred  to  as  the  "Technical 
Committee – Agricultural Vehicles" (TC-AV). 

reference 

is  made 

Where 
this  paragraph,  Article  5  and  Article 7  of 
Decision 1999/468/EC shall apply, having regard to the provisions of Article 8 thereof. 
The  period  referred  to  in  Article  5(6)  of  Decision  1999/468/EC  shall  be  set  at  three 
months. 

to 

3. 

The Committee shall adopt its rules of procedure. 

Article 56 
Amendment of the Annexes 

1. 

2. 

The Commission may adopt, by means of delegated acts in accordance with Articles 57, 
58 and 59 amendments to the Annexes of this Regulation. 

When, in application of Decision 97/836/EC, new UNECE Regulations or amendments 
to  existing  UNECE  Regulations  to  which  the  Union  has  acceded  are  adopted,  the 

EN 

60 

   EN 

 
Commission shall, by means of delegated act in accordance with Articles 57, 58 and 59, 
amend Annex I to this Regulation accordingly. 

Article 57 
Exercise of the Delegation 

The powers to adopt the delegated acts referred to in Articles 7 (4), 8 (4), 9 (5), 18 (7), 
38 (1), (2) and (3), 47 (10), 51 (8) and 56 shall be conferred on the Commission for an 
indeterminate period of time. 

As soon as it adopts a delegated act, the Commission shall notify it simultaneously to the 
European Parliament and to the Council. 

The  powers  to  adopt  delegated  acts  are  conferred  on  the  Commission  subject  to  the 
conditions laid down in Article 58 and 59. 

Article 58 
Revocation of the delegation 

The delegation of power referred to in Articles 7 (4), 8 (4), 9 (5), 18 (7), 38 (1), (2) and 
(3), 47 (10), 51 (8) and 56 may be revoked at any time by the European Parliament or by 
the Council. 

The  institution  which  has  commenced  an  internal  procedure  for  deciding  whether  to 
revoke  the  delegation  of  power  shall  endeavour  to  inform  the  other  institution  and  the 
Commission  within  a  reasonable  time  before  the  final  decision  is  taken,  indicating  the 
delegated  powers  which  could  be  subject  to  revocation  and  possible  reasons  for  a 
revocation. 

The decision of revocation shall put an end to the delegation of the powers specified in 
that decision. It shall take effect immediately or at a later date specified therein. It shall 
not affect the validity of the delegated acts already in force. It shall be published in the 
Official Journal of the European Union. 

Article 59 
Objections to delegated acts 

The  European  Parliament  and  the  Council  may  object  to  the  delegated  act  within  a 
period  of  two  months  from  the  date  of  notification.  At  the  initiative  of  the  European 
Parliament or the Council this period shall be extended by one month.  

If,  on  expiry  of  that  period,  neither  the  European  Parliament  nor  the  Council  has 
objected  to  the  delegated  act,  or  if,  before  that  date,  the  European  Parliament  and  the 
Council  have  both  informed  the  Commission  that  they  have  decided  not  to  raise 
objections, the delegated act shall enter into force at the date stated in its provisions. 

1. 

2. 

3. 

1. 

2. 

3. 

1. 

2. 

EN 

61 

   EN 

 
3. 

If the European Parliament or the Council objects to the adopted delegated act, it shall 
not enter into force. The institution which objects shall state the reasons for objecting to 
the delegated act. 

CHAPTER XIX 
FINAL PROVISIONS 

Article 60 
Transitional provisions 

1. 

2. 

1. 

2. 

1. 

2. 

This  Regulation  shall  not  invalidate  any  EC  type-approval  granted  to  vehicles  or  to 
systems, components or separate technical units before the date laid down in Article 64 
(2). 

Approval  authorities  shall  continue  to  grant  extension  of  approvals  to  those  vehicles, 
systems,  components  or  separate  technical  units  under  the  terms  of  Directive 
2003/37/EC and any of the directives listed in Article 56 (2). 

Article 61 
Report 

No  later  than  1  January  2018,  Member  States  shall  inform  the  Commission  of  the 
application  of  the  type-approval  procedures  laid  down  in  this  Regulation  and,  in 
particular, of the application of the multi-stage process. 

On the basis of the information supplied under paragraph 1, the Commission shall report 
to the European Parliament and the Council on the application of this Regulation no later 
than 1 January 2019. 

Article 62 
Repeal 

Directive  2003/37/EC  as  well  as  Directives  74/347/EEC,  76/432/EEC,  76/763/EEC, 
77/537/EEC,  78/764/EEC,  80/720/EEC,  86/297/EEC,  86/298/EEC,  86/415/EEC, 
87/402/EEC,  2000/25/EC,  2009/57/EC,  2009/58/EC,  2009/59/EC,  2009/60/EC, 
2009/61/EC,  2009/63/EC,  2009/64/EC,  2009/66/EC,  2009/68/EC;  2009/75/EC, 
2009/76/EC, 2009/144/EC are repealed with effect from 1 January 2014. 

References to the repealed Directives shall be construed as references to this Regulation 
and shall be read, as regards Directive 2003/37/EC, in accordance with the correlation 
table set out in Annex III. 

EN 

62 

   EN 

 
Article 63 
Amendment to Directive 2006/42/EC 

The first indent of point (e) of paragraph 2 of Article 1 of Directive 2006/42/EC is replaced by 
the following: 

“- agricultural and forestry tractors, with the exclusion of machinery mounted on those vehicles,”. 

Article 64 
Entry into force 

1. 

2. 

This  Regulation  shall  enter  into  force  on  the  twentieth  day  following  that  of  its 
publication in the Official Journal of the European Union. 

It shall apply from 1 January 2014. 

This Regulation shall be binding in its entirety and directly applicable in all Member States. 

Done at Brussels, […] 

For the European Parliament 
The President 
[...] 

For the Council 
The President 
[.

EN 

63 

   EN 

 
ANNEX I - List of requirements for the purposes of vehicle EU type-approval  

Nr.  Article 

Subject 

Document 
reference 

MV 

Vehicle categories 

7.2(a)  Fuel tank 

7.2(b)  Maximum speed 

7.2(b)  Braking devices 

-/Y 

7.2(b)  Stability 

7.2(b)  Steering 

ECE 79 REV2  

Y 

7.2(b)  Trailer brake 

coupling 

T1  T2  T3  T 4.1 T 4.2  T 4.3  T 5

C 

R 

S 

X 

X 

X 

X  X 

X  X 

X  X 

NA  NA NA

X 

X 

X  X 

X  X 

X 

X 

X 

X 

X 

X 

X 

X 

X 

X 

X 

X 

X 

X 

I  NA NA

I  NA NA

X  X  X  X 

NA  NA  X  NA NA NA

X 

X 

X 

X 

X  X  NA NA

X 

I 

X  X 

7.2(b)  Speed governor 

X 

X  X 

X 

X 

X 

X 

I  NA NA

7.2(b)  Speed limitation 
devices 

7.2(b)  Reverse and 
speedometer 

NA  NA NA NA  NA  NA  X  NA NA NA

NA  NA NA NA  NA  NA  X  NA NA NA

1 

2 

3 

4 

5 

6 

7 

8 

9 

10 

7.2(c)  Field of vision 
and 
windscreen 
wipers 

11 

7.2(c)  Glazing 

ECE 71  

Y 

X 

X  X 

X 

X 

X 

X 

I  NA NA

ECE  43  Rev2 
Am3 Sup11 

X 

X  X 

X 

X 

X  NA

I  NA NA

12 

7.2(c)  Glazing (T5) 

92/22/EEC 

X  NA  NA NA NA  NA  NA  X  NA NA NA

X 

X 

 NA

X 

X 

X 

X 

I  NA NA

Y 

X 

X  X 

X 

X 

X 

X  X  X  X 

13 

7.2(c)  Rear-view 

mirrors 

14 

7.2(d)  Lighting and light 
signalling devices 

ECE  1  Rev4 
Am5;  
ECE  3  Rev3 
Am1 
Sup11; 
ECE  4  Rev4 
Sup14;  
ECE  6  Rev4 
Sup17;  
ECE  7  Rev4 
Sup15;  
ECE  8  Rev4; 
ECE  19  Rev5 
Sup1;  

EN 

64 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
  
 
ECE  20  Rev3; 
ECE  23  Rev2 
Sup15;  
ECE  38  Rev2 
Sup14;  
ECE  98  Rev1 
Sup11 

15 

7.2(d)  Lighting 

installation 

ECE  86  Am3 
Sup4 

X 

X  X 

X 

X 

X 

X 

I 

X  X 

16 

7.2(g)  Electro-magnetic 

ECE 10 Rev3 

Y 

X 

X  X 

X 

X 

X 

X 

I  NA NA

compatibility 

17 

7.2(h)  Audible warning 
device 

18 

7.2(k)  Registration plate 

19 

7.2(k)  Statutory plate 

20 

7.2(l)  Dimensions and 

trailer mass 

21 

7.2(l)  Maximum laden 
mass 

ECE 28 Am3 

Y 

X 

X  X 

X 

X 

X 

X 

I  NA NA

X 

X 

X  X 

X  X 

X 

X  X 

X 

X 

X 

X 

X 

X 

X 

X 

X 

X 

X 

X 

I 

X  X 

X  X 

I 

X  X 

X 

X  X 

X 

X 

X 

X  X  X  X 

22 

7.2(l)  Ballast masses 

X 

X 

 NA

X 

X 

X 

X 

I  NA NA

23 

7.2(n)  Rear protective 

structures 

NA  NA NA NA  NA  NA  NA  NA X  NA

24 

7.2(o)  Lateral protection 

NA  NA NA NA  NA  NA  X  NA X  NA

25 

7.2(p)  Load platforms 

26 

7.2(q)  Coupling and 

reversing devices 

27 

7.2(r)  Controls 

28 

7.2(s)  Tyres 

ECE  106  Am5 
Sup6 

X 

X 

X 

X 

X  X 

X  X 

X  X 

X  X 

X 

X 

X 

X 

X 

X 

X 

X 

X 

X 

X 

X 

X 

X 

I  NA NA

I  NA NA

X 

I  NA NA

X  NA X  X 

29 

7.2(t)  Electro-magnetic 

ECE 10 Rev3 

Y 

X 

X  X 

X 

X 

X 

X 

I  NA NA

compatibility 

30 

8.2(a)  ROPS 

31 

8.2(a)  ROPS 

OECD  Code  3, 
2010 

OECD  Code  8, 
2010 

X  NA NA

X 

X 

X 

X  NA NA NA

NA  NA NA NA  NA  NA  NA X  NA NA

EN 

65 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
32 

8.2(a)  ROPS (static 

testing) 

33 

8.2(a)  ROPS, Front-

mounted (narrow-
track tractors) 

34 

8.2(a)  ROPS, Rear-

mounted (narrow-
track tractors) 

OECD  Code  4, 
2010 

OECD  Code  6, 
2010 

OECD  Code  7, 
2010 

X 

X  X 

X 

X 

X 

X  X  NA NA

X 

X  X  NA  NA  NA  X  X  NA NA

NA  NA NA NA  NA  NA  X  NA NA NA

35 

8.2(b)  FOPS, Falling 
Objects 
Protection 
System 

OECD 
10, 2010 

36 

8.2(c)  Passenger seats 

37 

8.2(d)  Sound levels 

(internal) 

38 

8.2(e)  Driving seat 

39 

8.2(f)  Operating space, 

access to the 
driving position 

40 

8.2(g)  Power take-offs 

41 

8.2(i)  Protection of 

drive components 

Code 

X 

X  X 

X 

X 

X 

X 

I  NA NA

X 

X 

X 

X 

X 

X 

X 

X  X 

X  X 

X 

X  X 

X  X 

X 

X 

X 

X 

X 

X 

X 

X 

X 

X 

X 

X 

X 

X 

X 

X 

X 

X 

X 

I  NA NA

X  X  NA NA

X 

X 

I  NA NA

I  NA NA

X  X  NA NA

X  X  NA NA

42 

8.2(j)  Seat-belt 

anchorages 

OECD Codes 3, 
4, 6, 7, 8; 2010 

X 

X  X 

X 

X 

X 

X  X  NA NA

43 

8.2(k)  Safety belts 

44 

8.2(l)  OPS, Protection 
against 
penetrating 
objects 

45 

8.2(m)  Hazardous 
substances 

46 

8.2(n)  Operators manual 

47 

9.2(a)  Pollutant 
emissions 

97/68/EC 

X 

X 

X  X 

X  X 

X 

X 

X 

X 

X 

X 

X  X  NA NA

X 

I  NA NA

X 

X  X 

X 

X 

X 

X  X  NA NA 

X 

X 

X  X 

X  X 

X 

X 

X 

X 

X 

X 

X  X  X  X 

X  X  NA NA

48 

9.2(b)  Sound level 

(external) 

ECE  51  Rev1 
Am4 

Y 

X 

X  X 

X 

X 

X 

X 

I  NA NA

EN 

66 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
  
 
 
Legend: 

X = applicable 

I = same as for T according to the category 

Y = the relevant regulatory acts for motor vehicles are accepted as equivalent 

NA = not applicable 

MV  =  relevant  Directives  for  motor  vehicles  under  Directive  2007/46/EC  can  be  applied  as 
equivalent. 

EN 

67 

   EN 

 
ANNEX II - Limits for small series and for end-of-series vehicles 

Part 1 - Limits for small series 

The number of units within a type to be registered, placed on sale or put into service per year 
in each Member State shall not exceed the value shown below for the vehicle category in 
question. 

Category 

Units (for each type) 

T 

C 

R 

S 

150 

50 

75 

50 

Part 2 - Limits for end-of-series vehicles 

The maximum number of vehicles of one or several types entering service in each Member State, 
in accordance with the procedure provided for in Article 14, must not exceed 10 % of the number 
of  vehicles  of  all  the  types  concerned  which  entered  service  in  the  two  preceding  years  in  the 
Member State in question; however, it may not be less than 20. 

Vehicles  entering  service  in  accordance  with  this  procedure  shall  be  identified  by  a  specific 
reference on the certificate of conformity. 

EN 

68 

   EN 

 
 
ANNEX III - Correlation table 

(referred to in Article 56) 

Directive 2003/37/EC 

This Regulation 

- 

Article 1 

Article 2 

Article 3 

Article 4 

Article 5 

Article 6 

Article 7 

Article 8 (1) 

Article 8 (2) 

Article 9 

Article 10 

Article 11 

Article 12 

Article 13 

Article 14 

Article 15 

Article 16 

Article 17 

Article 18 

Article 19 

Article 1 

Article 2 

Article 3 

Articles 10, 11 

Article 12 

Articles 18 – 21 

Articles 23, 24 

Articles 31 – 33 

Article 25 (1) 

Articles 27, 28, 32 

Articles 27, 28 

Article 32 

Articles 25, 26 

Articles 40, 41 

Articles 5, 12, 16 

Articles 35 (5) 

Chapter XII 

Article 35 (2) 

Article 35 (3) 

Article 38 

Article 48 

EN 

69 

   EN 

 
Article 20 

Article 21 

Article 22 

Article 23 

Article 24 

- 

Article 25 

Article 26 

Article 49 

Article 4 + Chapter VII 

- 

Article 2 (3) 

Article 56 

Article 57 

Article 58 

- 

EN 

70 

   EN