Proposal for a REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL on requirements relating to emission limits and type-approval for internal combustion engines for non-road mobile machinery
Date: 2014-09-25
Institutions: European Commission
Subjects: Community certification, environmental standard, motor vehicle, motor vehicle pollution, reduction of gas emissions, technical specification













EUR-Lex - 52014PC0581 - EN











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52014PC0581

Proposal for a REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL on requirements relating to emission limits and type-approval for internal combustion engines for non-road mobile machinery /* COM/2014/0581 final - 2014/0268 (COD) */









EXPLANATORY MEMORANDUM
1.           Context
of the proposal
·      General context
Non-road mobile machinery (NRMM) covers a large
variety of combustion engines installed in machines ranging from small handheld
equipment, construction machinery and generating sets, to railcars, locomotives
and inland waterway vessels. These engines contribute significantly to air
pollution and are accountable for roughly 15% of the nitrogen oxide (NOx) and
5% of the particulate matter (PM) emissions in the EU.
The emissions
limits for these engines are currently set out in Directive 97/68/EC. This
Directive was amended a number of times, but several technical reviews have
concluded that the legislation in its current form has shortcomings. The scope
is overly restricted as it leaves out some engine categories. New emission
stages were last introduced when the Directive was amended in 2004 and no
longer reflect the current state of technology. Furthermore, there is a
mismatch between the emission limits for certain engine categories.
Finally, there is recent conclusive evidence on
the adverse health effects of diesel exhaust emissions and especially about
particulate matter (i.e. diesel soot). One of the main findings is that the
size of the particles is a crucial factor behind the observed health effects.
This issue can only be addressed by limit values that are based on a particle
number count (i.e. PN limit). Therefore, and in line with the developments in
the road sector, the introduction of a new emission stage (Stage V), which
would target particle number limits in addition to particle mass limits,
appeared appropriate for the most relevant engine categories.
·        
Grounds for and
objectives of the proposal
The proposal seeks to protect human health and
the environment, and ensure the proper functioning of the internal market for
engines in NRMM. It also seeks to address competitiveness and compliance
aspects.
In line with the EU's air quality policy, the
objective is to progressively reduce the emissions from new engines being
brought on the market and, thereby, replace the old, more polluting ones over
time. This is expected to result in a very significant emission reduction
overall, but the reduction by engine category will vary depending on how
stringent the specific requirements already are at present.
The proposal is also expected to alleviate the
pressure on Member States to take additional regulatory action that could
hamper the internal market. Finally, the proposal seeks to remove obstacles to
external trade through harmonised rules and by reducing the regulatory barriers
that result from diverging emission requirements. In particular with a view to
bringing EU and US requirements closer together.
Finally, the proposal
contributes to the competitiveness of the European industry by simplifying the
existing type-approval legislation, improving transparency and alleviating
administrative burden.
·      Existing provisions in the area of the
proposal
The existing emission requirements for NRMM
engines are regulated in Directive 97/68/EC of the European Parliament and of
the Council of 16 December 1997 on the approximation of the laws of the Member
States relating to measures against the emission of gaseous and particulate
pollutants from internal combustion engines to be installed in non-road mobile machinery
(OJ L 59, 27.2.1998, p. 1).
The draft proposal and
its implementing and delegated acts will carry over and improve on the existing
requirements laid down in the above act, following a technical review
concluding on a number of substantial shortcomings. Compared to the existing
act, the proposal for a regulation will:
–              
introduce new emission
limits reflecting technological progress and EU policies in the on-road sector,
with a view to achieving EU air quality targets;
–              
extend the scope, with
a view to improving market harmonisation (EU and international) and minimising
the risk of market distortions;
–              
introduce measures for
simplifying administrative procedures and improving enforcement, including
conditions for better market surveillance.
·      Consistency with the other policies and
objectives of the Union
The initiative under
consideration is aimed at improving the protection of the environment by
updating existing emission limits and by extending their scope, where
appropriate. At the same time, it is aimed at ensuring the proper functioning
of the single market, while removing unnecessary burden on the companies
operating in it and internationally. It is, therefore, entirely consistent with
the Europe 2020 strategy and fully aligned to the EU's Sustainable Development
Strategy. 
In this context, the
initiative under consideration ties in with the following more specific
policies and objectives:
–              
The EU’s 6th Environmental Action
Programme[1]
which proposed to attain “levels of air quality that do not give rise to
significant negative impacts on, and risks to human health and the
environment”.
–              
The Thematic Strategy on Air Pollution[2] which provides a
comprehensive EU policy framework for reducing the adverse impact of air
pollution on human health and environment for the period up to 2020.
–              
The National Ceilings Directive 2001/81/EC which
establishes legally binding limits for the total permissible emissions at Member State level for several air pollutants. According to the official data reported
under said Directive, 12 Member States exceeded these limits in 2010 and,
despite some improvements, compliance problems will likely persist.
–              
The Ambient Air Quality Directive 2008/50/EC
which sets legally binding limits for concentrations in outdoor air of major
air pollutants such as particulate matter and nitrogen dioxide.
–              
The 2011 White Paper on Transport[3], in particular with
regard to cleaner inland waterway and rail transportation. 
More stringent
requirements for combustion engines in NRMM would positively contribute to the
objectives of all of the above policies.
Finally, the proposal
also ties in with the industrial policy update of 2012[4] and could make an
important contribution to technical harmonisation in the context of the EU-US
trade negotiations (TTIP).
2.           Consultation of
interested parties and impact assessment
·      Consultation of interested parties
Consultation
methods, main sectors targeted and general profile of respondents
In developing the
proposal the Commission has consulted stakeholders in a number of ways:
–              
There was an open
public internet consultation, covering all aspects of the proposal. Responses
were received from EU national and regional authorities of EU Member States
(ministries, agencies), professional associations, industrial companies,
non-governmental organisations and social partners.
–              
A stakeholder hearing
accompanying the open public internet consultation was organised on 14 February
2013 in Brussels, attended by approximately 80 participants.
–              
In the context of
several Impact Assessment studies conducted in the past by external
consultants, stakeholders were invited to contribute and send in comments.
–              
The proposal has been
discussed in several meetings of the Commission’s Working Group of Experts on
Machinery Emissions (GEME), which brings together industry, NGOs, as well as Member State and Commission representatives.
Summary of responses
and how they have been taken into account
An open public consultation started on 15
January 2013 and closed on 8 April 2013 (12 weeks duration). For this purpose,
a dedicated consultation web-page[5]
was set up and the Commission services prepared a 15 page consultation
document, outlining key issues, study results and potential courses of action.
69 responses were received in total. 
A detailed analysis of the results is included
in Annex II to the Impact Assessment report and the individual responses can be
viewed on the consultation web-page.
·      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 Commission has
carried out various studies and regularly consulted stakeholders, as concerns
the feasibility of new limit values and the need to include new stages for
exhaust emissions based on technical progress. The Impact Assessment builds on
the following external studies[6]:
–              
A Technical Review of the Directive, submitted
in two parts, by the JRC, which in part 1 includes an overview of emissions
inventories for NRMM. Part 2, inter alia, focuses on spark ignition engines
(small petrol engines and snowmobile engines) and, among others, analyses
emission inventories and market sales of construction and agricultural
machinery.
–              
An Impact Assessment study by ARCADIS N.V.
assesses the impacts of the policy options developed in the Technical Review of
the JRC. A complementary study by the same contractors looked specifically at
the impacts on small and medium sized enterprises (SMEs). In addition to the social
and economic impact the environmental and health impact was also evaluated in
this study. 
–              
A study from Risk & Policy Analysis (RPA)
and Arcadis, evaluates the current contribution of the NRMM sector to
greenhouse gas (GHG) emissions. This study also examines the feasibility of
extending the emission limits for variable speed engines to constant speed
engines and considers the option of aligning the exhaust emission limit values
to US values.
–              
The PANTEIA study[7]
commissioned by DG MOVE analyses the situation in the inland navigation sectors
and assesses specific measures for reducing emissions from inland waterway
transport.
The work on the impact
assessment was followed and informed by an inter-service steering group which
met four times in 2013. All relevant Commission services were invited to
participate in this group. The JRC further supported the analytical work with a
research project on the effects of particulate number (PN) limits for certain
engine categories.
Means used to
make the expert advice publicly available
The reports of the
aforementioned studies, respectively, are available on the DG Enterprise and
Industry website.
·      Impact assessment
Three main policy options were analysed in detail. Each consists of
various sub-options for the engine categories and applications already covered
by EU NRMM legislation, and for the ones that could come under its scope in the
future. Alongside the no-policy change scenario, these options are:
Option 2: Alignment with US standards in scope and limit values.
Option 3: Step towards road sector ambition levels, for the most
relevant emission sources.
Option 4: Extended level of ambition through enhanced monitoring
provisions.
However, it was already taken into account in the analytical design
that the preferred choice might be a combination of elements from different
options. The analysis of costs and benefits was carried out in individual
modules that allow for regrouping elements.
Non-legislative options (e.g. a voluntary agreement with industry) have
been considered, but the initial analysis concluded that such an approach would
be unsuitable for reaching the initiative's objectives. This decision is based
on the consideration that emission limits for NRMM engines are unlikely to be
effective and cannot guarantee a level playing field for all economic operators
unless they are legally binding.
The impact assessment was accepted by the Impact Assessment Board
following its presentation on 20 November 2013. 
3.           Legal
elements of the proposal
·      Summary of the proposed action
The proposal
significantly upgrades the NRMM engine type-approval system with respect to the
technical requirements on emissions by adopting stricter levels, as well as
introducing the “split-level approach”.
The proposal will,
through the delegated acts foreseen herein, lay down in detail the new
mandatory requirements for Stage V engine emission limits. In particular, the
delegated acts adopted under this proposal will include, amongst others:
–              
detailed technical
requirements of the test cycles;
–              
technical test and
measurement procedures;
–              
detailed arrangements
and requirements for the exceptions granted under this Regulation;
–              
detailed provisions for
type-approval procedures.
·      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.
As the proposal
involves amendments to existing EU legislation, only the EU can effectively
address the issues. Furthermore, the policy objectives cannot be sufficiently
achieved by actions of the Member States.
European Union action
is necessary to avoid the emergence of barriers to the single market notably in
the field of NRMM engines, and because of the transnational nature of air
pollution. Even though the effects of the main air pollutants are most severe
close to the source, the effects on air quality are not limited to the local
level and cross-border pollution is a serious environmental problem that can
render national solutions ineffective. In order to solve the problem of air
pollution, concerted action at EU level is required.
Setting up emission
limits and type-approval procedures at national level would potentially result
in a patchwork of 28 different regimes, which would represent a serious
obstacle to intra-Union trade. Moreover, it could impose a significant
administrative and financial burden on manufacturers who are active in more
than one market. Therefore, the objectives of the initiative under
consideration cannot be achieved without action at the EU level.
Finally, a harmonised
approach at EU level is expected to represent the most cost-efficient way for
manufacturers and end-users to achieve emission reductions.
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.
Directive 97/68/EC has
been substantially amended several times. For reasons of clarity,
predictability, rationality and simplification, the Commission is proposing to
replace Directive 97/68/EC by a Regulation and a small number of delegated and
implementing acts. 
Furthermore, the use
of a Regulation will ensure that the provisions concerned are directly
applicable to manufacturers, approval authorities and technical services, and
that they can be updated much faster and more efficiently to take better
account of technical progress
The proposal uses the
“split-level approach” is already 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 cost associated to setting up an electronic database
for the exchange of type-approval information was already assessed in a
feasibility study[8]
commissioned by the UNECE in June 2006 and for cars, a European Type-Approval
Exchange System (ETAES) already exists in the EU.
While the feasibility study was not done on a publicly
available database, it can still be assumed that the cost assessment provides a
valid indication of the costs involved.
The study predicted one off start-up costs in the €
50,000 to € 150,000 range and operating costs of € 5,000 to € 15,000 per month,
depending on the length of the contract with the service provider. A similar
monthly range is provided for operating a help desk service, if required.
5.           Additional
information
·      Simulation, pilot phase and transitional
period
There are general and
specific transitional periods in the proposal in order to allow sufficient lead
time for engine and machinery manufacturers, as well as for administrations.
For the transition
from the current emission standards to the new emission stage, a newly
developed transition scheme is proposed which is significantly simpler in
administrative terms for manufacturers of engines and machinery, whilst at the
same time substantially reducing the burden for the national approval
authorities.
With regard to the
monitoring of in-service emission performance of engines, pilot programmes are
proposed with a view to developing appropriate testing procedures.
·      Simplification
The proposal provides
for simplification of legislation.
An extremely complex
Directive on NRMM engine emissions with 15 Annexes, which was amended 8 times
without recasting, 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 its Legislative Work Programme
under the reference 2010/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.
2014/0268 (COD)
Proposal for a
REGULATION OF THE EUROPEAN PARLIAMENT
AND OF THE COUNCIL
on requirements relating to emission
limits and type-approval for internal combustion engines for non-road mobile
machinery

(Text with EEA relevance)
THE EUROPEAN PARLIAMENT AND THE
COUNCIL OF THE EUROPEAN UNION,
Having regard to the Treaty on the
Functioning of the European Union, and in particular Article 114 thereof,
Having regard to the proposal from the
European Commission,
After transmission of the draft legislative
act to the national Parliaments,
Having regard to the opinion of the
European Economic and Social Committee[9],
Acting in accordance with the ordinary
legislative procedure[10],
Whereas:
(1)       The internal market
comprises an area without internal frontiers in which the free movement of
goods, persons, services and capital must be ensured. To this end measures for
the reduction of air pollution by engines to be installed in non-road mobile
machinery were established by Directive 97/68/EC of the European Parliament and
of the Council[11].
It is appropriate to pursue efforts in the development and operation of the
internal market of the Union.
(2)       The internal market should
be based on transparent, simple and consistent rules which provide legal
certainty and clarity from which businesses and consumers alike can benefit.
(3)       With the aim of
simplifying and accelerating its adoption, a new regulatory approach has been
introduced in respect of Union engine type-approval legislation. Accordingly,
the legislator sets out the fundamental rules and principles and empowers the
Commission to adopt delegated acts concerning further technical details. With
regard to substantive requirements, this Regulation should therefore lay down
only fundamental provisions on the emission of gaseous and particulate
pollutants and empower the Commission to lay down the technical specifications
in delegated acts.
(4)       Regulation (EU) No
167/2013 of the European Parliament and of the Council[12] has already
established a regulatory framework for the approval and market surveillance of
agricultural and forestry vehicles. Owing to the similarity of the fields and
given the positive experience derived from the application of Regulation (EU)
No 167/2013, many of the rights and obligations established by that Regulation
should be taken into consideration in respect of non-road machinery. However,
it is essential that a distinct set of rules be adopted to fully take into
account the specific requirements of engines to be installed in non-road mobile
machinery.
(5)       This Regulation should
contain substantive requirements relating to emission limits and EU
type-approval procedures for engines to be installed in non-road mobile
machinery. The main elements of the relevant requirements of this Regulation
are based on the results of the impact assessment of 20 November 2013 carried
out by the Commission analysing different options by listing possible
advantages and disadvantages in terms of economic, environmental, safety and
societal aspects. Both qualitative and quantitative aspects were included in that
analysis. After comparison of the different options, the preferred options were
identified and chosen to form the basis for this Regulation.
(6)       This Regulation aims to
lay down harmonised rules for the EU type-approval of engines to be installed
in non-road mobile machinery, with a view to ensuring the functioning of the
internal market. For these purposes, new emission limits should be established
to reflect technological progress and ensure convergence with Union policies in
the on-road sector, with a view to achieving Union air quality targets and
reducing the emissions from non-road mobile machinery, thus resulting in a more
proportionate share of machinery emissions in relation to road vehicle
emissions. The scope of Union legislation in this field should be broadened,
with a view to improving market harmonisation at EU and international level and
minimising the risk of market distortions. In addition, this Regulation aims to
simplify the current legal framework, including measures for simplifying administrative
procedures, and to improve the general conditions for enforcement, in
particular by strengthening the rules on market surveillance.
(7)       The requirements set out
in respect of engines for non-road machinery and secondary engines for
passenger and goods vehicles should follow the principles laid down in the
Commission Communication of 5 June 2002 entitled ‘Action plan “Simplifying and
improving the regulatory environment”’.
(8)       The Seventh General Union
Environment Action Programme adopted by Decision No 1386/2013/EU of the
European Parliament and of the Council[13]
recalls that the Union has agreed to achieve levels of air quality that do not
give rise to significant negative impacts on, and risks to, human health and
the environment. Union legislation has established appropriate emission limits
for ambient air quality for the protection of human health and sensitive
individuals in particular, as well as for national emission ceilings[14]. Following its
Communication of 4 May 2001, which established the ‘Clean Air For Europe (CAFE)
programme’, the Commission adopted another Communication on 21 September 2005
entitled ‘Thematic strategy for air pollution’. One of the conclusions of that
thematic strategy is that further reductions in emissions from the transport
sector (air, maritime and land transport), from households and from the energy,
agricultural and industrial sectors are needed to achieve EU air quality
objectives. In this context, the task of reducing emissions from engines
installed in non-road mobile machinery (NRMM) should be approached as part of
an overall strategy. The Stage V emission limits are one of the measures
designed to reduce the actual in-use emissions of air pollutants such as
particulate pollutants as well as ozone precursors such as nitrogen oxides
(NOx) and hydrocarbons.
(9)       On 12 June 2012, the World
Health Organisation (WHO), through its International Agency for Research on
Cancer (IARC), reclassified diesel engine exhaust as ‘carcinogenic to humans’
(Group 1), based on sufficient evidence that exposure is associated with an
increased risk for lung cancer.
(10)     Achieving the Union's air quality objectives requires a continuous effort to reduce engine emissions. For
that reason, manufacturers should be provided with clear information on future
emission limit values and should be afforded an appropriate period of time in
which to attain them and pursue the requisite technical developments.
(11)     In setting emission limits
it is important to take into account the implications for competitiveness of
markets and manufacturers, the direct and indirect costs imposed on business
and the benefits that accrue in terms of stimulating innovation, improving air
quality, reducing health costs and increasing life expectancy.
(12)     Emissions from non-road
mobile machinery engines constitute a significant proportion of the total
man-made emissions of certain noxious atmospheric pollutants. Engines
responsible for a considerable share of air pollution by nitrogen oxides (NOx)
and particulate matter (PM) should fall within the scope of the new emission
limit rules.
(13)     The Commission should keep
under review emissions which are, as yet, unregulated and which arise as a
consequence of the wider use of new fuel formulations, engine technologies and
emission control systems. The Commission should also, where necessary, submit a
proposal to the European Parliament and to the Council with a view to
regulating such emissions.
(14)     It is appropriate to
encourage the introduction of alternative fuel vehicles, which can have low NOx
and particulate emissions. Thus, limit values for total hydrocarbons should be
adapted in order to take into account non-methane hydrocarbons and methane
emissions.
(15)     In order to ensure that
emissions of ultrafine particulate pollutants (size of 0,1 μm and below)
are controlled, the Commission should be empowered to adopt a number-based
approach to emissions of particulate pollutants, in addition to the mass-based
approach which is currently used. The number-based approach to emissions of
particles should draw on the results of the Particulate measurement programme
(PMP) of the United Nations Economic Commission for Europe (UNECE) and be
consistent with the existing ambitious objectives for the environment.
(16)     In order to achieve these
environmental objectives, it is appropriate to indicate that the particle
number limits are likely to reflect the highest levels of performance currently
obtained with particle filters by using the best available technology.
(17)     The Commission should adopt
worldwide harmonised testing cycles in the test procedures that provide the
basis for EU type-approval emissions regulations. The application of portable
emissions measurement systems for monitoring the actual in-use emissions should
also be considered.
(18)     In order to better control
actual in-use emissions and to prepare the in-service conformity process, a
testing methodology for monitoring the emission performance requirements based
on the use of portable emission measurement systems should be adopted within an
appropriate timeframe.
(19)     The correct functioning of
the after-treatment system, and more specifically in the case of NOx, is the
basic requirement for fulfilling the established limits for pollutant
emissions. In this context, measures to guarantee the proper operation of
systems relying on the use of a reagent should be introduced.
(20)     Engines which are in
compliance with and covered by the scope of the new rules on emission limits
and EU type-approval procedures should be permitted to be placed on the market
in the Member States; those engines should not be subject to any other national
emission requirement. Member State granting approvals should take the necessary
verification measures in order to ensure the identification of engines produced
under each EU type-approval.
(21)     A limited number of
exemptions should be granted to address the specific needs related to armed
forces, logistic supply constraints, field testing of prototypes and the use of
machinery in explosive atmospheres.
(22)     The national authorities’
obligations laid down in the market surveillance provisions of this Regulation
are more specific than the corresponding provisions of Regulation (EC) No
765/2008 of the European Parliament and of the Council[15].
(23)     In order to ensure that the
procedure for monitoring conformity of production, which is one of the
cornerstones of the EU type-approval system, has been correctly implemented and
functions properly, manufacturers should be regularly checked by the appointed
competent authority or by an appropriately qualified technical service
designated for that purpose.
(24)     The Union is a contracting
party of 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’).
(25)     As a consequence, UNECE
regulations and the amendments thereto which the Union has voted in favour of
or to which the Union has acceded, in application of Decision 97/836/EC, should
be recognized as equivalent to EU type-approvals granted under this Regulation.
Accordingly, the Commission should be empowered to adopt delegated acts in
order to determine which UNECE regulations will apply to EU type-approvals.
(26)     In order to ensure uniform
conditions for the implementation of this Regulation, implementing powers
should be conferred on the Commission. Those powers should be exercised in
accordance with Regulation (EU) No 182/2011 of the European Parliament and of
the Council[16].
(27)     In order to supplement this
Regulation with further technical details, the power to adopt acts in
accordance with Article 290 of the Treaty on the Functioning of the European
Union should be delegated to the Commission in respect of engine families,
tampering, monitoring of in-service emission
performance, technical tests and measurement
procedures, conformity of production, separate delivery of an engine´s exhaust
after-treatment system, engines for field-testing, engines for use in hazardous
atmospheres, equivalence of engine type-approvals, information for OEMs and
end-users, self-testing, standards and assessment of technical services, fully
and partially gaseous fuelled engines, measurement of the particulate number
and test cycles. It is of particular importance that the Commission carry out
appropriate consultations during its preparatory work, including at expert
level. The Commission, when preparing and drawing up delegated acts, should
ensure a simultaneous, timely and appropriate transmission of relevant
documents to the European Parliament and to the Council.
(28)     Member States should lay
down rules on penalties applicable to infringements of this Regulation and
ensure that they are implemented. Those penalties should be effective,
proportionate and dissuasive.
(29)     With a view to taking into
account on-going technical progress and the latest findings in the fields of
research and innovation, it is appropriate to identify further pollutant
emission reduction potential of engines installed in non-road mobile machinery.
The focus of these assessments should be on those engine categories that are
included for the first time in the scope of this Regulation and on those for
which emission limit values remain unaltered under this Regulation.
(30)     In the interest of clarity,
predictability, rationality and simplification and in order to reduce the
burden for engine and machinery manufacturers, this Regulation should contain
only a limited number of implementation stages for the introduction of new
emission levels and type-approval procedures. Timely definition of requirements
is essential to ensuring sufficient lead-time for manufacturers to develop,
test and implement technical solutions for engines produced in series, and for
manufacturers and approval authorities in the Member States to put in place the
necessary administrative systems.
(31)     Directive 97/68/EC has been
substantially amended several times. In the interests of clarity,
predictability, rationality and simplification, Directive 97/68/EC should be
replaced by a Regulation and a small number of delegated and implementing acts.
The use of a Regulation should ensure that the provisions concerned are
directly applicable to manufacturers, approval authorities and technical
services, and that they can be updated much faster and more efficiently to take
better account of technical progress.
(32)     As a consequence of the
application of the new regulatory system set in place by this Regulation,
Directive 97/68/EC should be repealed with effect from 1 January 2017. This
date should allow industry sufficient time to adapt to the new provisions laid
down in this Regulation and to the technical specifications and administrative
provisions to be set out in the delegated and implementing acts adopted
pursuant to this Regulation.
(33)     Since the objectives of
this Regulation, namely to lay down harmonised rules on the administrative and
technical requirements relating to emission limits and EU type-approval
procedures for engines to be installed in non-road mobile machinery, cannot be
sufficiently achieved by the Member States, and can therefore, by reason of
their scale and effects, be better achieved at Union level, the Union may adopt
measures in accordance with the principle of subsidiarity, as set out in
Article 5 of the Treaty on European Union. In accordance with the principle of
proportionality, as set out in that Article, this Regulation does not go beyond
what is necessary in order to achieve those objectives,
HAVE ADOPTED THIS REGULATION:
CHAPTER I
SUBJECT MATTER, SCOPE AND DEFINITIONS
Article 1
Subject matter
This Regulation establishes emission limits
for gaseous pollutants and particulate matter and the administrative and
technical requirements relating to EU type-approval for all engine types and
engine families referred to in Article 2(1).
This Regulation also establishes the
requirements for the market surveillance of engines to be installed or intended
to be installed in non-road mobile machinery, which are subject to EU
type-approval.
Article 2
Scope
1.           This Regulation shall
apply to all engines set out in Article 4, which are installed in, or intended
to be installed in, non-road mobile machinery, with the exception of engines
for export to third countries.
2.           This Regulation shall not
apply to engines for:
(a)         
the propulsion of vehicles as defined by point
(13) of Article 3 of Directive 2007/46/EC of the European Parliament and of the
Council[17];
(b)         
the propulsion of agricultural and forestry
vehicles as defined by point (11) of Article 3 of Regulation (EU) No 167/2013
of the European Parliament and of the Council[18];
(c)         
stationary machinery;
(d)        
sea-going vessels, requiring a valid maritime navigation
or safety certificate;
(e)         
the propulsion of inland waterway vessels of net
power less than 37 kW;
(f)          
recreational craft as defined by Directive
2013/53/EU of the European Parliament and of the Council [19];
(g)         
aircraft;
(h)         
any recreational vehicles, except snowmobiles, all-terrain
vehicles (ATV) and side-by-side vehicles (SbS);
(i)           
vehicles and machinery exclusively intended for
use in competition;
(j)           
reduced-scale models or reduced-scale replicas
of vehicles or machines when these models or replicas have a net power less
than 19 kW.
Article 3
Definitions
For
the purposes of this Regulation, the following definitions shall apply:
(1) “non-road mobile machinery” means any mobile machine,
transportable equipment or vehicle with or without body work or wheels, not intended
for the use of passenger or goods transport on roads; it includes machinery
installed on the chassis of vehicles intended for passenger or goods transport
on roads;
(2) “EU type-approval” means the procedure whereby an approval
authority certifies that an engine type or engine family satisfies the relevant
administrative provisions and technical requirements of this Regulation;
(3) “gaseous pollutants” means carbon monoxide (CO), total
hydrocarbons (HC) and oxides of nitrogen (NOx), the last named being nitric
oxide (NO) and nitrogen dioxide (NO2), expressed as nitrogen dioxide
(NO2) equivalent;
(4) “Particulate Matter (PM)” means any material collected on a
specified filter medium after diluting engine exhaust gas with clean filtered
air so that the temperature does not exceed 325 K (52 °C);
(5) “Particle Number (PN)” means the number of solid particles with
a diameter greater than 23nm;
(6) “engine” means an energy converter other than a gas turbine in
which combustion of the fuel takes place in a confined space, producing
expanding gases that are used directly to provide mechanical power, for which
EU type-approval may be granted; it includes the emission control system and
the communication interface (hardware and messages) between the engine system
electronic control unit(s) (ECU) and any other powertrain or vehicle control
unit necessary to comply with Chapters II and III;
(7) “engine type” means a specification of engines which do not
differ in essential engine characteristics;
(8) “engine family” means a manufacturer's grouping of engine types
which, through their design, have similar exhaust emission characteristics and
respect the applicable emission limit values;
(9) “parent engine” means an engine type selected from an engine
family in such a way that its emissions characteristics are representative for
that engine family;
(10) “Compression Ignition (CI) engine” means an engine that works
on the compression-ignition principle;
(11) “Spark Ignition (SI) engine” means an engine that works on the
spark-ignition principle;
(12) “dual-fuel engine” means an engine that is designed to
simultaneously operate with a liquid fuel and a gaseous fuel, both fuels being
metered separately, the consumed amount of one of the fuels relative to the other
one being able to vary depending on the operation;
(13) “single-fuel engine” means an engine that is not a dual-fuel
engine as defined in point (12);
(14) “liquid fuel” means a fuel which exists in the liquid state
under standard ambient conditions[20];
(15) “gaseous fuel” means any fuel which is wholly gaseous at
standard ambient conditions20;
(16) “Gas Energy Ratio (GER)”means, in the case of a dual-fuel
engine, the ratio of the energy content of the gaseous fuel over the energy
content of both fuels; in the case of single-fuel engines, GER is defined as
being either 1 or 0 according to the type of fuel;
(17) “variable-speed engine” means an engine that is not a
constant-speed engine as defined in point 18;
(18) “constant-speed engine” means an engine whose type-approval is
limited to constant speed operation, excluding engines whose constant-speed
governor function is removed or disabled; a constant speed engine may be
provided with an idle speed that can be used during start-up or shut-down; a
constant speed engine may be equipped with a governor that can be set to
alternative speeds when the engine is stopped;
(19) “constant-speed operation” means engine operation with a
governor that automatically controls the operator demand to maintain engine
speed, even under changing load;
(20)
“hand-held SI engine” means an SI engine that meets at least one of the
following requirements:
(a) it is used in a piece of equipment that is carried by the
operator throughout the performance of its intended function(s),
(b) it is used in a piece of equipment that operates
multi-positionally, such as upside down or sideways, to complete its intended
function(s),
(c) the engine must be used in a piece of equipment for which the
combined engine and equipment dry weight is less than 20 kilograms and meets at
least one of the following conditions:
(i) its operator provides support or, alternatively, carries the
equipment throughout the performance of its intended function(s),
(ii) its operator provides support or attitudinal control for the
equipment throughout the performance of its intended function(s),
(iii) it is used in a generator or a pump;
(21) “propulsion engine” means an engine intended to directly or
indirectly provide propulsion for a type of non-road mobile machine as defined
in point (1);
(22) “auxiliary engine” means an engine installed or intended for
installation in or on a non-road mobile machine that is not a propulsion
engine;
(23) “net power” means the engine power obtained on a test bench at
the end of a crankshaft, or its equivalent, measured in accordance with the
method of measuring the power of internal combustion engines specified in UNECE
Regulation No. 120 using a reference fuel set out in Article 24(2);
(24) “reference power” means the net power that shall be used to
determine the applicable emission limit values for the engine;
(25) “rated net power” means net power as declared by the
manufacturer of an engine at rated speed;
(26) “maximum net power” means the highest value of the net power on
the nominal full-load power curve for the engine type;
(27) “rated speed” means the engine speed at which, according to the
statement of the manufacturer, the rated power is delivered;
(28) “engine production date” means the date (expressed as the month
and year) when the engine passes the final check after it has left the
production line and is ready to be delivered or to be put on stock;
(29) “transition period” means the first eighteen months following
the date of mandatory implementation of Stage V, as referred to in Article
17(2);
(30) “transition engine” means an engine which has an engine
production date that is prior to the dates for placing on the market of engines
referred to in Article 17(2) and meets any of the following requirements:
(a)     is in conformity with the latest
applicable emission limits defined in the relevant legislation applicable on
the date of entry into force of this Regulation, or
(b)     was not regulated at Union level on
the date of entry into force of this Regulation;
(31) “machine production date” means the year indicated on the
statutory marking of the machine or, in absence of a mandatory marking, the
year when the machine passes the final check after it has left the production
line;
(32) “inland waterway vessel” means a vessel falling within the
scope of Directive 2006/87/EC;
(33) “generating set” means an independent non-road mobile machine that
is not part of a power train, primarily intended to produce electric power;
(34) “stationary machinery” means machinery that is intended to be permanently
installed in one location in its first use and not intended to be moved, on
road or otherwise, except during shipment from the place of manufacture to the
place of first installation;
(35) “permanently installed” means bolted, or otherwise effectively
fixed so that it cannot be removed without the use of tools or equipment, to a
foundation or an alternative constraint intended to cause the engine to operate
in one single location at a building, structure, facility or installation;
(36) “reduced-scale model replica” means a model or replica machine
or vehicle that is manufactured to a smaller scale than the original for
recreational purposes;
(37) “snowmobile” means a self-propelled machine that is intended
for off-road travel primarily on snow, is driven by tracks in contact with snow
and steered by a ski or skis in contact with the snow, and has a maximum
unladen mass, in running order, of 454 kg (including standard equipment,
coolant, lubricants, fuel, tools and 75 kg driver but excluding optional
accessories);
(38) “All-Terrain Vehicle (ATV)” means a motorised vehicle,
propelled by an engine, intended primarily to travel on unpaved surfaces on
four or more wheels with low-pressure tyres, having a seat designed to be
straddled by the driver only or a seat designed to be straddled by the driver
and a seat for no more than one passenger, and handlebars for steering;
(39) “Side-by Side vehicle (SbS)”, means a self-propelled,
operator-controlled, non-articulated vehicle intended primarily to travel on unpaved
surfaces on four or more wheels, having a minimum unladen mass, in running
order, of 300 kg (including standard equipment, coolant, lubricants, fuel,
tools and 75 kg driver but excluding optional accessories) and a maximum design
speed of 25 km/h or more; in addition, it is designed to transport persons
and/or cargo and pull and push equipment and steered by a control other than a
handlebar, designed for recreational or utility purposes and shall carry no
more than 6 people including the driver, sitting side by side on one or more
non-straddle seats;
(40) “railcar” means a railway vehicle that is designed to provide,
either directly through its own wheels or indirectly through the wheels of
other railway vehicles, the motive power for propelling itself, and that is
specifically designed to carry goods or passengers, or both goods and
passengers, and is not a locomotive;
(41) “locomotive” means a railway vehicle designed to provide,
either directly through its own wheels or indirectly through the wheels of
other railway vehicles, the motive power for propelling itself and for
propelling other railway vehicles that are designed to carry freight,
passengers and other equipment, itself being designed or intended not to carry
freight or passengers (other than those operating the locomotive);
(42) “auxiliary railway vehicle” means a railway vehicle that is not
a railcar as defined in point (40) or locomotive as defined in point (41),
including but not limited to, a railway vehicle specifically designed to perform
maintenance or construction work or lifting operations associated with the
track or other infrastructure of the railway;
(43) “railway vehicle” means a type of non-road mobile machine that
operates exclusively on railway tracks;
(44) “making available on the market” means any supply of an engine
as defined in point (6) for distribution or use on the Union market in the
course of a commercial activity, whether in return for payment or free of
charge;
(45) “placing on the market” means the first making available of an
engine on the Union market, as defined in point (6);
(46) “manufacturer” means any natural or legal person who is
responsible to the approval authority for all aspects of the engine EU
type-approval or authorisation process, for ensuring conformity of the engine
production and who is also responsible for market surveillance concerns for the
engines produced, whether or not directly involved in all stages of the design
and construction of the engine which is the subject of the approval process;
(47) “manufacturer’s representative” means any natural or legal
person established in the Union who is duly appointed by the manufacturer to
represent the manufacturer in matters related to the approval authority or the
market surveillance authority and to act on the manufacturer’s behalf in
matters covered by this Regulation;
(48) “importer” means any natural or legal person established in the
Union who places on the market an engine as defined in point (6) from a third
country, whether or not the engine is already installed in machinery;
(49) “distributor” means any natural or legal person in the supply
chain, other than the manufacturer or the importer, who makes available on the
market an engine as defined in point (6);
(50) “economic operator” means the manufacturer as defined in point
(46), the manufacturer’s representative as defined in point (47), the importer
as defined in point (48) or the distributor as defined in point (49);
(51) “Original Equipment Manufacturer (OEM)” means a manufacturer of
non-road mobile machinery; 
(52) “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 with competence for all aspects of the approval of an engine
type or of an engine family, for the authorisation process, for issuing and, if
appropriate, withdrawing or refusing 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;
(53) “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, it being
possible for the approval authority itself to carry out those functions;
(54) “market surveillance” means the activities carried out and
measures taken by national authorities to ensure that engines made available on
the market comply with the requirements set out in the relevant Union
harmonisation legislation and do not endanger health, or the environment, or put
at risk any other aspect of the protection of the public interest;
(55) “market surveillance authority” means an authority of a Member State responsible for carrying out market surveillance on its territory;
(56) “national authority” means an approval authority or any other
authority involved in and responsible for market surveillance, border control
or placing on the market in a Member State, in respect of engines to be
installed in non-road mobile machinery;
(57) “end-user” means any natural or legal person other than the
manufacturer, OEM, importer or distributor that is responsible for operating
the engine when installed in a type of non-road mobile machinery;
(58) “information document” means the document that prescribes the
information to be supplied by an applicant;
(59) “information folder” means the totality of the folder or file
of data, drawings, photographs, etc. supplied by the applicant to the technical
service or the approval authority;
(60) “information package” means the information folder and any test
reports or other documents that the technical service or the approval authority
have added to the information folder in the course of carrying out their
functions;
(61) “index to the information package” means the document in which
the contents of the information package, suitably numbered or otherwise marked
to clearly identify all pages, are listed;
(62) “defeat strategy” means an emission control strategy that
reduces the effectiveness of the emission controls under ambient or engine
operating conditions encountered either during normal machine operation or
outside the EU type-approval test procedures;
(63) “emission control system” means any device, system or element
of design which controls or reduces emissions;
(64) “fuel system” means all components involved in the metering and
mixture of the fuel;
(65) “electronic control unit” means an engine's electronic device
that is part of the emission control system and uses data from engine sensors
to control engine parameters;
(66) “exhaust after-treatment system” means a catalyst, particulate
filter, deNOx system, combined deNOx particulate filter or any other
emission-reducing device that is part of the emission control system but is
installed downstream of the engine exhaust valves, with the exception of
exhaust gas recirculation (EGR) and turbochargers;
(67) “exhaust gas recirculation (EGR)” means a technology that is
part of the emission control system and reduces emissions by routing exhaust
gases that had been expelled from the combustion chamber(s) back into the
engine to be mixed with incoming air before or during combustion, with the
exception of the use of valve timing to increase the amount of residual exhaust
gas in the combustion chamber(s) that is mixed with incoming air before or during
combustion;
(68) “tampering” means inactivation, adjustment or modification of
the engine emission control system, including any software or other logical
control elements of those systems, that has the effect, whether intended or
not, of worsening the emissions performance of the engine;
(69) “test cycle” means a sequence of test points, each with a
defined speed and torque, to be followed by the engine when being tested under
steady state or transient operating conditions;
(70) “steady-state test cycle” means a test cycle in which engine speed
and torque are held at a finite set of nominally constant values. Steady-state
tests are either discrete mode tests or ramped-modal tests;
(71) “transient test
cycle” means a test cycle with
a sequence of normalized speed and torque values that vary on a
second-by-second basis with time;
(72) “self-testing” means the performance of tests in his or her 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 with
certain requirements;
(73) “crankcase” means the enclosed spaces in, or external to, an
engine which are connected to the oil sump by internal or external ducts
through which gases and vapours can be emitted;
(74) “regeneration” means an event during which emissions levels
change while the after-treatment performance is being restored by design, being
classified as continuous regeneration or infrequent (periodic) regeneration;
(75) “emission durability period” means the number of hours used to
determine the deterioration factors;
(76) “deterioration factors” means the set of factors that indicate
the relationship between emissions at the start and end of the emission
durability period;
(77) “virtual testing” means computer simulations, including
calculations, undertaken to demonstrate the level of performance of an engine
as an aid to decision-making without requiring the use of a physical engine;
(78) “intermediate speed application” means an application for SI
engines other than hand-held SI engines in which the installed engine is
intended for operation at speeds substantially below 3600 rpm;
(79) “rated speed application” means an application for SI engines
other than hand-held SI engines in which the installed engine is intended for
operation at a rated speed that is nominally 3600 rpm or higher.
The Commission shall be empowered to adopt delegated
acts in accordance with Article 55 concerning the detailed technical
specifications of the definitions in points (7), (8), (19), (27), (74) and
(76). Those delegated acts shall be adopted by [31 December 2016].
Article 4
Engine categories
For the purposes of this Regulation, the
following engine categories, subdivided into the sub-categories set out in
Annex I, shall apply:
(1) ‘Category
NRE’, comprising:
(a)         
engines for non-road mobile machinery intended
and suited to move, or to be moved by road or otherwise that are not excluded
under Article 2(2) and are not included in any other category set out in points
(2) to (10),
(b)         
engines with a reference power of less than 560
kW used in place of engines of categories IWP, RLL or RLR;
(2) ‘Category
NRG’, comprising engines having a reference power that is greater than 560 kW
exclusively for use in generating sets. 
Engines
for generating sets other than those having the characteristics set out in the
first sub-paragraph shall be included in the categories NRE or NRS, according
to their characteristics;
(3) ‘Category
NRSh’, comprising hand-held SI engines having a reference power that is less
than 19 kW exclusively for use in hand-held machinery;
(4) ‘Category
NRS’, comprising SI engines, having a reference power that is less than 56 kW
and not included in category NRSh;
(5) ‘Category
IWP’, comprising:
(a)         
engines exclusively for use in inland waterway
vessels, for their propulsion or intended for their propulsion, having a
reference power that is greater than or equal to 37 kW,
(b)         
engines with a reference power greater than 560
kW used in place of engines of category IWA subject to complying with the
requirements of Article 23(8);
(6) ‘Category
IWA’, comprising engines exclusively for use in inland waterway vessels, for
auxiliary purposes or intended for auxiliary purposes, having a net power that
is greater than 560 kW.
Auxiliary
engines for inland waterway vessels other than those having the characteristics
set out in the first sub-paragraph shall be included in the categories NRE or
NRS, according to their characteristics;
(7) ‘Category
RLL’, comprising engines exclusively for use in locomotives, for their propulsion
or intended for their propulsion;
(8) ‘Category
RLR’, comprising engines exclusively for use in railcars, for their propulsion
or intended for their propulsion;
(9) ‘Category
SMB’, comprising SI engines exclusively for use in snowmobiles.
Engines
for snowmobiles other than those having the characteristics set out in the
first sub-paragraph shall be included in the category NRE;
(10) ‘Category
ATS’, comprising SI engines exclusively for use in all terrain and side-by-side
vehicles (ATVs and SbS).
Engines
for ATVs and SbS other than those having the characteristics set out in the
first sub-paragraph shall be included in the category NRE.
An engine of a particular category intended
for use in a variable speed application may also be used in place of an engine
of the same category intended for use in a constant speed application. Variable
speed engines of category IWP used in constant speed applications shall
additionally comply with the requirements of Article 23(7) or Article 23(8), as
applicable.
Engines for
auxiliary rail vehicles and auxiliary engines for railcars shall be included in
the categories NRE or NRS, according to their characteristics.
CHAPTER II
GENERAL OBLIGATIONS
Article 5
Obligations of Member States
1.           Member States shall
establish or appoint the approval authorities competent in matters concerning
approval and the market surveillance authorities competent in matters
concerning market surveillance in accordance with this Regulation. Member
States shall notify the Commission of the establishment and appointment of such
authorities.
2.           The notification of the
approval and market surveillance authorities shall include their name, their
address, including their electronic address, and their area of responsibility.
The Commission shall publish on its website a list and details of the approval
authorities.
3.           Member States shall only
permit the placing on the market of engines, whether or not already installed
in machinery, that are covered by a valid EU type-approval granted in
accordance with this Regulation.
Member States shall only permit the placing on
the market of machinery where engines that are covered by a valid EU
type-approval granted in accordance with this Regulation are installed.
4.           Member States shall not
prohibit, restrict or impede the placing on the market of engines on grounds
related to aspects of their construction and functioning covered by this
Regulation, if they satisfy its requirements.
5.           Member States shall
organise and carry out market surveillance and the control of engines entering
the market in accordance with Chapter III of Regulation (EC) No 765/2008 of the
European Parliament and of the Council[21].
Article 6
Obligations of approval authorities
1.           Approval authorities shall
ensure that manufacturers applying for EU type-approval comply with their
obligations under this Regulation.
2.           Approval authorities shall
grant EU type-approval only to the engine types or engine families that satisfy
the requirements of this Regulation.
3.           Approval authorities shall
make public by means of the Union central administrative platform referred to
in Article 41, a register of all engine types and engine families, for which
they have granted EU type-approval, containing at least the following
information: trademark, designation of manufacturer, engine category, number of
type-approval, and date of type-approval.
Article 7
Market surveillance measures
For EU type-approved engines, market
surveillance authorities shall perform, on an adequate scale and on the basis
of adequate samples, documentary checks and, where appropriate, physical and
laboratory checks of engines. When doing so, they shall take account of
established principles of risk assessment, of any complaints and of other
relevant information.
Market surveillance authorities may require
economic operators to make such documentation and information available as is
deemed necessary for the purpose of carrying out their activities.
Where economic operators present test
reports or certificates of conformity, market surveillance authorities shall
take due account of such reports or certificates.
Article 8
Obligations of manufacturers
1.           Manufacturers shall ensure
that when their engines are placed on the market, they are manufactured and
approved in accordance with the requirements set out in Chapters II and III of
this Regulation.
2.           For the purposes of
approval of engines, manufacturers established outside the Union shall appoint
a single representative established within the Union to represent them in their
dealings with the approval authority.
3.           Manufacturers established
outside the Union shall appoint a single representative established within the Union for the purposes of market surveillance, which may be the representative referred to
in paragraph 2 or a different representative.
4.           Manufacturers shall be
responsible to the approval authority for all aspects of the approval process
and for ensuring conformity of production, whether or not they are directly
involved in all stages of the construction of an engine.
5.           In accordance with this
Regulation, manufacturers shall ensure that procedures are in place for series
production to remain in conformity with the approved type. Changes in design of
an engine or its characteristics and changes in the requirements to which an
engine is declared to conform shall be taken into account in accordance with
Chapter VI.
6.           In addition to the marking
affixed to their engines in accordance with Article 31, manufacturers shall
indicate on their engines made available on the market their name, registered
trade name or registered trade mark and the address in the Union at which they
can be contacted or, where that is not possible, on its packaging or in a
document accompanying the engine.
7.           Manufacturers shall ensure
that, whilst they are responsible for an engine, storage or transport
conditions do not jeopardise its compliance with the requirements set out in Chapters
II and III.
Article 9
Obligations of manufacturers
concerning their products that are not in conformity
1.           Manufacturers who consider
or have reason to believe that their engine that has been placed on the market
is not in conformity with this Regulation shall immediately conduct an investigation
into the nature of the non-conformity and the likelihood of its occurrence.
They shall take corrective action, based upon the outcome of the investigation,
to ensure that engines in production are brought into conformity with the
approved type or family in a timely manner. If proportionate to the nature of
the non-conformity and its likely occurrence, the provisions of Article 38 shall
apply.
Notwithstanding the requirements of the first
sub-paragraph, the manufacturer will not be required to take corrective
measures in respect of engines which are not in conformity with this Regulation
as a result of modifications made after the engine has been placed on the
market that have not been authorised by the manufacturer.
2.           The manufacturer shall immediately
inform the approval authority that granted the approval, giving details, in
particular, of the non-conformity and of any corrective measures taken.
3.           Manufacturers shall keep
the information package referred to in Article 21(9) and a copy of the certificates
of conformity referred to in Article 30 at the disposal of the approval
authorities for a period of 10 years after the placing on the market of an
engine.
4.           Manufacturers shall,
following a reasoned request from a national authority, provide that authority
through the approval authority with a copy of the EU type-approval certificate
for an engine, in a language which can be easily understood by the requesting
authority.
Article 10
Obligations of manufacturer’s
representatives concerning market surveillance
The manufacturer’s representative for
market surveillance shall perform the tasks specified in the mandate received
from the manufacturer. That mandate shall allow a representative to do at least
the following:
(1)          have access to the information
folder referred to in Article 20 and the certificates of conformity referred to
in Article 30 so that they can be placed at the disposal of the approval
authorities for a period of 10 years after the placing on the market of an
engine;
(2)          following a reasoned request from
an approval authority, provide that authority with all the information and
documentation necessary to demonstrate the conformity of production of an
engine;
(3)          cooperate with the approval or
market surveillance authorities, at their request, on any action taken to
eliminate any serious risk to safety posed by engines covered by their mandate.
Article 11
Obligations of importers
1.           Importers shall place on
the market only compliant engines which have received EU type-approval.
2.           Before placing on the
market an EU type-approved engine, importers shall ensure that an information
package complying with Article 21(9) is available and that the engine bears the
required marking and complies with Article 8(6).
3.           Importers shall, for a
period of 10 years after the placing on the market of the engine, keep a copy
of the certificate of conformity at the disposal of the approval and market
surveillance authorities, and ensure that the information package as referred
to in Article 21(9) can be made available to those authorities, upon request.
4.           Importers shall indicate
their name, registered trade name or registered trade mark and the address at
which they can be contacted on the engine or, where this is not possible, on
its packaging or in a document accompanying the engine.
5.           Importers shall make
available instructions and information, as required in accordance with Article 41.
6.           Importers shall ensure
that, whilst they are responsible for an engine, storage or transport
conditions do not jeopardise its compliance with the requirements set out in
Chapters II and III.
Article 12
Obligations of importers concerning
their products that are not in conformity
1.           Importers who consider or
have reason to believe that an engine is not in conformity with the
requirements of this Regulation, and in particular that it does not correspond
to its type-approval, shall not distribute the engine until it has been brought
into conformity. Furthermore, they shall inform the manufacturer and the market
surveillance authorities, as well as the approval authority that has granted
the approval to that effect.
2.           Importers who consider or
have reason to believe that an engine which they have placed on the market is
not in conformity with this Regulation shall immediately conduct an
investigation into the nature of the non-conformity and the likelihood of its
occurrence. They shall take corrective action, based upon the outcome of the
investigation, to ensure that engines in production are brought into conformity
with the approved type or family in a timely manner. If proportionate to the
nature of the non-conformity and its likely occurrence, the provisions of
Article 38 may apply. 
3.           Importers shall, following
a reasoned request from a national authority, provide it with all the
information and documentation necessary to demonstrate the conformity of an
engine in a language which can be easily understood by that authority.
Article 13
Obligations of distributors
1.           When making an engine
available on the market, distributors shall act with due care in relation to
the requirements of this Regulation.
2.           Before making an engine
available on the market, distributors shall verify that the engine bears the
required statutory marking or EU type-approval mark, that required documents,
instructions and safety information is available in a language that is
understandable to the OEM, and that the importer and the manufacturer have
complied with the requirements set out in Article 11(2) and (4) and Article 31(1)
and (2).
3.           Distributors shall ensure
that, whilst they are responsible for an engine, storage or transport
conditions do not jeopardise its compliance with the requirements set out in
Chapters II and III.
Article 14
Obligations of distributors
concerning their products that are not in conformity
1.           Where distributors
consider or have reason to believe that an engine is not in conformity with the
requirements of this Regulation, they shall not distribute the engine until it
has been brought into conformity.
2.           Distributors who consider
or have reason to believe that an engine which they have distributed is not in
conformity with this Regulation shall inform the manufacturer or the
manufacturer’s representative to ensure that the corrective measures necessary
to bring engines in production into conformity with the approved type or family
are taken in accordance with Article 9(1) or Article 12(2).
3.           Distributors shall,
following a reasoned request from a national authority, ensure that the
manufacturer provide the national authority with the information specified in
Article 9(3) or that the importer provide the national authority with the
information specified in Article 11(3).
Article 15
Cases in which obligations of
manufacturers apply to importers and distributors
An importer or distributor shall be
considered a manufacturer for the purposes of this Regulation and shall be
subject to the obligations of the manufacturer under Articles 8, 9 and 10,
where the importer or distributor makes an engine available on the market under
its name or trademark or modifies the engine in such a way that compliance with
the applicable requirements may be affected.
Article 16
Identification of economic
operators
Economic operators shall, on request,
identify the following to the approval and market surveillance authorities, for
a period of five years from the date of placing on the market:
              (a) any economic operator who
has supplied them with an engine;
              (b) any economic operator to
whom they have supplied an engine.
CHAPTER III
SUBSTANTIVE REQUIREMENTS
Article 17
Exhaust emission requirements for
EU type-approval
1.           Manufacturers shall ensure
that engine types and engine families are designed, constructed and assembled
so as to comply with the requirements set out in Chapter II and Chapter III of
this Regulation.
2.           Engine types and engine
families shall not exceed, as of the date for placing on the market of engines
set out in Annex III, the exhaust emission limit values referred to as “Stage V”
established in Annex II.
Where, in accordance with the parameters
defining the engine family laid down in the delegated act, one engine family
covers more than one power band, the parent engine (for the purposes of type-approval)
and all engine types within the same family (for the purposes of conformity of production)
shall, with respect to the applicable power bands:
–              
meet the most stringent emission limit values;
–              
be tested using the test cycles that correspond
to the most stringent emission limit values;
–              
be subject to the earliest applicable dates for type-approval
and placing on the market set out in Annex III.
3.           The exhaust emissions of
engine types and engine families shall be measured on the basis of the test
cycles set out in Article 23 and in accordance with the provisions on the
conduct of tests and measurements set out in in Article 24.
4.           Engine types and engine
families shall be designed to resist tampering and shall not make use of any
defeat strategy.
5.           The Commission shall be
empowered to adopt delegated acts in accordance with Article 55 concerning the
detailed technical specifications relating to the parameters used for the
definition of the engine family and the detailed technical provisions to resist
tampering as referred to in paragraph 4. Those delegated acts shall be adopted
by [31 December 2016].
Article 18
Monitoring of emissions of
in-service engines
1.           The gaseous pollutant and
particulate emissions of engine types or engine families in service shall be
monitored by testing engines installed in non-road mobile machinery operated
over their normal operating duty cycles. Such testing shall be conducted on
engines that have been correctly maintained and shall comply with the
provisions on the selection of engines, testing procedures and reporting of
results for the different engine categories.
The Commission shall conduct pilot programmes
with a view to developing appropriate testing procedures for those engine
categories and sub-categories for which such testing procedures are not in
place.
2.           The Commission shall be
empowered to adopt delegated acts in accordance with Article 55 concerning the
detailed arrangements with regard to the selection of engines, testing
procedures and reporting of results referred to in paragraph 1. Those delegated
acts shall be adopted by [31 December 2016].
CHAPTER IV
EU TYPE-APPROVAL PROCEDURES
Article 19
Application for EU type-approval
1.           Manufacturers shall submit
an application for an engine type or engine family EU type-approval to the
approval authority of a Member State. Applications shall be accompanied by the
information folder referred to in Article 20. 
2.           An engine conforming to
the engine type or, in case of an engine family, to the parent engine
characteristics described in the information folder shall be made available to
the technical service responsible for conducting the approval tests.
3.           In the case of an
application for EU type-approval of an engine family, if the approval authority
determines that, with regard to the selected parent engine as referred to in
paragraph 2, the application submitted does not fully represent the engine
family described in the information folder, an alternative and, if necessary,
an additional parent engine which is considered by the approval authority to
represent the engine family shall be provided for approval.
4.           An application in respect
of one engine type or engine family may not be submitted to more than one Member State. A separate application shall be submitted for each engine type or engine
family to be approved.
Article 20
Information folder
1.           The applicant shall
provide the approval authority with an information folder.
2.           The contents of
information folder shall be defined in an implementing act and shall include
the following:
(a)         
an information document;
(b)         
all relevant data, drawings, photographs and
other information in relation to the engine;
(c)         
any additional information requested by the
approval authority in the context of the application procedure.
3.           The information folder may
be supplied on paper or in an electronic format that is accepted by the technical
service and by the approval authority.
4.           The Commission shall be
empowered to lay down templates for the information document and for the
information folder by means of implementing acts. Those implementing acts shall
be adopted in accordance with the examination procedure referred to in Article
54(2) by [31 December 2016].
CHAPTER V
CONDUCT OF EU TYPE-APPROVAL
PROCEDURES
Article 21
General provisions
1.           The approval authority
receiving the application shall grant EU type-approval to all engine types or
engine families in conformity with all of the following:
(a)         
the particulars in the information folder;
(b)         
the requirements of this Regulation;
(c)         
the production arrangements referred to in
Article 25.
2.           Approval
authorities shall not impose any other type-approval requirements with regard
to exhaust emissions for non-road mobile machinery in
which an engine is installed, if the engine meets the requirements specified in
this Regulation.
3.           Approval authorities shall
not grant an EU type-approval to an engine type or engine family that does not
meet the requirements set out in this Regulation, after the dates for the type-approval
of engines referred to in Annex III for each engine sub-category.
4.           EU type-approval
certificates shall be numbered in accordance with a harmonized system laid down
by the Commission by means of implementing acts.
5.           The approval authority of
each Member State shall:
(a)         
send monthly to the approval authorities of the
other Member States a list of the EU type-approvals it has granted, refused to
grant or withdrawn during that month, together with the reasons for its
decision;
(b)         
inform without delay the approval authorities of
the other Member States of its refusal or withdrawal of any engine approval,
together with the reasons for its decision;
(c)         
on receiving a request from the approval
authority of another Member State, send within one month:
–              
a copy of the engine or engine family EU
type-approval certificate, where this exists, together with the information
package for each engine type or engine family which it has approved or refused
to approve or withdrawn, and/or
–              
the list of engines produced according to EU
type-approvals granted, as described in Article 35.
6.           The approval authority of
each Member State shall yearly, or in addition on receiving a corresponding
application, send the Commission a copy of the data sheet related to the engine
types or engine families approved since the latest notification was made.
7.           If so requested by the
Commission, the approval authority shall submit the information referred to in
paragraph 5 to the Commission as well.
8.           Requirements referred to
in paragraphs 5, 6 and 7 shall be deemed to be fulfilled through the upload of
the relevant information or data to the Union central administrative platform
referred to in Article 42. The copy may also take the form of a secure
electronic file.
9.           The approval authority
shall put together an information package consisting of 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 package shall contain an index
listing its contents, suitably numbered or otherwise marked so as to identify
clearly all the pages and the format of each document such as to present a
record of the successive steps in the management of the EU type-approval, in
particular the dates of revisions and updating. The approval authority shall
keep information contained in the information package available for a period of
10 years after the end of validity of the EU type-approval concerned.
10.         The Commission shall be
empowered to adopt by means of implementing acts:
(a)         
the method for establishing the harmonized
numbering system referred to in paragraph 4;
(b)         
the single format of the data sheet to be filled
for each engine type or engine family that was EU type-approved by the approval
authority of each Member State referred to in point (a) of paragraph 5;
(c)         
the template for the list of engines produced
according to EU type-approvals granted to be filled in by the approval
authority of each Member State referred to in point (c) of paragraph 5;
(d)        
the single format of the data sheet for related
engine types or engine families approved since the latest notification was
made, to be filled in by the approval authority of each Member State referred to in paragraph 6.
Those implementing acts shall be adopted in
accordance with the examination procedure referred to in Article 54(2) by [31
December 2016].
Article 22
Specific provisions concerning the
EU type-approval certificate
1.           The EU type-approval
certificate shall contain, as attachments, the following:
(a)         
the information package referred to in Article 21(9);
(b)         
the test results;
(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.
2.           The Commission shall lay
down a template for the EU type-approval certificate.
3.           In respect of each type of
engine, the approval authority shall:
(a)         
complete all the relevant sections of the EU
type-approval certificate, including the test results sheet appended thereto;
(b)         
compile the index to the information package;
(c)         
issue the completed certificate, together with
its attachments, to the applicant without delay.
4.           In the case of an EU
type-approval for which, in accordance with Article 33, restrictions have been
imposed as to its validity, or certain provisions of this Regulation have been
waived, the EU type-approval certificate shall specify those restrictions or
waivers.
5.           The Commission shall be
empowered to adopt by means of implementing acts the template for the EU
type-approval certificate and for the test results sheet referred to in point
(a) of paragraph 3. Those implementing acts shall be adopted in accordance with
the examination procedure referred to in Article 54(2) by [31 December 2016].
 
Article 23
Tests required for EU type-approval
1.           Compliance with the technical prescriptions laid down
in this Regulation shall be demonstrated by means of appropriate tests
performed by designated technical services.
The technical test and measurement procedures and the specific
equipment and tools prescribed to perform those tests shall be those laid down
in Article 24.
2.           The manufacturer shall
make available to the approval authority as many engines as are required under
the relevant delegated acts for the performance of the required tests.
3.           The required tests shall
be performed on engines which are representative of the type to be approved.
Notwithstanding the requirements of the first
sub-paragraph, the manufacturer may select, in agreement with the approval
authority, an engine 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.
4.           For the purposes of
conducting the EU type-approval tests, the cycles that apply are set out in Annex
IV. The test cycles applicable to each engine type included in the EU
type-approval shall be indicated in the EU type-approval information document.
5.           The parent engine shall be
tested on a dynamometer using the applicable NRSC test cycle identified in
Annex IV in the Tables IV-1 to IV-10. At the choice of the manufacturer this
test may be conducted using the discrete-mode or the ramped-modal test method.
Except in the cases identified in paragraph 7 and 8, a variable speed engine of
a particular category used in a constant speed application of the same category
does not require to be tested using the applicable constant speed steady-state
test cycle.
6.           In case of a constant
speed engine with a governor that can be set to alternative speeds, the requirements
of paragraph 5 shall be met at each applicable constant speed and the EU type-approval
information document shall indicate the speeds that apply for each engine type.
7.           In case of an engine of
category IWP intended to be used for both variable speed and constant speed
applications, the requirements of paragraph 5 shall be met for each applicable
steady-state test cycle separately and the EU type-approval information
document shall indicate each steady-state test cycle for which this requirement
was fulfilled.
8.           In case of an engine of
category IWP having a reference power greater than 560 kW that is intended for
use in place of an engine of category IWA in accordance with the second subparagraph
of Article 4, the requirements of paragraph 5 shall be met separately for each
applicable steady-state test cycle set out in both Tables IV-5 and IV-6 of
Annex IV, and the type-approval information document shall indicate each
steady-state test cycle for which this requirement was fulfilled.
9.           Except for engines
type-approved pursuant to Article 32(4), variable speed engines of category NRE
having a net power that is greater than or equal to 19 kW but not more than 560
kW shall in addition to fulfilling the requirements of paragraph 5 also be
tested on a dynamometer using the transient test cycle identified in Table IV-11
of Annex IV.
10.         Engines of sub-categories
NRS-v-2b and NRS-v-3 having a maximum speed less than or equal to 3400 rpm
shall in addition to fulfilling the requirements of paragraph 5 also be tested
on a dynamometer using the transient test cycle identified in Table IV-12 of
Annex IV.
11.         The Commission shall be
empowered to adopt delegated acts in accordance with Article 55 laying down the
detailed technical specifications and characteristics of the steady-state and
transient test cycles referred to in this Article. Those delegated acts shall
be adopted by [31 December 2016].
12.         The Commission shall be
empowered to adopt by means of implementing acts the single format of the tests
required for EU type-approval. Those implementing acts shall be adopted in
accordance with the examination procedure referred to in Article 54(2) by [31
December 2016].
Article 24
Conduct
of measurements and tests for EU type-approval
1.           Exhaust emission
laboratory test results for all engines subject to this Regulation shall be
adjusted to include deterioration factors appropriate to the emission
durability periods specified in Annex V.
2.           An engine type or engine
family shall meet the emission limits set out in this Regulation on the
appropriate reference fuels or fuel combinations included in the following
list:
–              
diesel;
–              
petrol;
–              
petrol/oil mixture, for two stroke SI engines;
–              
natural gas/bio methane;
–              
liquid petroleum gas (LPG);
–              
ethanol.
3.           For the conduct of
measurements and tests, the technical requirements shall be met in respect of
the following aspects:
(a)         
apparatus & procedures for conduct of tests;
(b)         
apparatus & procedures for emission
measurement & sampling;
(c)         
methods for data evaluation & calculations;
(d)        
method for establishing deterioration factors;
(e)         
for engines of category NRE, NRG, IWP, IWA, RLR,
NRS, NRSh complying with “Stage V” emission limits as defined in Annex II:
i.     method for accounting for emissions of crankcase gases,
ii.    method for accounting for infrequent regeneration of
after-treatment systems;
(f)          
for electronically controlled engines of
categories NRE, NRG, IWP, IWA, RLL and RLR, complying with “Stage V” emission
limits as defined in Annex II and that use electronic control to determine both
the quantity and timing of injecting fuel or that use electronic control to
activate, de-activate or modulate the emission control system used to reduce
NOx:
i.     technical requirements on emission control strategies
including documentation required to demonstrate these strategies,
ii.    technical requirements on NOx control measures including the
method to demonstrate these technical requirements,
iii.   technical requirements on the area associated with the
relevant NRSC cycle, within which there is control on the amount that the
emissions shall be permitted to exceed the limit values in Annex II,
iv.   the selection by the technical service of additional
measurement points from within the control area during the emission bench test.
4.           The Commission shall be
empowered to adopt delegated acts in accordance with Article 55 of this
Regulation setting out:
(a)         
the methodology for adapting the emission
laboratory test results to include the deterioration factors referred to in
paragraph 1;
(b)         
the technical characteristics of the reference
fuels listed in this paragraph for approval tests and to verify the conformity
of production referred to in paragraph 2;
(c)         
the detailed technical requirements and
characteristics for the conduct of measurements and tests referred to in
paragraph 3;
(d)        
the method for the measurement of PN, taking
account of the specifications given in the 06 series of UNECE Regulation No. 49;
(e)         
the detailed technical requirements for the
testing of fully and partially gaseous fuelled engines referred to in Annex II.
Article 25
Conformity
of production arrangements
1.           An approval authority
which grants an EU type-approval shall take the necessary measures to verify,
if necessary in cooperation with the approval authorities of the other Member
States, that adequate arrangements have been made to ensure that the engines in
production will conform to the approved type with respect to the requirements
of this Regulation.
2.           An approval authority
which grants an engine family EU type-approval shall take the necessary
measures to verify that certificates of conformity issued by the manufacturer
conform to the requirements of Article 30. To that end, the approval authority
shall verify that a sufficient number of samples of certificates of conformity
conform to the requirements of Article 30 and that the manufacturer has made
adequate arrangements to ensure that the data in the certificates of conformity
are correct.
3.           An approval authority
which has granted an EU type-approval shall take the necessary measures in
relation to that approval to verify, if necessary in cooperation with the
approval authorities of the other Member States, that the arrangements referred
to in paragraphs 1 and 2 of this Article continue to be adequate so that
engines in production will continue to conform to the approved type and that
certificates of conformity continue to comply with the requirements of Article 30.
4.           In order to verify that an
engine conforms to the approved type, the approval authority which has granted
the EU type-approval may carry out any of the checks or tests required for the
EU type-approval on samples taken at the premises of the manufacturer,
including the manufacturer´s production facilities.
5.           When an approval authority
which has granted an EU type-approval establishes that the arrangements
referred to in paragraphs 1 and 2 of this Article 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, even though
production is continuing, it shall take the necessary measures to ensure that
the procedure for conformity of production is followed correctly or shall
withdraw the EU type-approval.
6.           The Commission shall be
empowered to adopt delegated acts in accordance with Article 55 laying down the
detailed measures to be taken and procedures to be followed by the approval
authorities to ensure that the engines in production conform to the approved
type. Those delegated acts shall be adopted by [31 December 2016].
CHAPTER VI
AMENDMENTS AND VALIDITY OF EU
TYPE-APPROVALS
Article 26
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 which of
the procedures laid down in Article 27 is to be followed.
Where necessary, the approval authority may
decide, after consulting the manufacturer, that a new EU type-approval is to be
granted.
2.           An application for the
amendment of an EU type-approval shall be submitted only to the approval
authority that granted the original EU type-approval.
3.           If the approval authority
finds that, for the purposes of making an amendment, inspections or tests need
to be repeated, it shall inform the manufacturer accordingly.
The procedures referred to in Article 27 shall
apply only if, on the basis of those inspections or tests, the approval
authority concludes that the requirements for EU type-approval continue to be
fulfilled.
Article 27
Revisions and extensions of EU
type-approvals
1.           If particulars recorded in
the information package have changed, without requiring inspections or tests to
be repeated, the amendment shall be designated a ‘revision’.
In such cases, the approval authority shall
issue the revised pages of the information package as necessary, marking each
of the revised pages to show clearly the nature of the change and the date of
reissue. 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’ when the particulars recorded in the information
package have changed and any of the following occurs:
(a)         
further inspections or tests are required;
(b)         
any information on the EU type-approval
certificate, with the exception of its attachments, has changed;
(c)         
new requirements set out in the delegated acts
of this Regulation become applicable to the approved engine type or engine
family.
In the event of an extension, the approval
authority shall issue an updated EU type-approval certificate denoted by an
extension number, incremented in accordance with the number of successive
extensions already granted. That approval certificate shall clearly show the
reason for the extension and the date of reissue.
3.           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.
4.           No amendment to the EU
type-approval of an engine type or engine family shall be required if the new
requirements referred to in point (c) of paragraph 2 are, from a technical
point of view, irrelevant to that engine type or engine family with regard to
its emission performance.
Article 28
Issue and notification of
amendments
1.           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.
2.           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.
3.           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
21.
Article 29
Termination of validity
1.           EU type-approvals shall be
issued for an unlimited duration.
2.           An EU type-approval of an
engine shall become invalid in any of the following cases:
(a)         
new requirements applicable to the approved
engine type become mandatory for the making available on the market, and it is
not possible to update the EU type-approval accordingly;
(b)         
production of the approved engine type or engine
family is definitively discontinued voluntarily;
(c)         
the validity of the approval expires by virtue
of a restriction in accordance with Article 33(6);
(d)        
the approval has been withdrawn in accordance
with Article 25(5), Article 37(1) or Article 38(3).
3.           Where only one engine type
within an engine family becomes invalid, the EU type-approval of the engine
family in question shall lose validity only in so far as the particular engine
type is concerned.
4.           When production of a
particular type of engine is definitively discontinued, the manufacturer shall
notify the approval authority that granted the EU type-approval for that
engine.
Within one month of receiving the notification
referred to in the first subparagraph, the approval authority which granted the
EU type-approval for the engine shall inform the approval authorities of the
other Member States accordingly.
5.           Without prejudice to
paragraph 4, in cases where an EU type-approval of an engine type or engine
family is due to become invalid, the manufacturer shall notify the approval
authority that granted the EU type-approval.
The approval authority that granted the EU
type-approval shall without delay communicate all relevant information to the
approval authorities of the other Member States.
The communication referred to in the second
subparagraph shall specify, in particular, the date of production and the
engine identification number of the last engine produced.
6.           Requirements referred to
in paragraphs 4 and 5 shall be deemed to be fulfilled through upload of the relevant
information to the Union central administrative platform referred to in Article
42. The communication documents may also take the form of a secure electronic
file.
CHAPTER VII
CERTIFICATE OF CONFORMITY AND
MARKINGS
Article 30
Certificate of conformity
1.           The manufacturer, in its
capacity as the holder of an engine type or engine family EU type-approval,
shall deliver a certificate of conformity to accompany each engine which is
manufactured in conformity with the approved engine type.
Such a certificate shall be delivered free of
charge together with the engine and shall accompany the machinery in which the
engine is installed. Its delivery may not be made dependent on an explicit
request or on the submission of additional information to the manufacturer.
For a period of 10 years after the production
date of the engine, the engine manufacturer shall, at the request of the engine
owner, issue a duplicate of the certificate of conformity against a payment not
exceeding the cost of issuing it. The word ‘duplicate’ shall be clearly visible
on the face of any duplicate certificate.
2.           The Commission shall set
out the template for the certificate of conformity to be used by the
manufacturer.
3.           The certificate of
conformity shall be drawn up in at least one of the official languages of the Union. Any Member State may request the certificate of conformity to be translated into its
own official language or languages.
4.           The person(s) authorised
to sign certificates of conformity shall be in the manufacturer’s organisation
and shall be duly authorised by the management to fully engage the legal
responsibility of the manufacturer with respect to the design and the
construction or with respect to the conformity of the production of the engine.
5.           The certificate of conformity
shall be completed in its entirety and shall not contain restrictions as
regards the use of the engine other than those provided for in this Regulation
or any of the delegated acts adopted pursuant to this Regulation.
6.           The certificate of conformity
shall, for engine types or engine families approved in accordance with Article 33(2),
display in its title the phrase ‘For engines type-approved in application of
Article 31 of Regulation (EU) No xx/xx of the European Parliament and of the
Council of [date] on requirements relating to emission limits and type-approval
for internal combustion engines for non-road mobile machinery (provisional
approval)’.
7.           The Commission shall be
empowered to adopt by means of implementing acts the template for the certificate
of conformity, including the technical features designed to prevent forgery. To
that end, the implementing acts shall provide the security printing features
protecting the paper used in the certificate. Those implementing acts shall be
adopted in accordance with the examination procedure referred to in Article
54(2) by [31 December 2016].
Article 31
Marking of engines
1.           The manufacturer of an
engine shall affix a marking to each unit manufactured in conformity with the
approved type.
2.           Before leaving the
production line the engines must bear the marking required by this Regulation.
3.           For an engine already
installed in machinery, the engine or the engine part bearing the statutory
mark may be replaced.
4.           The Commission shall be
empowered to adopt by means of implementing acts the template for the marking
referred to in paragraph 1, including its mandatory essential information.
Those implementing acts shall be adopted in accordance with the examination
procedure referred to in Article 54(2) by [31 December 2016].
5.           The Commission shall also
be empowered to adopt delegated acts in accordance with Article 55 concerning
the conditions and detailed technical requirements for the replacement of
engines or engine parts bearing the marking referred to in paragraph 3. Those
delegated acts shall be adopted by [31 December 2016].
CHAPTER VIII
EXEMPTIONS
Article 32
General exemptions
1.           The requirements of
Article 5(2) and (3) and of Article 17(2) shall not apply to engines for use by
the armed forces.
2.           Without prejudice to the
provisions of Article 31, a manufacturer may deliver an engine separately from
its exhaust after-treatment system to an OEM.
3.           Notwithstanding the
requirements of Article 5(3), Member States shall authorise the temporary
placing on the market, for the purposes of field testing, of engines that have
not been EU type-approved in accordance with this Regulation.
4.           Notwithstanding the
requirements of Article 17(2), Member States may authorise the EU type-approval
and placing on the market of engines that meet the ATEX emission limit values
set out in Annex V, under the condition that the engines are intended for installation
in a machine to be used in potentially explosive atmospheres, as defined in
Directive 2014/34/EU of the European Parliament and the Council[22], and certified as
meeting all of the following requirements:
(a)         
Equipment category 2 or 3;
(b)         
Machine Group I or Machine Group II;
(c)         
Temperature class T3 or higher (not exceeding
200°C).
5.           The Commission shall be
empowered to adopt delegated acts in accordance with Article 55 concerning the
detailed technical specifications and conditions for:
(a)         
a manufacturer to deliver an engine separately
from its exhaust after-treatment system to an OEM, as referred to in paragraph
2;
(b)         
the temporary placing on the market, for the
purposes of field testing, of engines that have not been EU type-approved, as
referred to in paragraph 3;
(c)         
the EU type-approval and placing on the market
of engines that meet the ATEX emission limit values set out in Annex V, as
referred to in paragraph 4.
Those delegated acts shall be adopted by [31
December 2016].
Article 33
Exemptions
for new technologies or new concepts
1.           The manufacturer may apply
for a type-approval in respect of an engine type or engine family that incorporates
new technologies or concepts which are incompatible with one or more
requirements of this Regulation.
2.           The approval authority
shall grant the type-approval referred to in paragraph 1 where all of the
following conditions are met:
(a)         
the application states the reasons why the
technologies or concepts in question make the engine type or engine family
incompatible with one or more of the requirements in this Regulation;
(b)         
the application describes the environmental
implications of the new technology and the measures taken in order to ensure at
least an equivalent level of environmental protection as that provided by the
requirements from which exemption is sought;
(c)         
test descriptions and results are presented
which prove that the condition in point (b) is met.
3.           The granting of such
type-approval exempting new technologies or new concepts shall be subject to
authorisation by the Commission. That authorisation shall be given by means of
an implementing act.
4.           The approval authority may
issue the type-approval pending the decision on authorisation by the
Commission, but it shall be provisional, shall be valid only in the territory
of that Member State, and shall only be valid in respect of a type of engine
covered by the exemption sought. The approval authority shall inform the
Commission and the other Member States that it has issued such a provisional
type-approval without delay by means of a file containing the information
referred to in paragraph 2.
The provisional nature and the limited
territorial validity shall be apparent from the heading of the type-approval
certificate and the heading of the certificate of conformity.
5.           Other approval authorities
may decide to accept the provisional approval referred to in paragraph 4 within
their territory. Where they do so, they should inform the relevant approval
authority and the Commission, in writing.
6.           Where appropriate, the
authorisation by the Commission referred to in paragraph 3 shall also specify
whether it is subject to any restrictions. In all cases, the type-approval
shall be valid for at least 36 months.
7.           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, if
such an approval has been issued, that the provisional approval will be revoked
six months after the date of the Commission’s refusal.
Notwithstanding the Commission´s decision to
refuse authorisation, engines manufactured in conformity with the provisional
approval before it ceases to be valid may be placed on the market in any Member State that accepted the provisional approval.
8.           Requirements referred to
in paragraphs 4 and 5 shall be deemed to be fulfilled through upload of the
relevant information to the Union central administrative platform referred to
in Article 42. The communication documents may also take the form of a secure
electronic file.
9.           The Commission shall be
empowered to adopt by means of implementing acts the authorisation referred to
in paragraph 3. Those implementing acts shall be adopted in accordance with the
examination procedure referred to in Article 54(2).
10.         The Commission shall be
empowered to adopt by means of implementing acts the harmonised templates for
the type-approval certificate and the certificate of conformity referred to in
paragraph 4, including its mandatory essential information. Those implementing
acts shall be adopted in accordance with the examination procedure referred to
in Article 54(2) by [31 December 2016].
Article 34
Subsequent
adaptation of delegated and implementing acts
1.           Where the Commission
authorises the granting of an exemption pursuant to Article 33, it shall
immediately take the necessary steps to adapt the delegated or implementing
acts concerned to technological developments.
Where the exemption authorised under the terms
of Article 33 relates to a matter that is defined in 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 have been amended, any restriction imposed by the Commission decision
authorising the exemption shall be lifted.
If the necessary steps to adapt the delegated
or implementing acts have not been taken, the Commission may, at the request of
the Member State which granted the approval, authorise the Member State to
extend the type-approval by means of a decision in the form of an implementing
act, adopted in accordance with the examination procedure referred to in
Article 54(2).
CHAPTER IX
PLACING ON THE MARKET
Article 35
Reporting obligations for
manufacturers
A manufacturer shall send to the approval
authority which granted the EU type-approval, within 45 days after the end of
each calendar year, and without delay after each application date when the
requirements of this Regulation change, and immediately following any
additional date that the authority may stipulate, a list containing the range
of identification numbers for each engine type produced in accordance with the
requirements of this Regulation and in conformity with the EU type-approval
since the latest reporting was made, or since the requirements of this Regulation
were first applicable.
Where this is not identified by the engine
coding system, the list referred to in the first subparagraph must specify
correlations of the identification numbers to the corresponding engine types or
engine families and to the EU type-approval numbers.
The list referred to in the first
subparagraph shall also indicate clearly any case where the manufacturer ceases
to produce an approved engine type or engine family.
The manufacturer shall retain copies of the
lists for a minimum period of 20 years after the end of validity of the EU
type-approval concerned.
Article 36
Verification measures
1.           The approval authority of
a Member State granting an EU type-approval shall take the necessary measures
in relation to that approval to verify, where appropriate in cooperation with
the approval authorities of the other Member States, the identification numbers
of those engines produced in conformity with the requirements of this
Regulation.
2.           An additional verification
of the identification numbers may take place in conjunction with the control of
conformity of production as described in Article 25.
3.           With regard to the
verification of the identification numbers, the manufacturer or the
manufacturer´s agents established in the Union shall without delay give, on
request, to the responsible approval authority all the information needed
related to the manufacturer´s purchasers together with the identification
numbers of the engines reported as produced in accordance with Article 35.
Where engines are sold to a manufacturer of machinery, further information is
not required.
4.           If, at the request of the
approval authority, the manufacturer is not able to verify the engine marking requirements
specified in Article 31, the approval granted in respect of the corresponding
engine type or family pursuant to this Regulation may be withdrawn. The
information procedure shall be carried out as set out in Article 36(4).
CHAPTER X
SAFEGUARD CLAUSES
Article 37
Engines not in conformity with the
approved type
1.           Where engines accompanied
by a certificate of conformity or bearing an approval mark do not conform to
the approved type or family, the approval authority which granted the EU
type-approval shall take the necessary measures, including the withdrawal of EU
type-approval where the action taken by the manufacturer is inadequate, to
ensure that engines in production are brought into conformity with the approved
type or family. The approval authorities of that Member State shall advise
those of the other Member States of the measures taken.
2.           For the purposes of
paragraph 1, deviations from the particulars set out in the EU type-approval
certificate or in the information package, where these deviations have not been
authorized in accordance with the provisions of Chapter VI, shall be deemed to
constitute failure to conform to the approved type or family.
3.           If an approval authority
finds that engines accompanied by a certificate of conformity or bearing an
approval mark issued in another Member State do not conform to the approved
type or family, it may ask the approval authority which granted the EU
type-approval to verify that engines in production continue to conform to the
approved type or family. On receipt of such a request, the approval authority
which granted the EU type-approval shall take the requisite action as soon as
possible, and at the latest within three months of the date of the request.
4.           The approval authorities
of the Member States shall inform each other within one month of any withdrawal
of EU type-approval and of the reasons for such measure.
5.           If the approval authority
that granted the EU type-approval disputes the non-conformity 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
Recall of engines
1.           Where a manufacturer which
has been granted an EU type-approval is obliged, in accordance with Article 20(1)
of Regulation (EC) No 765/2008, to recall engines placed on the market, whether
installed or not in machinery, due to the fact that the engines represent a
serious infringement of this Regulation with regard to the protection of the
environment, that manufacturer shall immediately inform the approval authority
that granted the EU engine type-approval.
2.           The manufacturer shall
propose to the approval authority a set of appropriate remedies to neutralise
the serious infringement referred to in paragraph 1. The approval authority
shall communicate the proposed remedies to the approval authorities of the
other Member States without delay.
The approval authorities shall ensure that the
remedies are effectively implemented in their respective Member States.
3.           If the remedies are
considered to be insufficient or not implemented quickly enough by the approval
authority concerned, it shall inform the approval authority that granted the EU
type-approval without delay.
The approval authority that granted the EU
type-approval shall then inform the manufacturer. If the manufacturer does not
then 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 type-approval. In the case of
withdrawal of the EU type-approval, the approval authority shall within one
month of such withdrawal notify the manufacturer, the approval authorities of
the other Member States and the Commission by registered letter or equivalent
electronic means.
Article 39
Notification of decisions and remedies
available
1.           All decisions taken
pursuant to this Regulation and all decisions refusing or withdrawing EU
type-approval, prohibiting or restricting the placing on the market of an
engine or requiring withdrawal of an engine from the market, shall state in
detail the reasons on which they are based.
2.           Any such decision shall be
notified to the party concerned who shall, at the same time, be informed of the
remedies available to it under the laws in force in the Member State concerned and of the time limits allowed for the exercise of such remedies.
CHAPTER XI
INTERNATIONAL REGULATIONS AND
PROVISION OF TECHNICAL INFORMATION
Article 40
Acceptance of equivalent engine
type-approvals
1.           The Union may acknowledge,
in the framework of multilateral or bilateral agreements between the Union and third countries, the equivalence between the conditions and provisions for
type-approval of engines established by this Regulation and the procedures
established by international regulations or regulations of third countries.
2.           Type-approvals granted and
approval marking in conformity with UNECE regulations or amendments thereto
which the Union has voted in favour of or to which the Union has acceded as set
out in the delegated act referred to in paragraph 4(a) shall be recognised as
equivalent to type-approvals granted and approval marking in accordance with
this Regulation.
3.           Type-approvals granted in
conformity with Union acts as set out in the delegated act referred to in
paragraph 4(b) shall be recognised as equivalent to type-approvals granted in
accordance with this Regulation.
4.           The Commission shall be
empowered to adopt delegated acts in accordance with Article 55 setting out:
(a)         
the list of UNECE regulations or amendments
thereto which the Union has voted in favour of or to which the Union has acceded which shall apply to EU type-approval of engines and engine families to
be installed in non-road mobile machinery;
(b)         
the list of Union acts granting type-approvals.
Those delegated acts shall be adopted by
[31 December 2016].
Article 41
Information intended for OEMs and
end-users
1.           A manufacturer may not
supply to OEMs or end-users any technical information related to the
particulars provided for in this Regulation which diverges from the particulars
approved by the approval authority.
2.           The manufacturer shall
make available to OEMs all relevant information and instructions that are
necessary for the correct installation of the engine into the machinery,
including a description of any special conditions or restrictions linked to the
installation or use of an engine.
3.           Manufacturers shall make
available to OEMs all relevant information and necessary instructions intended
for the end-user, notably describing any special conditions or restrictions
linked to the use of an engine.
4.           Notwithstanding the
requirements in paragraph 3, manufacturers shall make available to OEMs the
value of the carbon dioxide (CO2) emissions determined during the EU
type-approval process and instruct the OEMs to communicate this information to
the end-user of the machinery where the engine is intended to be installed.
5.           The Commission shall be
empowered to adopt delegated acts in accordance with Article 55 setting out the
details of the information and instructions referred to in paragraphs 2, 3 and
4. Those delegated acts shall be adopted by [31 December 2016].
Article 42
Union central administrative
platform and database
1.           The Commission shall set
up a Union central administrative digital platform for the exchange of data and
information related to EU type-approvals in electronic format. The platform
shall be used for the exchange of data and information between the approval
authorities, or between the approval authorities and the Commission, which
takes place in the framework of this Regulation.
2.           The Union central
administrative digital platform shall also comprise a database where any
information of relevance in respect of EU type-approvals granted in accordance
with this Regulation shall be centrally gathered and made accessible to the approval
authorities and to the Commission. The database shall connect national
databases to the Union central database, where agreed with the Member States
concerned.
3.           Subsequent to the
implementation of paragraphs 1 and 2, the Commission shall extend the Union
central administrative digital platform with modules which shall allow for:
(a)         
the exchange of data and information referred to
in this Regulation between manufacturers, technical services, approval
authorities and the Commission;
(b)         
public access to certain information and data
related to the results of type-approvals and in-service conformity tests.
4.           The Commission shall be
empowered to adopt by means of implementing acts the detailed technical
requirements and procedures necessary for setting up the Union central
administrative platform and database referred to in this Article. Those
implementing acts shall be adopted in accordance with the examination procedure
referred to in Article 54(2) by [31 December 2016].
CHAPTER XII
DESIGNATION AND NOTIFICATION OF
TECHNICAL SERVICES
Article 43
Requirements relating to technical
services
1.           Designating approval
authorities shall ensure before they designate a technical service pursuant to
Article 45 that the technical service meets the requirements laid down in
paragraphs 2 to 9 of this Article.
2.           Without prejudice to
Article 46(1), a technical service shall be established under the national law
of a Member State and have legal personality.
3.           A technical service shall
be a third-party body independent of the process of design, manufacturing,
supply or maintenance of the engine it assesses.
A body belonging to a business association or
professional federation representing undertakings involved in the design,
manufacturing, provision, assembly, use or maintenance of engines which it
assesses, tests or inspects may, on condition that its independence and the
absence of any conflict of interest are demonstrated, be considered as
fulfilling the requirements of the first subparagraph.
4.           Neither the technical
service, nor its top-level management nor the personnel responsible for
carrying out the categories of activities for which they are designated in
accordance with Article 45(1) shall be the designer, manufacturer, supplier or
maintainer of the engines which they assess, nor represent parties engaged in
those activities. This shall not preclude the use of assessed engines referred
to in paragraph 3 of this Article that are necessary for the operation of the
technical service or the use of such engines for personal purposes.
A technical service shall ensure that the
activities of its subsidiaries or subcontractors do not affect the
confidentiality, objectivity or impartiality of the categories of activities
for which it has been designated.
5.           A technical service and
its personnel shall carry out the categories of activities for which it has
been designated with the highest degree of professional integrity and the
requisite technical competence in the specific field and shall be free from all
pressures and inducements, particularly financial, which might influence its
judgment or the results of its assessment activities, especially such pressures
or inducements emanating from persons or groups of persons with an interest in
the results of those activities.
6.           A technical service shall
demonstrate that it is capable of carrying out all the categories of activities
for which it has been designated in accordance with Article 45(1), by
demonstrating to the satisfaction of its designating approval authority that it
has:
(a)         
personnel with appropriate skills and specific
technical knowledge and vocational training as well as sufficient and
appropriate experience to perform the task;
(b)         
descriptions of the procedures relevant to the
categories of activities for which it is seeking to be designated, so ensuring
the transparency and reproducibility of those procedures;
(c)         
procedures for the performance of the categories
of activities for which it is seeking to be designated, which take due account
of the degree of complexity of the technology of the engine in question, and of
whether the engine is manufactured in a mass or serial production process; and
(d)        
the means necessary to perform in an appropriate
manner the tasks connected with the categories of activities for which it is
seeking to be designated and that it has access to all the necessary equipment
or facilities.
In addition, it shall demonstrate to the
designating approval authority its compliance with the standards laid down in
the delegated acts adopted pursuant to Article 46 which are relevant to the
categories of activities for which it is designated.
7.           The impartiality of the
technical services, their top-level management and the assessment personnel
shall be guaranteed. They shall not engage in any activity that might conflict
with their independence of judgment or integrity in relation to the categories
of activities for which they are designated.
8.           Technical services shall
take out liability insurance related to their activities unless liability is
assumed by the Member State in accordance with national law, or the Member State itself is directly responsible for the conformity assessment.
9.           The personnel of a
technical service shall observe professional secrecy with regard to all
information obtained in carrying out their tasks under this Regulation or any
provision of national law giving effect to it, except in relation to the
designating approval authority or where required by Union or national law.
Proprietary rights shall be protected.
Article 44
Subsidiaries of and subcontracting
by technical services
1.           Technical services may
subcontract some of their activities for which they have been designated in
accordance with Article 45(1) or have those activities carried out by a
subsidiary only with the agreement of their designating approval authority.
2.           Where a technical service
subcontracts specific tasks connected with the categories of activities for
which it has been designated or has recourse to a subsidiary, it shall ensure
that the subcontractor or the subsidiary meet the requirements set out in
Article 43 and shall inform the designating approval authority accordingly.
3.           Technical services shall
take full responsibility for the tasks performed by any of their subcontractors
or subsidiaries, wherever these are established.
4.           Technical services shall
keep at the disposal of the designating approval authority the relevant
documents concerning the assessment of the qualifications of the subcontractor
or the subsidiary and the tasks performed by them.
Article 45
Designation of technical services
1.           Technical services shall
be designated for one or more of the following categories of activities,
depending on their field of competence:
(a)         
category A: technical services which carry out
in their own facilities the tests referred to in this Regulation;
(b)         
category B: technical services which supervise
the tests referred to in this Regulation, where such tests are performed in the
manufacturer’s facilities or in the facilities of a third party;
(c)         
category C: technical services which assess and
monitor on a regular basis the manufacturer’s procedures for controlling
conformity of production;
(d)        
category D: technical services which supervise
or perform tests or inspections for the surveillance of conformity of
production.
2.           An approval authority may
be designated as a technical service for one or more of the activities referred
to in paragraph 1.
3.           Technical services of a
third country, other than those designated in accordance with Article 45, may
be notified for the purposes of Article 49, but only if such an acceptance of
technical services is provided for by a bilateral agreement between the Union
and the third country concerned. This shall not prevent a technical service
established under the national law of a Member State in accordance with Article
43(2) from establishing subsidiaries in third countries, provided that the
subsidiaries are directly managed and controlled by the designated technical
service.
Article 46
Accredited in-house technical
services of the manufacturer
1.           An accredited in-house
technical service of a manufacturer may be designated only for category A
activities with regard to technical requirements for which self-testing is
allowed by a delegated act adopted pursuant to this Regulation. That technical
service shall constitute a separate and distinct part of the undertaking and
shall not be involved in the design, manufacturing, supply or maintenance of
the engines it assesses.
2.           An accredited in-house
technical service shall meet the following requirements:
(a)         
in addition to being designated by the approval
authority of a Member State it shall be accredited by a national accreditation
body as defined in point 11 of Article 2 of Regulation (EC) No 765/2008 and in
accordance with the standards and procedure referred to in Article 47 of this
Regulation;
(b)         
the accredited in-house technical service and
its personnel shall be organisationally identifiable and have reporting methods
within the undertaking of which they form part which ensure their impartiality
and demonstrate it to the relevant national accreditation body;
(c)         
neither the accredited in-house technical
service nor its personnel shall engage in any activity that might conflict with
their independence of judgment or integrity in relation to the categories of
activities for which they have been designated;
(d)        
the accredited in-house technical service shall
supply its services exclusively to the undertaking of which it forms part.
3.           An accredited in-house
technical service need not be notified to the Commission for the purposes of Article
49, but information concerning its accreditation shall be given by the
undertaking of which it forms part or by the national accreditation body to the
designating approval authority at the request of that authority.
4.           The Commission shall be
empowered to adopt delegated acts in accordance with Article 55 laying down the
technical requirements for which self-testing is allowed, as referred to in paragraph
1. Those delegated acts shall be adopted by [31 December 2016].
Article 47
Procedures for performance
standards and assessment of technical services
In order to ensure that technical services
meet the same high level of performance standards in all Member States, the
Commission shall be empowered to adopt delegated acts in accordance with
Article 55 concerning the standards with which the technical services have to
comply and the procedure for their assessment in accordance with Article 48 and
their accreditation in accordance with Article 46.
Article 48
Assessment of the skills of the
technical services
1.           The designating approval
authority shall draw up an assessment report demonstrating that the candidate
technical service has been assessed for its compliance with the requirements of
this Regulation and the delegated acts adopted pursuant to this Regulation.
That report may include a certificate of accreditation issued by an
accreditation body.
2.           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 adopted pursuant to Article
55. The assessment report shall be reviewed at least every three years.
3.           The assessment report
shall be communicated to the Commission upon request. In such cases, where the
assessment is not based on an accreditation certificate issued by a national
accreditation body attesting that the technical service fulfils the
requirements of this Regulation, the designating approval authority shall
provide the Commission with documentary evidence which attests the technical
service’s competence and the arrangements in place to ensure that the technical
service is monitored regularly by the designating approval authority and
satisfies the requirements of this Regulation and the delegated acts adopted
pursuant to this Regulation.
4.           An approval authority that
intends to be designated as a technical service in accordance with Article 45(2)
shall document compliance through an assessment conducted by auditors
independent of the activity being assessed. Such auditors may be from the same
organisation provided that they are managed separately from personnel
undertaking the assessed activity.
5.           An accredited in-house
technical service shall comply with the relevant provisions of this Article.
Article 49
Procedures for notification
1.           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
technical service that they have designated, as well as any subsequent modifications
to those designations.
2.           A technical service may
conduct the activities referred to in Article 45(1) on behalf of the
designating approval authority responsible for the EU type-approval only if it
has been notified beforehand to the Commission in accordance with paragraph 1
of this Article.
3.           The same technical service
may be designated by several designating approval authorities and notified by
the Member States of these designating approval authorities irrespective of the
category or categories of activities it will conduct in accordance with Article
45(1).
4.           The Commission shall be
notified of any subsequent relevant changes to the designation.
5.           Where a specific
organisation or competent body carrying out an activity not included in those
referred to in Article 45(1), needs to be designated in application of a
delegated act, the notification shall be made in accordance with this Article.
6.           The Commission shall
publish on its website a list and details of the technical services notified in
accordance with this Article.
Article 50
Changes to designations
1.           Where a designating
approval authority has ascertained or has been informed that a technical
service designated by it no longer meets the requirements laid down in this
Regulation, or that it is failing to fulfil its obligations, the designating
approval authority shall restrict, suspend or withdraw the designation as
appropriate, depending on the seriousness of the failure to meet those
requirements or fulfil those obligations. The Member State that has notified
this technical service shall immediately inform the Commission accordingly. The
Commission shall modify the published information referred to in Article 49(6)
accordingly.
2.           In the event of
restriction, suspension or withdrawal of the designation, or where the
technical service has ceased its activity, the designating approval authority
shall take appropriate steps to ensure that the files of that technical service
are either processed by another technical service or kept available for the
designating approval authority or for the market surveillance authorities at
their request.
Article 51
Challenge to the competence of
technical services
1.           The Commission shall
investigate all cases where it has doubts, or doubt is brought to its
attention, regarding the competence of a technical service or the continued
fulfilment by a technical service of the requirements and responsibilities to
which it is subject.
2.           The Member State of the
designating approval authority shall provide the Commission, on request, with
all information relating to the basis for the designation or the maintenance of
the designation of the technical service concerned.
3.           The Commission shall
ensure that all sensitive information obtained in the course of its
investigations is treated confidentially.
4.           Where the Commission
ascertains that a technical service does not meet or no longer meets the
requirements for its designation, it shall inform the Member State of the
designating approval authority accordingly, with a view to establishing, in
cooperation with that Member State, the corrective measures necessary, and
shall request that Member State to take those corrective measures, including
the withdrawal of the designation if necessary.
Article 52
Operational obligations of
technical services
1.           Technical services shall
carry out the categories of activities for which they have been designated on
behalf of the designating approval authority and in accordance with the
assessment and test procedures provided for in this Regulation and its delegated
acts.
Technical services shall supervise or shall
themselves carry out the tests required for approval or inspections as set out
in this Regulation or in one of its delegated acts, except where alternative
procedures are permitted. The technical services shall not conduct tests,
assessments or inspections for which they have not been duly designated by
their approval authority.
2.           Technical services shall
at all times:
(a)         
allow their designating approval authority to
witness the technical service during the conformity assessment as appropriate;
and
(b)         
without prejudice to Article 43(9) and Article 53,
provide their designating approval authority with such information on their
categories of activities falling under the scope of this Regulation as may be
requested.
3.           Where a technical service
finds that requirements laid down in this Regulation have not been met by a
manufacturer, it shall report this to the designating approval authority with a
view to the designating approval authority requiring the manufacturer to take
appropriate corrective measures and subsequently not issuing an EU
type-approval certificate unless the appropriate corrective measures have been
taken to the satisfaction of the approval authority.
4.           Where, in the course of
monitoring conformity of production following the issue of an EU type-approval
certificate, a technical service acting on behalf of the designating approval
authority finds that an engine no longer complies with this Regulation, it
shall report this to the designating approval authority. The approval authority
shall take the appropriate measures as provided for in Article 25.
Article 53
Information obligations of
technical services
1.           Technical services shall
inform their designating approval authority of the following:
(a)         
any non-conformity encountered which might
require a refusal, restriction, suspension or withdrawal of an EU type-approval
certificate;
(b)         
any circumstances affecting the scope of or
conditions for their designation;
(c)         
any request for information which they have received
from market surveillance authorities regarding their activities.
2.           On request from their
designating approval authority, technical services shall provide information on
the activities within the scope of their designation and on any other activity
performed, including cross-border activities and subcontracting.
CHAPTER XIII
IMPLEMENTING ACTS AND DELEGATED ACTS
Article 54
Committee procedure
1.           The Commission shall be
assisted by the ‘Technical Committee – Motor Vehicles’ (TCMV) established in
Article 40(1) of Directive 2007/46/EC of the European Parliament and of the
Council. That committee is a committee within the meaning of Regulation (EU) No
182/2011.
2.           Where reference is made to
this paragraph, Article 5 of Regulation (EU) No 182/2011 shall apply.
Article 55
Exercise of the delegation
1.           The power to adopt the
delegated acts is conferred on the Commission subject to the conditions laid
down in this Article.
2.           The power to adopt
delegated acts referred to in Article 3, Article 17(5), Article 18(2), Article 23(11),
Article 24(4), Article 25(6), Article 31(5), Article 32(5), Article 40(4), Article
41(5), Article 46(4) and Article 47 shall be conferred on the Commission for a
period of five years from [insert date: entry into force].
3.           The delegation of power
referred to in Article 3, Article 17(5), Article 18(2), Article 23(11), Article
24(4), Article 25(6), Article 31(5), Article 32(5), Article 40(4), Article 41(5),
Article 46(4) and Article 47 may be revoked at any time by the European Parliament
or by the Council. A decision to revoke shall put an end to the delegation of
the power specified in that decision. It shall take effect the day following
the publication of the decision in the Official Journal of the European Union
or at a later date specified therein. It shall not affect the validity of any
delegated acts already in force.
4.           As soon as it adopts a
delegated act, the Commission shall notify it simultaneously to the European
Parliament and to the Council.
5.           A delegated act adopted
pursuant to Article 3, Article 17(5), Article 18(2), Article 23(11), Article 24(4),
Article 25(6), Article 31(5), Article 32(5), Article 40(4), Article 41(5), Article
46(4) and Article 47 shall enter into force only if no objection has been
expressed either by the European Parliament or the Council within a period of
two months of notification of that act to the European Parliament and the
Council or if, before the expiry of that period, the European Parliament and
the Council have both informed the Commission that they will not object. That
period shall be extended by two months at the initiative of the European
Parliament or of the Council.
CHAPTER XIV
FINAL PROVISIONS
Article 56
Penalties
1.           Member States shall
provide for penalties for infringement of this Regulation by economic operators
or OEMs. They shall take all measures necessary to ensure that the penalties
are implemented. The penalties provided for shall be effective, proportionate
and dissuasive. Member States shall notify those provisions to the Commission
by [insert date: 2 years after entry into force] and shall notify the
Commission 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, notably during
approval procedures, procedures leading to a recall or procedures related to
exemptions;
(b)         
falsifying test results for EU type-approval or
in-service conformity;
(c)         
withholding data or technical specifications
which could lead to recall, refusal or withdrawal of EU type-approval;
(d)        
use of defeat strategies;
(e)         
refusal to provide access to information;
(f)          
placing on the market engines subject to
approval without such approval or falsifying documents or markings with that
intention;
(g)         
placing on the market transition engines and
machinery in which these engines are installed in violation of the exemption
provisions;
(h)         
being in violation of the engine restrictions of
use set out in Article 4;
(i)           
modifying an engine so that the engine is no
longer in conformity with the specifications of its type-approval;
(j)           
installing an engine in machinery for use other
than the exclusive use provided for in Article 4;
(k)         
placing on the market an engine under Article 32(4)
for use in an application other than that foreseen in that Article.
Article 57
Transitional provisions
1.           Without prejudice to the
provisions in Chapters II and III, this Regulation shall not invalidate, before
the dates for placing on the market of engines referred to in Annex III, any EU
type-approval.
2.           Approval authorities may
continue to grant type-approvals in accordance with the relevant legislation
applicable on the date of entry into force of this Regulation until the
mandatory dates for the EU type-approval of engines referred to in Annex III.
3.           By way of derogation from
this Regulation, engines which have already received an EU type-approval
pursuant to the relevant legislation applicable on the date of entry into force
of this Regulation, or which meet the requirements set out by the Central
Commission for the Navigation of the Rhine (CCNR) and adopted as CCNR Stage II,
in the framework of the Mannheim Convention for the navigation of the Rhine,
may continue to be placed on the market until the dates for placing on the
market of engines referred to in Annex III.
In such a case, national authorities shall not
prohibit, restrict or impede the placing on the market of engines complying
with the approved type.
4.           Engines which were not
subject to type-approval at Union level on the date of entry into force of this
Regulation may continue to be placed on the market on the basis of the national
rules in force, if any, until the dates for placing on the market of engines
referred to in Annex III.
5.           Without prejudice to
Articles 5(3) and 17(2), transition engines and, where applicable, the
machinery in which those transition engines are installed may continue to be
placed on the market during the transition period on condition that the machine
in which the transition engine is installed has a production date prior to 1 year
after the start of the transition period.
For engines of the category NRE, Member States
shall authorise an extension of the transition period and the 12-months period
referred to in the first sub-paragraph by an additional 12 months for OEM's
with a total yearly production of fewer than 50 units of non-road mobile
machinery equipped with combustion engines. For the purposes of the calculation
of the total yearly production referred to in this paragraph, all OEM's under
the control of the same natural or legal person shall be considered to be a
single OEM.
6.           Subject to the provisions
set out in paragraph 5, transition engines conforming to engine types or engine
families whose EU type-approval is no longer valid pursuant to Article 29(2) (a)
may be placed on the market, provided these transition engines were:
(a)         
 covered by a valid EU type-approval at the time
of their production, and had not been placed on the market before that EU
type-approval expired, or
(b)         
not regulated at Union level on the date of
entry into force of this Regulation.
7.           Paragraph 6 shall only
apply for a period of:
(a)         
18 months from the date for placing on the
market of engines set out in Annex III, in the case set out in the first
subparagraph of paragraph 5;
(b)         
30 months from the date for placing on the
market of engines set out in Annex III, in the case set out in the second
subparagraph of paragraph 5.
8.           Manufacturers shall ensure
that transition engines bear a marking indicating the engine production date.
This information may be affixed to or marked on the engine's statutory plate.
Article 58
Report
1.           By 31 December 2021,
Member States shall inform the Commission of the application of the EU
type-approval procedures laid down in this Regulation.
2.           On the basis of the
information supplied under paragraph 1, the Commission shall present a report
to the European Parliament and the Council on the application of this
Regulation by 31 December 2022.
Article 59
Review
1.           By 31 December 2020, the
Commission shall submit a report to the European Parliament and to the Council
regarding:
(a)         
the assessment of further pollutant emission
reduction potential, on the basis of available technologies and cost/benefit
analysis;
(b)         
the identification of potentially relevant
pollutant types that do not currently fall within the scope of this Regulation.
2.           By 31 December 2025, the
Commission shall submit a report to the European Parliament and to the Council
regarding:
(a)         
the use of the exemption clauses provided for in
Article 32(3) and (4);
(b)         
the monitoring of results of the emission tests
set out in Article 18 and the conclusions thereof.
3.           The reports referred to in
paragraphs 1 and 2 shall be based on a consultation of the relevant
stakeholders and shall take into account existing related European and
international standards. It shall be accompanied, where appropriate, by
legislative proposals.
Article 60
Repeal
Without prejudice to paragraphs 1 to 4 of Article
57, Directive 97/68/EC is repealed with effect from 1 January 2017.
Article 61
Entry into force and application
1.           This Regulation shall
enter into force on the twentieth day following that of its publication in the Official
Journal of the European Union.
2.           It shall apply from 1
January 2017.
From the date referred to in paragraph 1,
national authorities shall not refuse a manufacturer's request to grant EU
type-approval for a new type of engine or engine family or prohibit their placing
on the market where that engine or engine family complies with the requirements
set out in Chapters II, III, IV and VIII.
This Regulation shall be binding
in its entirety and directly applicable in all Member States.
Done at Brussels,
 For the European Parliament                       For
the Council
The President                                                 The
President
[1]               Decision No 1600/2002/EC of 22 July 2002
[2]               COM(2005)446 of 21 September 2005.
[3]               COM(2011)144 of 28 March 2011
[4]               COM(2012)582 of 10 October 2012
[5]               http://ec.europa.eu/enterprise/sectors/automotive/documents/consultations/2012-emissions-nrmm/index_en.htm
[6]               http://ec.europa.eu/enterprise/sectors/mechanical/non-road-mobile-machinery/publications-studies/index_en.htm
[7]               http://ec.europa.eu/transport/modes/inland/studies/inland_waterways_en.htm
[8]               T-Systems 2006, Database for the Exchange of Type
Approval Documentation (DETA) Feasibility Study.
[9]               OJ L …
[10]             OJ L …
[11]             Directive 97/68/EC of the European Parliament and of
the Council of 16 December 1997 on the approximation of the laws of the Member
States relating to measures against the emission of gaseous and particulate
pollutants from internal combustion engines to be installed in non-road mobile
machinery (OJ L 59, 27.2.1998, p. 1).
[12]             Regulation (EU) No 167/2013 of the European Parliament
and of the Council of 5 February 2013 on the approval and market surveillance
of agricultural and forestry vehicles (OJ L 60, 2.3.2013, p. 1).
[13]             Decision No 1386/2013/EU of the European Parliament and
of the Council of 20 November 2013 on a General Union Environment Action
Programme to 2020 ‘Living well, within the limits of our planet’ (OJ L 354,
28.12.2013, p. 171).
[14]             Decision No 1600/2002/EC; Directive 2008/50/EC of the
European Parliament and of the Council of 21 May 2008 on ambient air quality
and cleaner air for Europe (OJ L 152, 11.6.2008, p. 1).
[15]             Regulation (EC) No 765/2008 of the European Parliament
and of the Council of 9 July 2008 setting out the requirements for
accreditation and market surveillance relating to the marketing of products (OJ
L 218, 13.8.2008, p. 30).
[16]             Regulation (EU) No 182/2011 of the European Parliament
and of the Council of 16 February 2011 laying down the rules and general
principles concerning mechanisms for control by Member States of the
Commission’s exercise of implementing powers (OJ L 55, 28.2.2011, p. 13).
[17]             Directive 2007/46/EC of the European Parliament and of
the Council of 5 September 2007 establishing a framework for the approval of
motor vehicles and their trailers, and of the systems, components and separate
technical units intended for such vehicles (OJ L 263, 9.10.2007, p.1).
[18]             Regulation (EU) No 167/2013 of the European Parliament
and of the Council of 5 February 2013 on the approval and market surveillance
of agricultural and forestry vehicles (OJ L 60, 2.03.2013, p. 1).
[19]             Directive 2013/53/EU of the European Parliament and of
the Council of 20 November 2013 on recreational craft and personal watercraft
and repealing Directive 94/25/EC (OJ L 354, 28.12.2013, p. 90).
[20]             298K,
total ambient pressure 101,3 kPa.
[21]             Regulation (EC) No 765/2008 of the European Parliament
and of the Council of 9 July 2008 setting out the requirements for
accreditation and market surveillance relating to the marketing of products and
repealing Regulation (EEC) No 339/93 (OJ L 218, 13.08.2008, p. 30).
[22]             Directive 2014/34/EU of the European Parliament and of
the Council of 26 February 2014 on the harmonisation of the laws of the Member
States relating to equipment and protective systems intended for use in
potentially explosive atmospheres (recast) (OJ L 96, 29.3.2014, p. 309).
ANNEXES
ANNEX
I
Definition
of engine sub-categories referred to in Article 4
Table
I-1: Sub-categories of engine category NRE defined in Article 4 point (1)
 Category || Ignition type || Speed mode || Power range (kW) || Sub-category || Reference power 
 NRE || CI || variable || 0<P<8 || NRE-v-1 || Maximum net power 
 CI || 8≤P<19 || NRE-v-2 
 CI || 19≤P<37 || NRE-v-3 
 CI || 37≤P<56 || NRE-v-4 
 all || 56≤P<130 || NRE-v-5 
 130≤P≤560 || NRE-v-6 
 P>560 || NRE-v-7 
 CI || constant || 0<P<8 || NRE-c-1 || Rated net power 
 CI || 8≤P<19 || NRE-c-2 
 CI || 19≤P<37 || NRE-c-3 
 CI || 37≤P<56 || NRE-c-4 
 all || 56≤P<130 || NRE-c-5 
 130≤P≤560 || NRE-c-6 
 P>560 || NRE-c-7 
Table
I-2: Sub-categories of engine category NRG defined in Article 4 point (2) 
 Category || Ignition type || Speed mode || Power range (kW) || Sub-category || Reference power 
 NRG || all || variable || P>560 || NRG-v-1 || Maximum net power 
 constant || P>560 || NRG-c-1 || Rated net power 
Table I-3: Sub-categories of engine
category NRSh defined in Article 4 point (3)
 Category || Ignition type || Speed mode || Power range (kW) || Swept volume (cm3) || Sub-category || Reference power 
 NRSh || SI || variable or constant || 0<P<19 || SV<50 || NRSh-v-1a || Maximum net power 
 SV≥50 || NRSh-v-1b 
Table I-4: Sub-categories of engine
category NRS defined in Article 4 point (4)
 Category || Ignition type || Speed mode || Power range (kW) || Swept volume (cm3) || Sub-category || Reference power 
 NRS || SI || variable, rated; or constant || 0<P<19 || 80≤SV<225 || NRS-vr-1a || Maximum net power 
 SV≥225 || NRS-vr-1b 
 variable, intermediate || 80≤SV<225 || NRS-vi-1a 
 SV≥225 || NRS-vi-1b 
 variable or constant || 19≤P<30 || SV≤1000 || NRS-v-2a || Maximum net power 
 SV>1000 || NRS-v-2b 
 30≤P<56 || any || NRS-v-3 || Maximum net power 
For engines
<19kW with SV<80cm3 in machinery other than hand-held machinery, engines
of the category NRSh shall be used.
Table I-5: Sub-categories of engine
category IWP defined in Article 4 point (5)
 Category || Ignition type || Speed mode || Power range (kW) || Sub-category || Reference power 
 IWP || all || variable || 37≤P<75 || IWP-v-1 || Maximum net power 
 75≤P<130 || IWP-v-2 
 130≤P<300 || IWP-v-3 
 300≤P<1000 || IWP-v-4 
 P≥1000 || IWP-v-5 
 constant || 37≤P<75 || IWP-c-1 || Rated net power 
 75≤P<130 || IWP-c-2 
 130≤P<300 || IWP-c-3 
 300≤P<1000 || IWP-c-4 
 P≥1000 || IWP-c-5 
Table I-6: Sub-categories of engine
category IWA defined in Article 4 point (6)
 Category || Ignition type || Speed mode || Power range (kW) || Sub-category || Reference power 
 IWA || all || variable || 560≤P<1000 || IWA-v-1 || Maximum net power 
 P≥1000 || IWA-v-2 
 constant || 560≤P<1000 || IWA-c-1 || Rated net power 
 P≥1000 || IWA-c-2 
Table I-7: Sub-categories of engine
category RLL defined in Article 4 point (7)
 Category || Ignition type || Speed mode || Power range (kW) || Sub-category || Reference power 
 RLL || all || variable || P>0 || RLL-v-1 || Maximum net power 
 constant || P>0 || RLL-c-1 || Rated net power 
Table I-8: Sub-categories of engine
category RLR defined in Article 4 point (8)
 Category || Ignition type || Speed mode || Power range (kW) || Sub-category || Reference power 
 RLR || all || variable || P>0 || RLR-v-1 || Maximum net power 
 constant || P>0 || RLR-c-1 || Rated net power 
Table I-9: Sub-categories of engine
category SMB defined in Article 4 point (9)
 Category || Ignition type || Speed mode || Power range (kW) || Sub-category || Reference power 
 SMB || SI || variable or constant || P>0 || SMB-v-1 || Maximum net power 
Table I-10: Sub-categories of engine
category ATS defined in Article 4 point (10)
 Category || Ignition type || Speed mode || Power range (kW) || Sub-category || Reference power 
 ATS || SI || variable or constant || P>0 || ATS-v-1 || Maximum net power 
ANNEX
II
Exhaust
emission limits referred to in Article 17(2)
Table II-1: Stage V emission limits for engine
category NRE defined in Article 4 point (1) 
 Emission stage || Engine sub-category || Power range || Engine ignition type || CO || HC || NOx || PM mass || PN || A 
   ||   || kW ||   || g/kWh || g/kWh || g/kWh || g/kWh || #/kWh ||   
 Stage V || NRE-v-1 NRE-c-1 || 0<P<8 || CI || 8,00 || (HC+NOx≤7,50) || 0,401) || - || 1,10 
 Stage V || NRE-v-2 NRE-c-2 || 8≤P<19 || CI || 6,60 || (HC+NOx≤7,50) || 0,40 || - || 1,10 
 Stage V || NRE-v-3 NRE-c-3 || 19≤P<37 || CI || 5,00 || (HC+NOx≤4,70) || 0,015 || 1x1012 || 1,10 
 Stage V || NRE-v-4 NRE-c-4 || 37≤P<56 || CI || 5,00 || (HC+NOx≤4,70) || 0,015 || 1x1012 || 1,10 
 Stage V || NRE-v-5 NRE-c-5 || 56≤P<130 || all || 5,00 || 0,19 || 0,40 || 0,015 || 1x1012 || 1,10 
 Stage V || NRE-v-6 NRE-c-6 || 130≤P≤560 || all || 3,50 || 0,19 || 0,40 || 0,015 || 1x1012 || 1,10 
 Stage V || NRE-v-7 NRE-c-7 || P>560 || all || 3,50 || 0,19 || 3,50 || 0,045 || - || 6,00 
1) 0,6
for hand-startable, air-cooled direct injection engines
Table II-2: Stage V emission limits for engine
category NRG defined in Article 4 point (2)
 Emission stage || Engine sub-category || Power range || Engine ignition type || CO || HC || NOx || PM mass || PN || A 
   ||   || kW ||   || g/kWh || g/kWh || g/kWh || g/kWh || #/kWh ||   
 Stage V || NRG-v-1 NRG-c-1 || P>560 || all || 3,50 || 0,19 || 0,67 || 0,035 || - || 6,00 
Table II-3: Stage V emission limits for engine
category NRSh defined in Article 4 point (3)
 Emission stage || Engine sub-category || Power range || Engine ignition type || CO || HC + NOx 
   ||   || kW ||   || g/kWh || g/kWh 
 Stage V || NRSh-v-1a || 0<P<19 || SI || 805 || 50 
 Stage V || NRSh-v-1b || 603 || 72 
Table II-4: Stage V emission limits for engine
category NRS defined in Article 4 point (4)
 Emission stage || Engine sub-category || Power range || Engine ignition type || CO || HC + NOx 
   ||   || kW ||   || g/kWh || g/kWh 
 Stage V || NRS-vr-1a NRS-vi-1a || 0<P<19 || SI || 610 || 10 
 Stage V || NRS-vr-1b NRS-vi-1b || 610 || 8 
 Stage V || NRS-v-2a || 19≤P≤30 || 610 || 8 
 Stage V || NRS-v-2b NRS-v-3 || 19≤P<56 || 4,40* || 2,70* 
*Optionally,
as alternative, any combination of values satisfying the equation (HC+NOX)
× CO0.784 ≤ 8,57 as well as the following
conditions: CO ≤ 20,6 g/kWh and (HC+NOX) ≤ 2,7 g/kWh
Table II-5: Stage V emission limits for engine
category IWP defined in Article 4 point (5)
 Emission stage || Engine sub-category || Power range || Engine ignition type || CO || HC || NOx || PM mass || PN || A 
   ||   || kW ||   || g/kWh || g/kWh || g/kWh || g/kWh || #/kWh ||   
 Stage V || IWP-v-1 IWP-c-1 || 37≤P<75 || all || 5,00 || (HC+NOx≤4,70) || 0,30 || - || 6,00 
 Stage V || IWP-v-2 IWP-c-2 || 75≤P<130 || all || 5,00 || (HC+NOx≤5,40) || 0,14 || - || 6,00 
 Stage V || IWP-v-3 IWP-c-3 || 130≤P<300 || all || 3,50 || 1,00 || 2,10 || 0,11 || - || 6,00 
 Stage V || IWP-v-4 IWP-c-4 || 300≤P<1000 || all || 3,50 || 0,19 || 1,20 || 0,02 || 1x1012 || 6,00 
 Stage V || IWP-v-5 IWP-c-5 || P>1000 || all || 3,50 || 0,19 || 0,40 || 0,01 || 1x1012 || 6,00 
Table II-6: Stage V emission limits for engine
category IWA defined in Article 4 point (6)
 Emission stage || Engine sub-category || Power range || Engine ignition type || CO || HC || NOx || PM mass || PN || A 
   ||   || kW ||   || g/kWh || g/kWh || g/kWh || g/kWh || #/kWh ||   
 Stage V || IWA-v-1 IWA-c-1 || 560≤P<1000 || all || 3,50 || 0,19 || 1,20 || 0,02 || 1x1012 || 6,00 
 Stage V || IWA-v-2 IWA-c-2 || P≥1000 || all || 3,50 || 0,19 || 0,40 || 0,01 || 1x1012 || 6,00 
Table II-7: Stage V emission limits for engine
category RLL defined in Article 4 point (7)
 Emission stage || Engine sub-category || Power range || Engine ignition type || CO || HC || NOx || PM mass || PN || A 
   ||   || kW ||   || g/kWh || g/kWh || g/kWh || g/kWh || #/kWh ||   
 Stage V || RLL-c-1 RLL-v-1 || P>0 || all || 3,50 || (HC+NOx≤4,00) || 0,025 || - || 6,00 
Table II-8: Stage V emission limits for engine
category RLR defined in Article 4 point (8)
 Emission stage || Engine sub-category || Power range || Engine ignition type || CO || HC || NOx || PM mass || PN || A 
   ||   || kW ||   || g/kWh || g/kWh || g/kWh || g/kWh || #/kWh ||   
 Stage V || RLR-c-1 RLR-v-1 || P>0 || all || 3,50 || 0,19 || 2,00 || 0,015 || 1x1012 || 6,00 
Table II-9: Stage V emission limits for engine
category SMB defined in Article 4 point (9)
 Emission stage || Engine sub-category || Power range || Engine ignition type || CO || NOx || HC 
   ||   || kW ||   || g/kWh || g/kWh || g/kWh 
 Stage V || SMB-v-1 || P>0 || SI || 275 || - || 75 
Table II-10: Stage V emission limits for engine
category ATS defined in Article 4 point (10)
 Emission stage || Engine sub-category || Power range || Engine ignition type || CO || HC + NOx 
   ||   || kW ||   || g/kWh || g/kWh 
 Stage V || ATS-v-1 || P>0 || SI || 400 || 8 
Specific
provisions on hydro-carbon (HC) limits
for fully and partially gaseous fuelled engines
1. For the sub-categories where an A factor
is defined, the HC limit for fully and partially gaseous fuelled engines
indicated in the table is replaced by the one calculated with the following
formula:
HC = 0,19 + (1,5*A*GER)
where GER is the average gas energy ratio
over the appropriate cycle. Where both a steady-state and transient test cycle applies,
the GER shall be determined from the hot-start transient test cycle. Where more
than one steady-state test cycle applies, the average gas energy ratio shall be
determined for each cycle individually.
If the calculated limit for HC exceeds the
value of 0,19 + A the limit for HC shall be set to 0,19 + A.
Figure 1. Schematic of HC emission limit as
function of average gas energy ratio (GER)
2. For sub-categories with a combined HC
and NOx limit, the combined limit value for HC and NOx shall be reduced by 0,19
g/kWh and apply for NOx only.
3. For non-gaseous fuelled engines the
formula does not apply.
ANNEX
III
Timetable
for the application of this Regulation
in respect of EU type-approvals and placing on the market
Table III-1: Dates of application of this
Regulation for engine category NRE
 Category || Ignition type || Power range (kW) || Sub-category || Mandatory date of application of this Regulation for 
 EU type- approval of engines || Placing on the market of engines 
 NRE || CI || 0<P<8 || NRE-v-1 NRE-c-1 || 1 January 2018 || 1 January 2019 
 CI || 8≤P<19 || NRE-v-2 NRE-c-2 
 CI || 19≤P<37 || NRE-v-3 NRE-c-3 || 1 January 2018 || 1 January 2019 
 37≤P<56 || NRE-v-4 NRE-c-4 
 all || 56≤P<130 || NRE-v-5 NRE-c-5 || 1 January 2019 || 1 January 2020 
 130≤P≤560 || NRE-v-6 NRE-c-6 || 1 January 2018 || 1 January 2019 
 P>560 || NRE-v-7 NRE-c-7 || 1 January 2018 || 1 January 2019 
Table
III-2: Dates of application of this Regulation for engine category NRG
 Category || Ignition type || Power range (kW) || Sub-category || Mandatory date of application of this Regulation for 
   ||   ||   ||   || EU type- approval of engines || Placing on the market of engines 
 NRG || all || P>560 || NRG-v-1 NRG-c-1 || 1 January 2018 || 1 January 2019 
Table III-3: Dates of application of this
Regulation for engine category NRSh
 Category || Ignition type || Power range (kW) || Sub-category || Mandatory date of application of this Regulation for 
   ||   ||   ||   || EU type- approval of engines || Placing on the market of engines 
 NRSh || SI || 0<P<19 || NRSh-v-1a NRSh-v-1b || 1 January 2018 || 1 January 2019 
Table
III-4: Dates of application of this Regulation for engine category NRS
 Category || Ignition type || Power range (kW) || Sub-category || Mandatory date of application of this Regulation for 
   ||   ||   ||   || EU type- approval of engines || Placing on the market of engines 
 NRS || SI || 0<P<56 || NRS-vr-1a NRS-vi-1a NRS-vr-1b NRS-vi-1b NRS-v-2a NRS-v-2b NRS-v-3   || 1 January 2018 || 1 January 2019 
Table
III-5: Dates of application of this Regulation for engine category IWP
 Category || Ignition type || Power range (kW) || Sub-category || Mandatory date of application of this Regulation for 
   ||   ||   ||   || EU type- approval of engines || Placing on the market of engines 
 IWP || all || 37<P<300 || IWP-v-1 IWP-c-1 IWP-v-2 IWP-c-2 IWP-v-3 IWP-c-3 || 1 January 2018 || 1 January 2019 
 300≤P<1000 || IWP-v-4 IWP-c-4 || 1 January 2019 || 1 January 2020 
 P≥1000 || IWP-v-5 IWP-c-5 || 1 January 2020 || 1 January 2021 
Table
III-6: Dates of application of this Regulation for engine category IWA
 Category || Ignition type || Power range (kW) || Sub-category || Mandatory date of application of this Regulation for 
   ||   ||   ||   || EU type- approval of engines || Placing on the market of engines 
 IWA || all || 560≤P<1000 || IWA-v-1 IWA-c-1 || 1 January 2019 || 1 January 2020 
 P≥1000 || IWA-v-2 IWA-c-2 || 1 January 2020 || 1 January 2021 
Table III-7: Dates of application of this
Regulation for engine category RLL
 Category || Ignition type || Power range (kW) || Sub-category || Mandatory date of application of this Regulation for 
   ||   ||   ||   || EU type- approval of engines || Placing on the market of engines 
 RLL || all || P>0 || RLL-v-1 RLL-c-1 || 1 January 2020 || 1 January 2021 
Table III-8: Dates of application of this
Regulation for engine category RLR
 Category || Ignition type || Power range (kW) || Sub-category || Mandatory date of application of this Regulation for 
   ||   ||   ||   || EU type- approval of engines || Placing on the market of engines 
 RLR || all || P>0 || RLR-v-1 RLR-c-1 || 1 January 2020 || 1 January 2021 
Table III-9: Dates of application of this
Regulation for category SMB
 Category || Ignition type || Power range (kW) || Sub-category || Mandatory date of application of this Regulation for 
   ||   ||   ||   || EU type- approval of engines || Placing on the market of engines 
 SMB || SI || P>0 || SMB-v-1 || 1 January 2018 || 1 January 2019 
Table
III-10: Dates of application of this Regulation for engine category ATS
 Category || Ignition type || Power range (kW) || Sub-category || Mandatory date of application of this Regulation for 
   ||   ||   ||   || EU type- approval of engines || Placing on the market of engines 
 ATS || SI || P>0 || ATS-v-1 || 1 January 2018 || 1 January 2019 
ANNEX IV
Non-road steady-state test cycles (NRSC)
Table IV-1: NRSC test cycles for engines of
category NRE
 Category || Speed mode || Purpose ||   || NRSC 
 NRE || variable || Variable speed engine having a reference power less than 19 kW || NRE-v-1 NRE-v-2 || G2 or C1 
 Variable speed engine having a reference power greater than or equal to 19 kW but not more than 560 kW || NRE-v-3 NRE-v-4 NRE-v-5 NRE-v-6 || C1 
 Variable speed engine having a reference power greater than 560 kW || NRE-v-7 || C1 
 constant || Constant speed engine || NRE-c-1 NRE-c-2 NRE-c-3 NRE-c-4 NRE-c-5 NRE-c-6 NRE-c-7 || D2 
Table IV-2: NRSC test cycles for engines of
category NRG
 Category || Speed mode || Purpose ||   || NRSC 
 NRG || variable || Variable speed engine for generating set || NRG-v-1 || C1 
 constant || Constant speed engine for generating set || NRG-c-1 || D2 
Table IV-3: NRSC test cycles for engines of
category NRSh
 Category || Speed mode || Purpose ||   || NRSC 
 NRSh || variable or constant || Engine having a reference power of not more than 19 kW, for use in handheld machinery || NRSh-v-1a NRSh-v-1b || G3 
Table IV-4: NRSC test cycles for engines of
category NRS
 Category || Speed mode || Purpose ||   || NRSC 
 NRS || variable, intermediate || Variable speed engine having a reference power of not more than 19 kW, intended for intermediate speed application || NRS-vi-1a NRS-vi-1b || G1 
 variable, rated; or constant || Variable speed engine having a reference power of not more than 19 kW, intended for rated speed application; constant speed engine having a reference power of not more than 19 kW || NRS-vr-1a NRS-vr-1b || G2 
 variable or constant || Engine having both a reference power between 19 kW and 30 kW and a total swept volume of less than 1 litre || NRS-v-2a || G2 
 Engine having a reference power of greater than 19 kW, other than engine having both a reference power between 19 kW and 30 kW and a total swept volume of less than 1 litre || NRS-v-2b NRS-v-3 || C2 
Table IV-5: NRSC test cycles for engines of
category IWP
 Category || Speed mode || Purpose ||   || NRSC 
 IWP || variable || Variable speed engine intended for propulsion that operates on a fixed-pitch propeller curve || IWP-v-1 IWP-v-2 IWP-v-3 IWP-v-4 IWP-v-5 || E3 
 constant || Constant speed engine intended for propulsion that operates with a controllable-pitch or electrically coupled propeller || IWP-c-1 IWP-c-2 IWP-c-3 IWP-c-4 IWP-c-5 || E2 
Table IV-6: NRSC test cycles for engines of
category IWA
 Category || Speed mode || Purpose ||   || NRSC 
 IWA || variable || Variable speed engine having a reference power that is greater than 560 kW intended for auxiliary use on inland waterway vessels || IWA-v-1 IWA-v-2 || C1 
 constant || Constant speed engine having a reference power that is greater than 560 kW intended for auxiliary use on inland waterway vessels || IWA-c-1 IWA-c-2 || D2 
Table IV-7: NRSC test cycles for engines of
category RLL
 Category || Speed mode || Purpose ||   || NRSC 
 RLL || variable || Variable speed engine for propulsion of locomotives || RLL-v-1 || F 
 constant || Constant speed engine for propulsion of locomotives || RLL-c-1 || D2 
Table IV-8: NRSC test cycles for engines of
category RLR
 Category || Speed mode || Purpose ||   || NRSC 
 RLR || variable || Variable speed engine for propulsion of railcars || RLR-v-1 || C1 
 constant || Constant speed engine for propulsion of railcars || RLR-c-1 || D2 
Table IV-9: NRSC test cycles for engines of
category SMB
 Category || Speed mode || Purpose ||   || NRSC 
 SMB || variable or constant || Engines for propulsion of snowmobiles || SMB-v-1 || H 
Table IV-10: NRSC test cycle for engines of
category ATS
 Category || Speed mode || Purpose ||   || NRSC 
 ATS || variable or constant || Engines for propulsion of ATV or SbS || ATS-v-1 || G1 
Non-road transient test cycles 
Table IV-11: Non-road transient test cycle
for engines of category NRE
 Category || Speed mode || Purpose ||   ||   
 NRE || variable || Variable speed engine having reference power greater than or equal to 19 kW but not more than 560 kW || NRE-v-3 NRE-v-4 NRE-v-5 NRE-v-6 || NRTC 
Table IV-12: Non-road transient test cycle
for engines of category NRS(1)
 Category || Speed mode || Purpose ||   ||   
 NRS || variable or constant || Engine having a reference power of greater than 19 kW, other than engine having both a reference power between 19 kW and 30 kW and a total swept volume of less than 1 litre || NRS-v-2b NRS-v-3 || LSI-NRTC 
(1) Only applicable for engines with maximum
test speed ≤ 3400rpm.
ANNEX
V
Emission
durability periods referred to in Article 24(1)
Table
V-1: Emission durability periods (EDP) for engine category 
 Category || Ignition type || Speed mode || Power range (kW) || Sub-category || EDP (hours) 
 NRE || CI || variable || 0<P<8 || NRE-v-1 || 3000 
 CI || 8≤P<19 || NRE-v-2 
 CI || 19≤P<37 || NRE-v-3 || 5000 
 CI || 37≤P<56 || NRE-v-4 || 8000 
 all || 56≤P<130 || NRE-v-5 
 130≤P≤560 || NRE-v-6 
 P>560 || NRE-v-7 
 CI || constant || 0<P<8 || NRE-c-1 || 3000 
 CI || 8≤P<19 || NRE-c-2 
 CI || 19≤P<37 || NRE-c-3 
 CI || 37≤P<56 || NRE-c-4 || 8000 
 all || 56≤P<130 || NRE-c-5 
 130≤P≤560 || NRE-c-6 
 P>560 || NRE-c-7 
Table
V-2: Emission durability period (EDP) for engine category 
 Category || Ignition type || Speed mode || Power range (kW) || Sub-category || EDP (hours) 
 NRG || all || constant || P>560 || NRG-v-1 || 8000 
 variable || NRG-c-1 
Table
V-3: Emission durability period (EDP) for engine category NRSh 
 Category || Ignition type || Speed mode || Power range (kW) || Swept volume (cm3) || Sub-category || EDP (hours) 
 NRSh || SI || variable or constant || 0<P<19 || SV<50 || NRSh-v-1a || 50/125/3001) 
 SV≥50 || NRSh-v-1b 
1) EDP hours correspond to the EDP categories
Cat 1/Cat 2/Cat 3 as defined in the delegated acts.
Table V-4: Emission durability period (EDP)
for engine category 
 Category || Ignition type || Speed mode || Power range (kW) || Swept volume (cm3) || Sub-category || EDP (hours) 
 NRS || SI || variable, rated; or constant || 0<P<19 || 80≤SV<225 || NRS-vr-1a || 125/250/5001) 
 variable, intermediate || NRS-vi-1a 
 variable, rated; or constant || SV≥225 || NRS-vr-1b || 250/500/10001) 
 variable, intermediate || NRS-vi-1b 
 variable or constant || 19≤P<30 || SV≤1000 || NRS-v-2a || 1000 
 SV>1000 || NRS-v-2b || 5000 
 30≤P<56 || any || NRS-v-3 || 5000 
1)
EDP hours correspond to the EDP categories Cat 1/Cat 2/Cat 3 as defined in the
delegated acts.
Table
V-5: Emission durability period (EDP) for engine category 
 Category || Ignition type || Speed mode || Power range (kW) || Sub-category || EDP (hours) 
 IWP || all || variable || 37≤P<75 || IWP-v-1 || 10000 
 75≤P<130 || IWP -v-2 
 130≤P<300 || IWP -v-3 
 300≤P<1000 || IWP -v-4 
 P≥1000 || IWP -v-5 
 constant || 37≤P<75 || IWP -c-1 || 10000 
 75≤P<130 || IWP -c-2 
 130≤P<300 || IWP -c-3 
 300≤P<1000 || IWP -c-4 
 P≥1000 || IWP -c-5 
Table V-6: Emission durability period (EDP)
for engine category IWA 
 Category || Ignition type || Speed mode || Power range (kW) || Sub-category || EDP (hours) 
 IWA || all || variable || 560≤P<1000 || IWA-v-1 || 10000 
 P≥1000 || IWA-v-2 
 constant || 560≤P<1000 || IWA-c-1 
 P≥1000 || IWA-c-2 
Table
V-7: Emission durability period (EDP) for engine category RLL 
 Category || Ignition type || Speed mode || Power range (kW) || Sub-category || EDP (hours) 
 RLL || all || variable || P>0 || RLL-v-1 || 10000 
 constant || P>0 || RLL-c-1 
Table V-8: Emission durability period (EDP)
for engine category RLR
 Category || Ignition type || Speed mode || Power range (kW) || Sub-category || EDP (hours) 
 RLR || all || variable || P>0 || RLR-v-1 || 10000 
 constant || P>0 || RLR-c-1 
Table
V-9: Emission durability period (EDP) for category SMB 
 Category || Ignition type || Speed mode || Power range (kW) || Sub-category || EDP (hours) 
 SMB || SI || variable or constant || P>0 || SMB-v-1 || 400 
Table V-10: Emission durability period
(EDP) for engine category 
 Category || Ignition type || Speed mode || Power range (kW) || Sub-category || EDP (hours) 
 ATS || SI || variable or constant || P>0 || ATS-v-1 || 500/10002) 
2) EDP hours correspond to the following
total engine swept volumes: <100 cm3 / ≥100 cm3.
ANNEX
VI
ATEX
emission limit values referred to in Article 32(4)
Table VI-1: ATEX
emission limit values for engine category NRE 
 Emission stage || Engine sub-category || Power range || Engine ignition type || CO || THC || NOx || PM mass || A 
   ||   || kW ||   || g/kWh || g/kWh || g/kWh || g/kWh ||   
 ATEX || NRE-v-1 NRE-c-1 || 0<P<8 || CI || 8 || 7,5 || 0,4 || 6,0 
 ATEX || NRE-v-2 NRE-c-2 || 8≤P<19 || CI || 6,6 || 7,5 || 0,4 || 6,0 
 ATEX || NRE-v-3 NRE-c-3 || 19≤P<37 || CI || 5,5 || 7,5 || 0,6 || 6,0 
 ATEX || NRE-v-4 NRE-c-4 || 37≤P<56 || CI || 5,0 || 4,7 || 0,4 || 6,0 
 ATEX || NRE-v-5 NRE-c-5 || 56≤P<130 || all || 5,0 || 4,0 || 0,3 || 6,0 
 ATEX || NRE-v-6 NRE-c-6 || 130≤P≤560 || all || 3,5 || 4,0 || 0,2 || 6,0 
 ATEX || NRE-v-7 NRE-c-7 || P>560 || all || 3,5 || 6,4 || 0,2 || 6,0 
Table VI-2: ATEX
emission limit values for engine category NRG 
 Emission stage || Engine sub-category || Power range || Engine ignition type || CO || HC || NOx || PM mass || A 
   ||   || kW ||   || g/kWh || g/kWh || g/kWh || g/kWh ||   
 ATEX || NRG-c-1 || P>560 || all || 3,5 || 6.4 || 0,2 || 6,0 
 NRG-v-1 
Table VI-3: ATEX
emission limit values for engine category RLL 
 Emission stage || Engine sub-category || Power range || Engine ignition type || CO || THC || NOx || PM mass || A 
   ||   || kW ||   || g/kWh || g/kWh || g/kWh || g/kWh ||   
 ATEX || RLL-v-1 RLL-c-1 || P≤560 || all || 3,5 || (HC+NOx≤4,0) || 0,2 || 6,0 
 ATEX || RLL-v-1 RLL-c-1 || P>560 kW || all || 3,5 || 0,5 || 6,0 || 0,2 || 6,0 
 ATEX || RLL-v-1 RLL-c-1 || P>2000 kW and SVc1)>5 litres || all || 3,5 || 0,4 || 7,4 || 0,2 || 6,0 
1) Swept Volume per cylinder