AG - European Parliament2017)610750_EN.docx · Web viewThe interinstitutional negotiations on the aforementioned [proposal for a regulation] have led to a compromise. In accordance

––European Parliament2014-2019

Committee on the Environment, Public Health and Food Safety

22.4.2016

PROVISIONAL AGREEMENT RESULTING FROM INTERINSTITUTIONAL

NEGOTIATIONS

Subject: Proposal for a regulation of the European Parliament and of the Council on Emission limits and type-approval for internal combustion engines for non-road mobile machineryCOM(2014)0581 – C8-0168/2014 – 2014/0268(COD))

The interinstitutional negotiations on the aforementioned [proposal for a regulation] have led to a compromise. In accordance with Rule 69f(4) of the Rules of Procedure, the provisional agreement, reproduced below, is submitted to the Committee on the Environment, Public Health and Food Safety for decision by way of a single vote.

AG\1134762EN.docx PE610.750v01-00

EN United in diversity EN

Proposal for a

REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL

of ….

on requirements relating to gase o u s a n d p a r ti c u late p ol lu tant emission limits and type-

approval for internal combustion engines for non-road mobile machinery, a m e nd i n g a n d

re p e al in g Di rec ti v e 97/68 / EC

an d amend in g Regu lation (EU) No 1024/2012

(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 Committee1,

Acting in accordance with the ordinary legislative procedure2,

Whereas:

1 OJ L …2

Position of th e Eu rop ean Parli a men t of . . . (n o t yet pub li sh ed in th e Of ficial Jou rn al) a n d d ec is i on o f t h e Co u n c il of . . .

PE<NoPE>610.750</NoPE><Version>v01-00</Version> 2/162<PathFdR>AG\1134762EN.docx</PathFdR>

(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 Council3. 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 a n d i m p l e me n ting 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 an d imp l e men ting acts.

(4) Regulation (EU) No 167/2013 of the European Parliament and of the Council4 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 m o b i l e 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.

3 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).

4 Regulation (EU) No 167/2013 of the European Parliament and of the Council of 5 February2013 on the approval and market surveillance of agricultural and forestry vehicles (OJ L 60,2.3.2013, p. 1).

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(4a) Di rec ti v e 2006/42 / EC of t h e E u r o p e an P a r l i a m en t and o f t h e Cou n c i l 5 lays d own the

e ssential h e alth a n d s a f e ty r e qu ir e me n ts in re l a t ion t o d e sign a n d m a nuf a c ture in o r d e r

to i m p r o v e t h e sa f e ty of m a c h i n er y p lac e d on t h e m a r k e t. Ho w e v er , that D ir e c tive d o e s

n ot set o u t gas e o u s a n d p a r ti c u late e m is s ion r equ ir e m e n ts f or e n g i n e s i n stalled i n n o n -

r oad m o b i l e m a c h i n er y. C er tain sp ec i f ic re qu ir e m e n ts f or n o n -r oad mobile m a c h i n er y

m a nuf a c tur e r s s h o u ld t h ere f o r e b e la i d d o w n i n o r d e r t o e n s u r e t h at th e i n stallation o f

e n gi n e s in s u c h m a c h i ner y is ca r r ied o u t in a man n e r t h at d o e s n ot a d v er s e ly a f f ec t t h e

e n gi n e p er f o r m a nc e w ith r e ga r d t o its gas e o u s a n d p a r ti c u late e m is s io n s. C er tain

o b l i gations i n re lation t o n o n -r oad m o b i l e m a ch i n er y in w h ich a n e n g i n e is b e i n g, or h as

b ee n , i n stalled, as r e ga r d s as p ec ts of t h e e m is s i on l i m its f or gase o u s a n d p a r ti c u late

p ol lu tants o f s u c h e n g i ne s are also n e c e ssary in o r d e r t o e n s u r e the e ff ec tiv e n e ss of t h e

e miss ion li mits f or en gin es set ou t in th is Regu lation .

(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, a n d

h e alth e ff ec ts, and 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.

5 Dire c t i v e 2006/42 / EC of the E u rope a n Parl i a m e n t a n d of the Co u n c il of 17 May 2006 on m a c h i n e r y , a n d a m e n d i n g Dir ec t i v e 95/16 / EC ( OJ L 157, 9.6.2006, p. 24)


(6) This Regulation s h o u ld 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, w h ich s h o u ld

b e a pp l i e d also to a gr i c u ltural a n d f o re st r y m a c h i n er y, 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 a n d

ag r icu l tural and f o re st r y v e h icl e s , 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 Un i on and

international level and minimising the risks of market distortions a n d o f a d v er se h e alth

e ff ec ts . In addition, this Regulation s h o u ld simplify the current legal framework, including

b y me a n s of measures a i m e d at simplifying administrative procedures, and s h o u ld improve

the general conditions for enforcement, in particular by strengthening the rules on market

surveillance.

(6a) In a dd iti o n t o b r oa d e n i n g the scope of Un i on l e gis l a t ion in t h e f ield o f m a r k e t

h a r m o n isatio n , w h i l e m i n i m is in g m a r ke t disto r tion s , t h is R e g u lation a i m s to s i m p l if y the

c u rre n t l e gal f r a m e w o rk , i n c l u d i n g m e as u re s f or si m p l if yi n g a d m i n ist r a t ive pro c e du re s,

a n d t o i m p r ove t h e g e n er al con d itio n s f or e nf o rc e me n t, in p a r ti c u lar by st r e n g t h e n i n g

the r u les on m a r k e t su r v e i l la n ce .

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(6b) T h e Co m m is s ion W h ite P a p e r of 28 M a rc h 20 1 1 e n ti t led ‘ R oad m ap t o a S in gle

E u r o p e an T r a n s p o r t Are a – To w a r d s a c o m pe ti t ive and re so u rc e e ff i c ient tr a n s p o r t

syste m ’ hi gh li gh ts t h e p a r ti c u lar r ole to be p layed b y r ail w ays a n d i n l a n

d w a ter w ays i n a c h ievi n g c l i m a t e t ar g e t s. G iven the air po l l u tio n -re lat e d d e f icit in

t h ose m o d e s of t r a n s p o r t, t h e C o m m is s ion a n d Me m b e r S ta t e s, w ith i n t h e ir re s p ec tive

r e m its, s h o u ld p r ovi d e d if f ere n t w ays of s u pp o r ting i n n ovati o n in e m is s ion tec hn ology

so that fu r ther e x p a nd i n g the vo l u m e o f f re ig h t s h i f t e d t o r ail a n d i n la n d w a ter w ays

g o e s h a n d - i n - h a n d w ith an i m p r ov e me n t in t e r m s of h e althy air in E u r o p e .

(7) The requirements set out in respect of engines for non-road m o b i l e 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 Council6 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 ceilings7. Following its

Communication of 4 May 2001, which established the ‘Clean Air f or Europe (CAFE)

Programme’, the Commission adopted another Communication on 21 September 2005

entitled ‘Thematic S trategy on air pollution’. One of the conclusions of that thematic strategy

is that further reductions in emissions from the transport sector (air, maritime and land

transport), from households and from the energy, agricultural and industrial sectors are

needed to achieve Un ion air quality objectives. In this context, the task of reducing emissions

from engines installed in non-road mobile machinery should be approached as part of an

overall strategy. The Stage V emission limits are one of the measures designed to reduce the

c u rre n t 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 , through its International Agency for

Research on Cancer , reclassified diesel engine exhaust as ‘carcinogenic to humans’ (Group1), based on sufficient evidence that exposure is associated with an increased risk for lung

cancer.

6 Decision No 1386/2013/EU of the European Parliament and of the Council of 20 November2013 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).

7 Decision No 1600/2002/EC of t h e Eu rope a n Pa r l i a m e n t a n d of the C o u nc il of 22 J u ly 2002 layi n g down t h e S ix t h C om mun i ty E n v iro n m en t A c t i on Progr a m m e ( OJ L 242, 10.9.2002, p.1 ) ; 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).

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(10) T h e s u stai n a b le a c h iev eme n t of the Union's air quality a n d air p r o te c tion objectives

b e t w ee n n ow a n d 2020 a n d b e yo n d t h at d a t e requires a continuous effort to reduce

e m is s io n s f r om va r io u s types of e n gi n e s . For that reason manufacturers should be provided

with clear a n d c o m p re h e n sive information on future emission limit values in a d va n c e 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 the

competitiveness of markets and manufacturers, the direct and indirect costs imposed on

business and the benefits that accrue in terms of stimulating innovation, improving air quality,

reducing health costs and increasing life expectancy.

(11a) Su stai n a b le re du c tion of e m is s io n s f r om en gi n e s r e qu ir e s the c o n stant i n t e n si f ica t ion o f

d ir ec t c oo pe r a t ion b e t w ee n m a nuf a c tur e r s a n d oth e r re l a t e d bu si n e sses on t h e o n e h a n d

a n d w e l l -e stab l is h e d sc i e n ti f ic re s e a rc h i n sti t u tions on t h e oth er . Su c h c oo p er a t ion h as a

sig n i f icant r ole in t h e de v e lo p me n t of n e w p r o du c ts and tec hn olog i e s that have a p ositive

imp act on the i mp rov e men t of air qu ali ty.

(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 and particulate matter should fall

within the scope of the new emission limit rules.

(12a) In o r d e r t o g u a r a n t e e a n o p ti m u m lev e l of p r o t ec tion f o r p er so n s w o rk i n g in t h e

vici n ity of m a c h i n er y a n d t o k ee p t h e c u m u lat i ve e x p os u r e of p er so n s w o r k i n g in t h e

vici n ity of sev e r al d if f ere n t i t e m s of m o b i l e m a ch i n er y a n d e q u i p m e n t a s low as p oss ib le,

c u rre n tly availa b le tec h n ology s h o u ld b e u s e d t o m i n i m ise e m is s io n s.


(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. Where necessary, th e C o m m is s ion s h o u l d submit a

proposal to the European Parliament and to the Council with a view to regulating such

emissions.

(14) It is n e c e ssary 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.

(14a) This R e gulation is w ithout p re judice t o Me m b e r Stat e s’ e nti t le m ent t o lay down,

in d ue o b s er va n c e of t h e T re a t ie s , s u c h re qu ir e m e n ts as they m ay d e e m ne ce s sary to

e n s u r e that t h e pub l i c a n d w o r k er s are p r o t ec t e d w h e n m a c h i n er y re f er r e d t o in t h is

R e g u lation is u s e d , p r o vi d e d t h at s u c h re qu ir eme n ts do n ot a ff ec t t h e p laci n g on t h e

ma rk et of th e en gin es in qu estion .

(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 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.

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(16a) G i v e n t h e lo n g l if e ti me s of n o n -r oad m o b i l e m a c h i n er y it is a pp r o p r iate t o c o n si d e r

re t r o f it t i n g the e n gi n e s alr e a d y in se r vic e . Su c h re t r o f it t i n g s h o u ld in p a r ti c u lar t a r g e t

d e n s e ly p o p u lat e d u r b a n a re as as a m e a n s of he l p i n g Me m be r S ta te s t o c o m p ly w ith

Un i on air q u a l i ty l e gis l a t io n . To en su r e a c ompa r a b le and a m b itio u s l e v e l of re t r o f it t i n g,

M e m b e r S t a t e s s h o u ld t a k e i n to a c c o un t t h e p r i n c i p les of U N ECE R e g u lation 132 on

Retrof it E miss ion Control (REC).

(16b) W h er e a pp r o p r iate a n d w h er e tec hn olog i e s are i n t e r l ink e d , sy n er gies s h o u ld b e so u g h t

b e t w ee n t h e re du c tion of gas e o u s a n d p a r ti c u late e m is s io n s in e n gi n e s i n stalled i n n o n -

r oad m o b i l e m a c h i n er y a n d e m is s ion l i m its as a pp l i e d i n h e av y - du ty v e h icl e s (HD V s).

Su ch action coul d h elp to imp rov e econ o mies of scale an d imp rove air qu ali ty.

(17) The Commission should adopt worldwide harmonised test 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 e x h a u st 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 e x h a u st a f t e r -

t r e a t me n t systems relying on the use of a n y c o n s u m a b le or n o n -r e c ov er a b le m e d i u m

should be introduced.


(19a) P o r table f ir e- f ig h ting pu m p s are e ssential m a c h i n er y in cer tain e mer g e n c y situatio n s

w h er e c h a nn e l l e d w a te r s upp ly is n ot avai l a b le. T h e i n stallation o f e x h a u st a f t e r -

t r e a t me n t sys te m s in e n gi n e s f or s u c h m a c h i n er y w o u l d i n cre ase i t s w e ig h t and

o p er a t i n g te m pe r a t u re s t o the e x t e n t it w o u ld bec o m e d a n g e r o u s f or t h e o p er a t or a n d

i m p oss ib le t o c a r r y b y h a nd . P o r table f ir e - f ig h ting pu m p s s h o u l d t h ere f o r e b e e x c l ud e d

f rom th e s cop e of th is Regu lation .

(19b) M o d i f ica t io n s to a n e n gi n e s u c h as i n a c tiva t ion of its e x h a u st gas a f t e r - tr e a t me n t sys t e m

or i n cre ase in p o w e r c o u ld h ave se r io u s conse q u e n ce s on t h e re s u lti n g e m is s io n s

p er f o r m a nc e a n d du r a b i l ity. Legal p er so n s ca r r yi n g o u t such m o d i f ica t io n s s h o u ld

theref ore b e resp on sib le f or en su rin g t h e app licab le e miss ion li mits.

(20) Engines which are in compliance with and covered by the new rules on emission limits and

EU type-approval procedures la i d d own b y this R e g u lation 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 in re s p ec t of t h e ir p l a c i n g on t h e m a r k e t . Member States

granting approvals should take verification measures in o r d e r t o e n s u r e t h e i d e n ti f ica t ion of

e n gi n e s p r o du ce d und e r EU type-approval. T h is sh o u l d b e w itho u t p re ju d ice t o the r ig h t

of M e m b e r S t a t e s to e n c o u r age or r e st r i c t t h e u se of e n gi n e s that have al r e a d y b ee n

p lac e d on t h e m a r k e t, pr o vi de d t h at t h e c r it e r ia a pp l ie d a r e n ot d isc r i m i n a t o r y a n d a r e

ob jectively jus tif ied.

(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, c e r tain r e p lac e m e n t

e n gi n e s, engi n e s f or cer tain ty p e s of p r o jec ts in t h e r ai l w ay s ec tor and the use of n o n -

r oad m o b i l e machinery in explosive atmospheres.

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(21a) E n gi n e s f or e x p o r t and f or u se b y the a rme d f o rce s s h o u ld n ot b e s ub j e c t t o the e m is s i o n

l i m its s e t o u t in t h is R e g u latio n . H o w e v er , in o r d e r t o d isti n g u ish s u c h e n gi n e s f r om

e n gi n e s w h ich are s ub j e c t t o those e m is s ion l i m i ts, m a r k i n gs s h o u l d b e re qu ir e d in

certain cas es.

(21b) In o r d e r t o take a cc o un t of log i stic s u p p l y c o n st r ai n ts and t o al l o w f or 'ju s t i n t i m e '

p r o du c tion flo w , as w e ll as to avoid unn ece ssary c osts and a d m i n ist r a t i ve bu r d e n , a

m a nuf a c tur e r s h o u ld b e al l o w e d t o d e l i v er , w i t h t h e c o n s e n t of t h e o r ig in al eq u i p m e n t

manuf acturer (" OE M" ), an en gin e separately f rom its exh au st af ter -t reat men t syste m.

(21 c ) S o m e n o n -r oad m o b i l e m a c h i n er y o p er a t e s und e r c o nd itio n s of a n e x tr e m e n a t ur e

i n volv in g r i s k s to heal t h or l if e or is sub j e c t t o v er y c h al l e n gi n g t e c hn ical re qu ir e m e n ts.

In view o f t h ose par t icu l ar c ir c u m stan c e s a n d of t h e re lativ e ly s m all n u m be r of e n gi n e s

i n stalled i n s u c h n o n -r oad m o b i l e m a c h i n er y, c er tain ex e m p tions s h o u l d b e p r ovi d e d f or

e n gi n e s to be us e d in p o t e n tially e x p lo s ive a t m o s ph ere s a n d f or u se in l i f e b oat lau n c h

veh icles w ith regard to the e miss ion li mit r equ ire men ts s et out in th is Regu lation .

(21d) In o r d e r t o al l ow f or t h e f ield te sti n g a c tiviti e s ca r r i e d o u t by e n gi n e m a nuf a c tur e r s,

w h ich are i n h ere n t t o th e e n gi n e d e v e lo p m e n t p r o ce ss, the te m p o r a r y p laci n g on t h e

m a r k e t of e n gi n e s that have n ot b ee n EU t y p e- a pp r ov e d at t h at stage s h o u ld b e al l o w e d .

Ex e m p tions al l o w i n g t h e t e m p o r a r y p laci n g on t h e m a r k e t f or t h e pu r p oses of f ie l d

t e sti n g p r o t o t y p e s s h o u ld also b e p oss i b le.


(21 e ) In o r d e r to t a k e a c c o un t of lo n g t e r m p r o je c ts i n t h e r ai l w ay s ec tor re q u iri n g h e avy

i n v e st me n ts, an ex e m pt ion s h o u ld b e p r ov i d e d , in a cc o r d a n c e w ith Di rec tive 2008/57 / EC

of t h e E u r o p e an P a r l i am e n t and of t h e Cou n c i l 8 , f or e n gi n e s i n c l ud e d i n a p r o jec t

la un c h e d b e f o r e t h e d a t e of a pp l i c a t ion o f t h is R e g u latio n , w h ich i s at an a d va n ce d stage

of d evelop men t.

(21 f ) It is e ssential n ot t o h a m pe r t e c hn ical i nn ovat i on re lat e d t o the e m is s ion p er f o r m a n c e of

e n gi n e s f or n o n -r oad m o b i l e m a c h i n er y w ith r equ ir e m e n ts that a r e n ot c u rre n tly

f o re s ee n b y e xisti n g a d m i n ist r a t i v e p r o ce du re s f or t y p e - a pp r oval. It is the r e f o r e

n ece ssary t o al l ow f or cer tain ex e m p tions a n d r u les f or e n gi n e s that i n c o r p o r a t e n e w

techn ologi es or new con cep ts.

(21g) O E M s p r o du c i n g l i m it e d n u m b er s of un i t s p e r y e ar f a c e s e v e r e ch al l e n g e s when r e -

d e sig n i n g th e ir f le e t w ith i n t h e stan d a r d tr a n si t ion p er io d . T h o se m a nuf a c tur e r s are

typi c al l y S M Es that h a ve a l i m i t e d e n gi n eer i n g c a p a c ity and o b tain i n for m a t ion

re ga r d i n g fu ture stage e n g i n e s o f t e n lat e r t h an oth e r O E M s. Th is i s t h e c ase, in

p a r ti c u lar, of ag r icu l t u r al m a c h i n er y m a nuf a c tur e r s, w h er e s m all a n d m e d i u m- si z e d

e n t e r p r ises ( " S M E s") p r o du c i n g a l i m it e d nu m b e r of un its p e r y e ar f a c e a se r io u s

stru ctural ch all en ge w h en und ertakin g t h e tran sition to S tage V e miss ion li mits.

(21h) T h e p laci n g on t h e m a rk e t of e n gi n e s i n t e nd e d to r e p lace e n gi n e s that a r e alr e a d y

i n stalled i n n o n -r oad m o b i l e m a c h i n er y, a n d w h ich co m p ly w ith l o w e r e m is s ion l i m its

than t h ose s e t out in t h i s R e g u latio n , s h o u l d b e p e r m it te d in o r d e r to allow e n g i n e

m a nuf a c tur e r s to fu lfil their w a rr a n ty obligatio n s a n d t o e n s u r e s u f fi c ient availa b i l ity o f

su ch en gin es on th e ma rk et.

8 Dire c t i v e 2008/57 / EC of the E u rope a n Parl i a m e n t a n d of the Co u n c il of 17 J un e 2008 on t h e i n terop e rabil i ty of t h e rail system w i t h i n t h e C o m m u n i t y ( O J L 191, 18.7.2008, p.1)

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(21i) A cc o r d i n g to c ur re n t e s ti m a t e s, th e r e is a nu m b e r of b r oad ga u ge l in e loco m o tiv e s w h ich

n ee d t o b e re p lac e d b e t w ee n 2016 a n d 2025. Hi g h - p o w e r e n gi n e loco m o t ives s u itab l e f or

the 1 520 m m n e t w o r k a r e n ot avai l a b le on the U n ion m a r k e t. C u st o m - bu i l t so l u tions

w o u l d sig n ificantly i n cre ase t h e c o s t of t h e n e w loco m o tive a n d w o u l d de t e r r ai l w ay

o p er a t o r s f r o m r e n e w i n g th e ir f le e ts. T h e tec h n ical a n d ec o n o m ic r e st r ai n ts of 1520 m m

r ail n e t w o r k s h o u ld b e c o n si d ere d in t h e EU t y p e - a pp roval p r o ce du re s. In o r d e r t o

f a c i l ita t e a n d s p ee d u p t h e g ree n i n g of t h e r ai l way s ec tor in t h ose M e m b e r S ta te s a n d t o

p r o m o te t h e u se of t h e b e st av a i l a b le tec hn ology cur re n t l y on t h e m a r k e t, a t e m p o r a r y

e x e m p tion sh o u ld b e g r a n t e d f or t h ose lo c o m o t ives on the r ai l w ay n e t w o r k . T h e a b ov e -

me n tioned p oss ib i l i ty of e x c l ud i n g cer tain r e qu ir e m e n ts f or loc o m o t ives m ay al l ow f or

the redu ction of th e rail traff ic imp act on the en vironmen t.

(21 j ) Co t ton p r o du c tion w it h in t h e Un i on is l i m it e d t o v er y f e w M e m b e r S t a t e s. Due t o the

h igh c osts of n e w c o t ton h a r v e sti n g m a c h i n er y, a n d in o r d e r t o avoid a dd itio n al f i n a n c ial

bu r d e n f or t h e c o t ton p r o du c tion s ec to r , w h ich w o u l d f u r ther t h re a t e n its ec o n o m ic

via b i l ity, op er a t o r s s h o u ld b e g r a n t e d a cce ss to a w i d e r a n ge of av a i la b le used co t ton

h a r v e sti n g m a c h i n er y. T h ere f o re , M e m b e r S t a t e s s h o u ld h ave t h e p os s i b i l ity t o a p p ly,

f or a li mited p eriod of time, n ation al l aw to en gin es in stalled in su ch mach in ery.

(22) T h is R e g u lation s h o u l d lay d own obligations of national authorities re lat i n g to market

surveillance w h ich are more specific than the corresponding o b l i gations l aid d o w n i n

Regulation (EC) No 765/2008 of the European Parliament and of the Council9.

9 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).


(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 U N ECE Agreement concerning the Adoption of

Uniform T echnical Prescriptions for Wheeled V ehicles, E quipment and Parts which can be

fitted to and/or used on W heeled V ehicles and the Conditions for Reciprocal Recognition

of

Approvals Granted on the B asis of these Prescriptions (‘Revised 1958 Agreement’).

(25) As a consequence, a pp r o vals g r a n t e d und e r 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 of t h e Co u n c i l 10, should be recognized as equivalent

to

EU type-approvals granted under this Regulation. Accordingly, in o r d e r t o e n s u r e c o h e r e n c e

a n d al i g n m e n t be t w ee n E U and U N ECE l e gis l a tion, 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 Council11.

10 Co un c il D ec is i on 97/83 6 / E C of 27 No ve m b e r 1997 w i t h a v iew to a cce ss i on by t h e E u rope a n C o m mun i ty to t h e Agre e m e n t of t h e Un i ted N at i o n s E c o n o m i c C o m m is s i o n f or E u rope c o n ce r n i n g t h e adopt i on of u n ifo r m te c hn ical pr e s c rip t io n s for w h ee led ve h icl e s, e q u ip m en t a n d parts w h i c h c an be f i t ted to a n d/or be u s e d on w h ee led v eh icl e s a n d t h e c o n di t io n s for r ec iprocal re c og n i t ion of a p prov a ls g r a n ted on th e basis of t h e se pres c rip t io n s ('Re v ised 1958 Agr ee m e n t ' ) ( OJ L 346, 17.12.1997, p. 78 ) .

11 Regulation (EU) No 182/2011 of the European Parliament and of the Council of 16

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February 2011 laying down the rules and general principles concerning mechanisms forcontrol by Member States of the Commission’s exercise of implementing powers (OJ L 55,28.2.2011, p. 13).


(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 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 E U type-approvals, information for

o r ig in al eq u i p m e n t m a nuf a c tur e r s and end-users, standards and assessment of technical

services. It is of particular importance that the Commission carry out appropriate

consultations during its preparatory work, including at M e m be r S ta te s expert level. It is of

p a r ti c u lar i m p o r tance th at t h e C o m m is s ion c a r r y o u t ap p r o p r iate c o n s u lta t io n s du r i n g

its p re p a r a t o r y w o r k , i n c l ud i n g at e x p er t l e v e l, a n d t h at t h ose c o n s u lt a tions b e

c o ndu c t e d in a cc o r d a n c e w ith t h e p r i n c i p les la i d d o w n i n t h e I n t e r i n sti t u tional

Ag re e me n t on B e t t e r L a w -M a k i n g of ( date ). In p a r ti c u lar, t o e n s u r e equ al p a r ti c i p a t ion

in t h e p re p a r a t ion of d e lega te d a c ts, t h e E u r o pe an P a r l i a m e n t and Cou n c il rece ive all

d o c u m e n ts at the s a m e ti m e as M e m b e r S ta t e s' e x p er ts, and their e x pe r ts have

syst e m a t ic a cce ss to m e e tings of Co m m is s ion e x p er t g r o up s d e al in g w i th the pr e p a r a t ion

of d elegated acts.

(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 the 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 f all for the first time w it h in the

scope of this Regulation and on those for which emission limit values remain unaltered

under this Regulation.

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( 29a ) T h e s p ec i f i c l i m i t val u e s, te st pr o c e du re s a n d requ i r e me n t s f o r p oll u t a n t e m issio n s

lai d d o wn i n t h is R e g u l a t i o n w i l l a l s o a p p ly t o e n gi n e s f o r a g r i c u l t u r a l a n d f o re s tr y

v e h i c l e s c o v e r e d b y R e g u l a t i o n ( E U) No 16 7 / 2013. G iv e n t h e c o m b i n e d e ff ec t of t h e

S t a g e IV postponement for agricultural tractors of categories T2, T4.1 and C2 and the

Stage V a pp l i c a t ion d a t e s, S t age IV wo u l d, i n re s p ec t of t h e p o w e r r a n ge 56 – 130 k W,

h ave a very short duration. In order to avoid inefficiencies and unnecessary burdens,

the Stage I V c o m pul so r y E U t y p e -a pp r ov al d a t e s h o u ld b e d e l a y e d b y o n e y e a r a n d

t h e f l e x ib i li t y q u a n t i ty i n cre as e d a p p r o p r i a te l y . F u rt h er m o re , t h e t r a n si t i o n cl a u s e s

s e t o u t in t h is R e g u l a t i o n in re s pe c t of the S t age V a pp li c a t i on re q u i r eme n ts s h o u l d

a pp ly al s o to S t age IIIB e n g i n e s. R e g u lation ( EU) No 167/2013 a n d Co m m is s ion

D e lega te d

Regu lation (EU) No 201 5/96 12 sh o u ld , th eref ore, b e amend ed accord in gly.

(30) In the interests of clarity, predictability, rationality and simplification and in order to reduce

the burden for engine and n o n -r oad m o b i l e machinery manufacturers, this Regulation

should contain only a limited number of implementation stages for the introduction of new

emission levels and E U type-approval procedures. T h e 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.

12 C o m m is s i o n D e legat e d Regula t ion ( EU) 2015/ 9 6 of 1 O c to b e r 2014 s u p ple m e n t i n g R e g u la t ion ( EU) No 16 7 /2013 of t h e E u rope a n P arl i a m e n t a n d of t h e Co un c il as regards e n v iro n m en tal a n d pro p u ls i on un it p e rfo r m a n c e requir e m e n ts of agri cu l t u ral a n d for e st r y ve h icl e s ( O J L 16, 23.1. 2 015, p. 1 ) .


(31) Directive 97/68/EC has been substantially amended several times. In the interests of clarity

predictability, rationality and simplification, that Directive should be replaced by a

Regulation and a small number of delegated and implementing acts. The use of a Regulation

ensures that the provisions 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) Directive 97/68/EC should the r e f o r e be repealed with effect from a date w h ich w ould

allow industry sufficient time to adapt to 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.

(32a) Di r e c tive 97/68 / E C does not p r ovi d e a d er ogation f or e n gi n e s i n t e nd e d f or i n stallati o n in

n o n -r oad m o b i l e m a c h i n er y to be used i n p o te n tially e x p los i ve at m os ph ere s. In o r d e r to

take a cc o un t of t h e st r i c t tec hn ical re qu ir e me nt s that a r e e s se n tial f or t he o p er a t io n al

sa f e ty of s u c h e n g i n e s, Di rec ti v e 97/68 / EC sho u ld t h ere f o r e b e a m e nd e d in o r d e r t o al l ow

d er ogations f or s u c h en gi n e s to be ap p l i e d un til t h at Di re c tive is r e p e a l e d .

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(32b) T h e e x c h a n ge of d a t a a n d i n f o r m a t ion re la t e d t o EU typ e - a pp r ovals n ee d s to be

i m p r ov e d so that this R e g u lation c an b e a pp l ied e ff ec tiv e ly a n d s w i f tl y . T h ere f o re , t h e

n a t io n al a u thori t ies s h o u ld b e re qu ir e d t o c oo p er a t e e ff ici e n tly w i t h e a c h oth e r a n d w ith

the C o m m is s io n , a n d t o e x c h a n ge i nf o r m a t ion re lati n g to EU t y p e - a pp r ovals b y m e a n s

of t h e In t e r n al Ma r k e t In f o r m a t ion S yste m ( ‘I M I’) e s tabl ish e d b y R e gu lation ( E U) No

1024/2012 of t h e E u r o pe an P a r l i a me n t and of t h e Cou n c i l 13 . In o r d e r t o f a c i l ita t e t h e

i m p l e me n ta t ion of t h is R e g u latio n , a m o du le of I M I s p ec i f i c al l y c u sto m ised f or n o n -r oad

m o b i l e m a c h i n er y s h o u l d b e e stab l is h e d . It sh o u ld also b e p oss i b le f or m a nuf a c tur e r s

an d techn ical services t o u se IMI f or th e exch a n ge of su ch d ata an d in formation .

(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, bu t can r a t h er , 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:

13 R e g u la t ion ( EU) No 1 0 2 4/2012 of t h e E u rope a n Parl i a m e n t a n d of the C o un c il of 25 O c tober 2012 on ad m i n i st r at i v e c oop e rat i on t h r o u gh t h e I n ternal Ma r k e t I n for m a t i on S y stem a n d r e p e al in g C om m is s ion D ec is i on 20 0 8/49 / EC ( ' t h e IMI R e g u l at i o n '), ( OJ L 316, 14.11.2012, p.1 ) .


CHAPTER I

SUBJECT MATTER, SCOPE AND DEFINITIONS

Article 1

Subject matter

1. This Regulation establishes emission limits for gaseous a n d p a r ti c u late pollutants and

the administrative and technical requirements relating to EU type-approval for all engines

referred to in Article 2(1).

T h is R e g u lation a l so l a ys d own c er tain o b l i gations in re lation t o n o n - r oad m o b i l e

m a c h i n er y in w h ich a n e n gi n e re f erre d t o in A r ti c le 2 ( 1) is b e i n g, or h as b ee n , i n stalled,

as r e ga r d s as p ec ts of t h e e m is s ion l i m its f or ga s e o u s a n d p a r ti c u late p o l lu ta n t s of s u c h

en gin es.

2. This Regulation also establishes the requirements for the market surveillance of engines

re f er r e d t o in A r ti c le 2 ( 1) installed in or intended to be installed in non-road mobile

machinery a n d which are subject to EU type-approval.

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Article 2

Scope

1. This Regulation a pp l i e s to all engines c o r re s p o nd i n g to t h e c a te g o r ies set out in Article

4(1 ) , which are installed in, or intended to be installed in, non-road mobile machinery a nd ,

i n so f ar as a s p ec ts of em is s ion l i m its f or gas e o u s a n d p a r ti c u late p ol lu t a n ts of t h ose

en gin es are con cw ern ed , to su ch n on -road mob il e ma ch in ery .

2. This Regulation d oes not apply to engines for:

(a) the propulsion of vehicles re f er r e d t o in A r ti c le 2 ( 1) of Directive 2007/46/EC of the

European Parliament and of the Council 14;

(b) the propulsion of agricultural and forestry t r a c t or s as defined by point (8) of Article 3

of Regulation (EU) No 167/2013;

( b a) the prop u ls i on o f v e h ic l e s r e f e r re d t o in A r ti c l e 2(1) of R e g u lation ( EU) No

168/2013 of th e Eu rop ea n Parli a men t and of th e Coun cil 15 ;

(c) stationary machinery;

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

14 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).

15 Regu lat ion (EU) No 168/2013 of th e Eu ropean Parli am en t an d of th e Coun cil of 15


Ja nu ary 2 013 on t h e a p prov a l a n d m a rket s u r ve i l la n c e of tw o - or t h r e e - w h ee l v e h icl e s a n d q u adri cyc les ( OJ L 60, 2 .3.2013, p. 52 ) .

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(da) cr a f ts as d e f i n e d i n Di rec tive 2006/87 / EC of t h e E u r o p e an P a r l i a m e n t an d of t h e

Coun cil16 an d n ot f allin g w ithin its scop e;

(e) the propulsion or a u xi l i a r y pu r p oses of inland waterway vessels of net power less than

19 kW;

(f) w a ter craft as defined by p oi n t ( 1) of A r ti c le 3 of Directive 2013/53/EU of the

European Parliament and of the Council 17;

(g) aircraft as d e f i n e d b y p o i n t ( a) of A r ti c le 2 of Co m m is s ion R e g u lation ( EU) No

1321/201418;

(h) any recreational vehicles, except snowmobiles, all-terrain vehicles and side-by-side

vehicles;

(i) vehicles and machinery exclusively u s e d or intended to be e x c l u sively u s e d

in competition;

(ia) p o r table f ir e- f ig h ting p u m p s d e f i n e d b y a n d re f erre d t o in E u r o p e an s tan d a r d E N -

14466;

(j) reduced-scale models or reduced-scale replicas of vehicles or machiner y wher e those

models or replicas have a net power of less than 19 kW.

16 Dire c t i v e 2006/87 / EC of the E u rope a n Parl i a m e n t a n d of the Co u n c i l of 12 Dece m b e r 2006 layi n g down te c hn ical r e q u ire m en ts for i n l a n d w aterway ve ssels a n d re p e al in g Co u n c il Dire c t i v e 82/714 / EEC ( OJ L 389, 30.12.2006, p.1 ) .

17 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).


18 C o m m is s i o n R e g u la t ion (EU) No 1321/2014 of 2 6 No ve m b e r 2014 on t h e c o n t inu i n g air w ort h i n e ss of ai r c raft a n d a e ro n a u t i c al pro d uc ts, parts a n d appl i a n ce s , a n d on t h e appro v al of orga n isa t io n s a n d p e rso nn e l in v olv e d in t h e se tasks ( OJ L 362, 17.12.2014, p.1)

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Article 3

Definitions

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

(1) “non-road mobile machinery” means any mobile machine, transportable equipment or vehicle

with or without 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 the f ol l o w i n g p ol lu t a n ts in gas e o u s sta t e e m i t te d f r o m t h e

e n gi n e : carbon monoxide (CO), total hydrocarbons (HC) and oxides of nitrogen (NOx), the

last being nitric oxide (NO) and nitrogen dioxide (NO2), expressed as nitrogen dioxide (NO2 )

equivalent;

(3a) "p a r ti c u late p ol lu tant s " m e a n s a n y m a t t e r em it te d f r om the e n gi n e t h at is m e as u re d as

PM o r PN;

(4) “p articulate matter” o r “ PM” means the m ass of any material in t h e gas e m i t t e d f r o m

t h e e n gi n e t h at is collected on a specified filter medium after diluting the g as with clean

filtered air so that the temperature does not exceed 325 K (52 °C);

(5) “p article n umber” o r “ PN” means the number of solid particles e m it t e d f r om the e n gi n e

with a diameter greater than 23 nm;


(6) “in t e r n al co m b u stion e n gin e ” (“engine”) means an energy converter other than a gas

turbine d e sig n e d t o t r a n s f o r m ch e m ical e n er gy (in pu t) i n to mec h a n ical e n er gy ( o u tp u t)

w ith a n i n t e r n al c o m bu stion p r o ce ss; it includes, w h er e t h ose ar e i n stalled, the emission

control system and the communication interface (hardware and messages) between the engine

electronic control unit(s) and any other powertrain or vehicle control unit necessary to comply

with Chapters II and III;

(7) “engine type” means a g r o u p 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;

(9a) “replacement engine” means an engine that:

(a) is ex c l u sively u s e d t o re p lace an e n gi n e alr e a d y p lac e d on t h e m a r k e t and i n stalled i n

a n on -road mob il e mach in ery, an d

(b) c o m p l i e s w ith an em is s ion stage w h ich i s l o w e r t h an t h e o n e a pp l ic a b le on the date

of th e rep lace men t of th e en gin e;

(9b) " i n - s er vice e n gi n e " mea n s an e n gi n e t h at is o per a te d ov e r its n o r m al o p er a t i n g p a t t e r n s,

c o nd itio n s a n d p aylo a d s a n d u s e d t o p er f o r m th e e m is s ion m o n ito r i n g t e sts r e f erre d t o

in Article 18;

(10) “compression ignition engine” or “ CI e n gi n e ” means an engine that works on the

compression-ignition ("CI " ) principle;

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(11) “spark ignition engine” o r “ S I engi n e ” means an engine that works on the spark-ignition

("S I" ) 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;

(14) “liquid fuel” means a fuel which exists in the liquid state under standard ambient conditions

(298K, ab solu te a mb ient p ressu re 101,3 k Pa);

(15) “gaseous fuel” means any fuel which is wholly gaseous at standard ambient conditions

(298K, ab solu te a mb ient pressu re 101,3 k Pa) ;

(16) “G ER ” (Gas Energy Ratio) means, in the case of a dual-fuel engine, the ratio of the energy

content of the gaseous fuel over the energy content of both fuels; in the case of 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;

(18) “constant-speed engine” means an engine whose E U type-approval is limited to constant-

speed operation, excluding engines whose constant-speed governor function is removed or

disabled; it may be provided with an idle speed that can be used during start-up or shut-down

a n d it may be equipped with a governor that can be set to an alternative speed when the

engine is stopped;

(19) “constant-speed operation” means an 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 h avi n g a re f ere nc e p o w e r less t h an 19 k W

and 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 k g 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) deleted

(22) “auxiliary engine” means an engine installed or intended to be i n stalled in a non-road

mobile machiner y that does not d ir ec tly or i nd ir ec tly p r ovi d e p r o pu ls i o n ;

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(23) “net power” means the engine power in k W 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 or fu el co mb in ation set out in Article 24(2);

(24) “reference power” means the net power that is used to determine the applicable emission

limit values for the engine;

(25) “rated net power” means net power in k W 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 m ax i m u m fu ll load s p ee d al l o w e d b y the gov er n o r , as d e sig n e d

b y the m a nuf a c tur e r , o r , if s u c h a gov er n or is n ot p re s e n t, t h e s p ee d a t wh ich m axi m u m

n et pow er is attain ed b y th e en gin e, as sp ecif ied b y the manuf acturer ;

(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 24 months following the date s e t out in An n e x III for the

p laci n g on t h e m a r k e t of Stage V e n gi n e s ;


(30) “transition engine” means an engine that has an engine production date that is prior to

the dates for placing on the market of engines s e t out in An n e x III and that meets any

of the following requirements:

(a) it is in c o m p l i a n c e with the latest applicable emission limits defined in the relevant

legislation applicable on …*

(b) it f al l s w i t h in a p ow e r r a n ge o r is u s e d or i n t e nd e d f or u se in an a p p l i c a t ion t h at w as

n ot s ub j e c t t o p ol lu tant e m is s ion l i m its a n d t y p e - a pp r oval at Union level on …* ;

(31) “n o n -r oad m o b i l e machine production date” means the m o n th a n d year indicated on the

statutory marking of the machine or, in the absence of a s ta t u to r y marking, the m o n th

a n d

year in w h ich the machine passes the final check after it has left the production line;

(32) “inland waterway vessel” means a c raf t 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;

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* [OJ: please i n s e rt da t e of the day b e fo r e t h e e n t r y i n to for c e of this R e g u la t io n ]


(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” o r “ r e du ce d - s c ale 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 a n d tools but excluding optional accessories a n d t h e

d river);

(38) “all-terrain vehicle” or " ATV" means a motorised vehicle, propelled by an engine, intended

primarily to travel on unpaved surfaces on four or more wheels with low-pressure tyres,

having a seat designed to be straddled by the driver only or a seat designed to be straddled by

the driver and a seat for no more than one passenger, and handlebars for steering;

(39) “side-by- s ide vehicle” o r “ 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 but excluding optional accessories a n d t h e d r iver ) 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 carryi n g no more than six people including

the driver, sitting side by side on one or more non-straddle seats;

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(40) “railcar” means a railway vehicle designed to provide, either directly through its own wheels

or indirectly through the wheels of other railway vehicles, the motive power for propelling

itself, and 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 or locomotive,

including but not limited to a railway vehicle specifically designed to perform maintenance or

construction work or lifting operations associated with the track or other infrastructure of the

railway;

(43) “railway vehicle” means a non-road mobile machiner y that operates exclusively on railway

tracks;

(43a) “ m obile cr an e ” m e ans a self - p o w ere d j ib cr a n e c a p a b le of tr av e l l i n g o n -r oad

a n d /or o f f - r oad re ly in g on g r avity f or stab i l i ty a n d o p er a t i n g on t y re s, c r a w le r s or w ith

ot h e r

mob il e ar ran ge men ts ;

(43b) “snow t h r ow er ” me ans a self - p o w ere d m a c h i n e t h at is ex c l u sively d e sig n e d f or

c lea r i n g s n ow f r om a p av e m e n t s u r f a c e b y c ol l ec ting a s w a t h o f s n o w a n d p r o jec ting it

f o rce fu l l y through a c hu t e ;


(44) “making available on the market” means any supply of an engine or n o n - r oad m o b i l e

m a c h i n er y 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 or n o n -r oad

m o b i l e m a c h i n er y on the Union market;

(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 EU typ e-approval process;

(47) “manufacturer’s representative” or “r e p re s e n ta tiv e ” means any natural or legal person

established in the Union who is duly appointed by the manufacturer b y a w r it te n m a nd a t e

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 from a third country, whether or not the engine is already installed in n o n -

road mob il e machinery;

(49) “distributor” means any natural or legal person in the supply chain, other than the

manufacturer or the importer, who makes an engine available on the market;

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(50) “economic operator” means the manufacturer, the manufacturer’s representative, the importer

or the distributor;

(51) “original equipment manufacturer” o r “ OEM” means a manufacturer of non-road

mobile machinery;

(52) “approval authority” means the authority of a Member State established or appointed and

notified to the Commission by the Member State a n d h av i n g competence for:

(a) all aspects of the EU type-approval of an engine type or of an engine family;

(b) the authorisation process;

(c) issuing and, if appropriate, withdrawing or refusing EU typ e- approval certificates;

(d) acting as the contact point for the approval authorities of other Member States;

(e) designating the technical services; and

( f ) ensuring that the manufacturer meets 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;


(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 o r of n o n -r oad

mob il e ma ch in ery i n whi ch en gin es are in stalled ;

(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 non-road mobile

machinery;

(58) deleted

(59) deleted

(60) deleted

(61) deleted

(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;

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(63a) “e m ission c ont r ol st r a te gy” me ans an e le me n t or a se t of e le m e n t s of d e sign t hat is

i n c o r p o r a te d i n to t h e o v er all d e sign of an e n gi n e or n o n -r oad m o b i l e m a c h i n er y in

w h ich the e n g i n e is in s t al l e d a n d u s e d in c o n t ro l l i n g e m is s io n s;

(64) deleted

(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, w ith t h e e x ce p tion of

e x h a u st gas rec i r c u lation a n d t u r b o c h a r g er s, that is part of the emission control system but

is installed downstream of the engine exhaust p o r ts ;

(67) “exhaust gas recirculation” or “ 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 s u c h a system, 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) deleted

(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 e x h a u st 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) deleted

(79) deleted

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Article 4

Engine categories

1. For the purposes of this Regulation, the following engine categories, subdivided into

the sub-categories set out in Annex I, apply:

(1) ‘c ategory NRE’:

(a) engines for non-road mobile machinery intended and suited to move, or to be

moved, by road or otherwise, that are not excluded under Article 2(2) and are not

included in any other category set out in points (2) to (10) of th is p aragrap h ;

(b) engines h avi n g a reference power of less than 560 kW used in place of S t a ge V

engines of categories IWP, IWA, RLL or RLR;

(2) ‘category NRG’ : engines having a reference power that is greater than 560 kW

exclusively for use in generating sets;

Engines for generating sets other than those having the characteristics set out in the first

s e n t e n c e of t h is p oi n t a r e included in the categories NRE or NRS, according to their

characteristics;

(3) ‘category NRSh’: hand-held SI engines having a reference power that is less than 19

kW exclusively for use in hand-held machinery;

(4) ‘ category NRS’: SI engines having a reference power that is less than 56 kW and

not included in category NRSh;


(5) ‘ category IWP’:

(a) engines exclusively for use in inland waterway vessels, for their d ir ec t or

i nd ir ec t propulsion, or intended for their d i r ec t o r i nd ir ec t propulsion, having a

reference power that is greater than or equal to 19 kW;

(b) engines used in place of engines of category IWA subject to complying with

the requirements of Article 23(8);

(6) ‘c ategory IWA’ : a u xi l iary engines exclusively for use in inland waterway vessels, having

a net power that is greater than 19 kW.

(7) ‘c ategory RLL’: engines exclusively for use in locomotives, for their propulsion or

intended for their propulsion;

(8) 'category RLR', comprising:

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

propulsion;

(b) e n gi n e s u s e d in p lace of S tage V e n gi n e s of c a te go r y RL L ;

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(9) ‘c ategory SMB’: SI engines exclusively for use in snowmobiles.

Engines for snowmobiles other than S I engin es are included in the category NRE;

(10) ‘c ategory ATS’: SI engines exclusively for use in all terrain and side-by-side vehicles

(ATVs and SbS).

Engines for ATVs and SbS other than S I engin es are included in the category NRE.

2. A va r ia b le - s p ee d engine of a particular category may be used in place of a c o n stan t - s p ee d

engine of the same category. Variable-speed engines of category IWP used f or constant-speed

op eration shall additionally comply with Article 23(7) or Article 23(8), as applicable.

3. Engines for auxiliary railw ay vehicles and auxiliary engines for railcars a n d loco m o t i v e s a r e

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 and the market surveillance

authorities in accordance with this Regulation.

2. M e m b e r S t a t e s s h all n o t i f y the Co mm is s ion of t h e e stab l is h m e n t and a pp oi n t m e n t of the

approval and market surveillance authorities r e f e r re d t o in p a r ag r a p h 1, includi n g their

name, p ostal address an d electronic address, and area of responsibility.

The Commission shall publish a list and details of the approval authorities on its w eb site.

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

(a) engines that are covered by a valid EU type-approval granted in accordance with this

Regulation, w h ether or n ot alread y in stalled i n n on -road mob il e mach i n ery ;

(b) n o n -r oad m o b i l e machinery in which a r e i n stalled engines that are covered by a valid

EU type-approval granted in accordance with this Regulation.

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

(a) engines on grounds related to aspects of their construction and functioning covered by

this Regulation, if those en gin es satisfy its requirements;

(b) n o n -r oad m o b i l e m a c h i n er y on g r o und s r e lat e d t o as p ec ts of gas e o u s a n d

p a r ti c u late p ol lu tant e m is s io n s f r om e n gi n e s i n stalled i n s u c h m a c h i n er y, w h er e

those en gin es f all w ithin th e scope of th is Regulation an d satisf y its requ iremen ts.

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.

Article 6

Obligations of approval authorities

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

with this Regulation.

2. Approval authorities shall grant EU type-approval only to the engine types or engine families

that c o m p ly w ith this Regulation.

3. Approval authorities shall make public, by means of the I n t e r n al Ma r ke t I nf o r m a t ion

S yst e m e stab l is h e d b y R e g u lation ( EU) No10 2 4/2012 of t h e E u r o p e an P a r l i a me n t and of

the C o un c il ( " I M I " ) , a register of all engine types and engine families for which EU type-

approvals h ave b ee n g r a n t e d , e x te nd e d or w ith dr a w n , or in re s p ec t of wh i c h a p p l i c a t ion

f or EU t y p e - a pp r oval h as b ee n r efu s e d .


Th e register sh all contain at least the following information:

(a) n ame an d add ress of th e manuf acturer an d n ame of co mp an y, w h ere d iff eren t;

(aa) trade mark (s ) belongin g to the manuf acturer;

(b) designation of the e n gi n e s types c ov e re d b y the EU t y p e - a pp r oval of th e e n gi n e t y p e

or, w h ere app li cab le, of the en gin e f amil y;

(c) engine category;

(d) number of the E U type-approval in clud in g, if an y, th e nu mb er of its exten sion (s);

(e) date of the EU type-approval; and

( f ) the c o n t e n t of t h e sections " G e n er al eng in e i nf o r m a t io n " a n d " F i n al em is s ion

resu lt" of th e test rep or t ref er red to in Articl e 21(9).

Article 7

Ob li gations of market surveillance au thorities

1. Market surveillance authorities shall perform, on an adequate scale and on the basis of an

adequate pe r c e n tage of 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.

2. Market surveillance authorities may require economic operators to make such documentation

and information available as is deemed necessary for the purpose of carrying out their

activities.

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Article 8

Gene ral obligations of manufacturers

1. Manufacturers shall ensure that when their engines are placed on the market, they are

manufactured and approved in accordance with this Regulation.

1a. W h er e m a nuf a c tur e r s m o d i f y an e n gi n e wh i c h is sub j e c t t o EU typ e - a pp r oval i n s u c h a

m a nn e r that it s ub s e q ue n tly q u al i f ies t o b e lo n g t o a d if f ere n t c a t e go r y or s u b -c a te go r y,

they s h all b e re s p o n si b l e f or e n s u r i n g the c o m p l i a n c e of t h at e n gi n e with the

requ ire men ts app li cab le to that ca tegory o r su b -category.

W h er e a n y legal p er son m o d i f ies an e n gi n e in s u c h a w ay that t h e e m i s sion l i m its

a pp l i c a b le t o that e n gi n e a cc o r d i n g to i t s ca te g o r y or s ub c a te g o r y a r e n o lo n g e r

c o m p l i e d w ith, t h at p e r son s h all b e c o n si d ere d re s p o n si b le f or e n s u r i n g c o m p l i a n c e w ith

those e miss ion li mits.

2. deleted

3. deleted

4. Manufacturers shall be responsible to the approval authority for all aspects of the EU t y p e-

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. Manufacturers shall ensure that procedures are in place for series production to remain in

conformity with the approved type a n d f or m o n i t o r i n g e m is s io n s of i n - s er vice e n gi n e s in

accord an ce w ith Article 18 .

Changes in the design or in t h e characteristics of an e n gi n e t y p e and changes in the

requirements to which an engine type is declared to conform shall be taken into account in

accordance with Chapter VI.

6. In addition to the sta t u to r y marking affixed to their engines in accordance with Article 31,

manufacturers shall indicate their name, registered trade name or registered trade mark and

the address in the Union at which they can be contacted on t h e ir e n gi n e s p lac e d on t h e

ma rk et or, where that is not possible, in a document accompanying the engine.

6a. M a nuf a c tur e r s s h all p r ovi d e up on re aso n e d re qu e st t h e O E M w ith a d up l i c a t e of t h e

statu tory ma rk in g ref erred to in Article 14a (3a ).

7. Manufacturers shall ensure that, whilst they are responsible for an engine, storage or transport

conditions do not jeopardise its compliance with th is Chapter and Chap ter III.

8. M a nuf a c tur e r s s h all k e e p t h e EU t y p e a pp r oval c er ti f ica t e w ith i ts a t t a c h me n t as

re f er r e d t o in A r ti c le 2 2 (1) a nd , w h er e a pp l i c a b le, a c o p y of t h e sta t e m en t of c o nf o r m ity

re f er r e d t o in A r ti c le 30 at t h e d is p osal of t h e a pp r oval a u thori t ies f or a p er iod of 10

years af ter th e p lacin g on th e ma rk et of an en gin e.

9. M a nuf a c tur e r s s h all p r ovi d e a n a t io n al a u t h o r ity w ith a c o p y of t h e EU t y pe - a pp r oval

cer ti f ica t e f or an e n gi ne , t h r o u gh t h e a pp r oval a u thori t y, up on re aso n e d re qu e st. T h at

cer ti f ica t e s h all b e in a la n g u age wh i c h c an b e e asi l y u n d er stood b y the re qu e sti n g

a u thori t y.

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10. For the purpose of EU t y p e - approval of engines, manufacturers established outside the Union

shall appoint a single representative established within the Union to represent them in their

dealings with the approval authority.

11. F or the p u r p ose o f m a rk e t surv e i l la n ce , manufacturers established outside the Union shall

appoint a single representative established within the Union, which may be the representative

referred to in paragraph 1 0.

Article 9

Obligations of manufacturers concerning their en gin es 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. Ba s e d

on t h e o u t c o m e of t h e i n v e stiga t io n , m a nuf a c tur e r s shall take corrective m e as u re s to

ensure that engines in production are brought into conformity with the approved type or

family in a timely manner.

T h e m a nuf a c tur e r s h all im me d iat e ly inf o r m t h e a pp r oval a u thori t y that g r a n t e d t h e EU

typ e- a pp r oval, g i vi n g de tails, i n p a r ti c u lar, of t h e n o n -c o nf o r m ity and of a n y c o rrec tive

me as u re s ta k e n .


2. No t w ith s tan d i n g p a r a g r a p h 1, m a nuf a c tur e r s s h all n ot b e re qu ir e d t o take c o r r e c tive

me as u re s in re s p e c t of an e n gi n e wh i c h is n ot in c o nf o r m ity w ith t h is R e g u lation as a

re s u lt of m o d i f ica t io n s m a d e a f ter t h e e n gi n e h as b ee n p lac e d on t h e ma r k e t that have

n ot b een au thorised b y the manuf acturer.

3. deleted

4. deleted

Article 10

Obligations of manufacturers' representatives f or market surveillance

Manufacturers' representatives for market surveillance shall perform at l e a st the f ol l owi n g tasks

w h ich sh all b e specified in the w ritten mandate received from the manufacturer:

(a) e n s u r e t h at the EU t y p e - a pp r oval c er ti f ica t e w ith i ts a t ta c h m e n ts as referred to in

Article 22(1) and, w h er e a pp l i c a b le, a c o p y o f t h e sta t e me n t of conformity referred to

in Article 30 can be m a d e avai l a b le the approval authorities for a period of 10 years

after the placing on the market of an engine;

(b ) provide the a pp r oval authority with all the information and documentation necessary to

demonstrate the conformity of production of an engine, up on re aso n e d re q u e s t ;

(c) cooperate with the approval or market surveillance authorities, at their request, on any

action taken.

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Article 11

Gene ral obligations of importers

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

approval.

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

(a) the EU t y p e- a pp r oval c er ti f ica t e w ith i ts a t ta c h me n ts as re f e r re d t o in A r ti c le 22 is

available;

(b) the engine bears the required statu tory marking r ef erred to in Arti cle 31 ;

(c) the en gin e complies with Article 8(6).

3. For a period of 10 years after the placing on the market of the engine, i m p o r t e r s s h all

keep, w h er e a pp l i c a b le, a copy of the s ta t e me n t of conformity r e f er r e d t o in A r ti c le 30

at the disposal of the approval and market surveillance authorities, and ensure that the EU

t y p e- a pp r oval c er ti f ica t e w ith i ts a t ta c h m e n ts as re f er r e d t o in A r ti c le 22 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 that is not possible, in a

document accompanying the engine.


5. Importers shall e n s u r e th at t h e e n gi n e is ac c o m p a n ied b y the information and instructions

ref err ed to in Article 41.

6. Importers shall ensure that, whilst they are responsible for an engine, storage or transport


7. I m p o r t e r s s h al l , up on re aso n e d re qu e st, provi d e t h e re qu e sti n g n a t io n al a u thori t y w ith

all t h e i nf o r m a t ion a n d d o c u m e n t a tion n ece ss a r y to d e m o n st r a te t h e c o nf o r m ity of an

e n gi n e . T h at i n f o r m a t i o n a n d d o c u m e n ta t ion s h all b e in a la n g u age wh i c h c an b e e asi l y

und erstood b y the req uestin g n ation al au thority.

Article 12

Obligations of importers concerning en gin es that are not in conformity

1. Importers that consider or have reason to believe that an engine is not in conformity with this

Regulation, and in particular that it does not correspond to its E U type-approval, shall not

p lace the engine on th e ma rk et until it has been brought into conformity.

I m p o r t e r s shall inform, w itho u t un d u e d e lay, the manufacturer and the market surveillance

authorities, as well as the approval authority that has granted the EU type - approval ther e o f .

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2. Importers that 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.

Based up o n t h e o u t c ome of t h e i n v e stiga t io n , i m p o r t e r s shall take corrective m e as ur e s

a n d i n f o r m t h e m a nuf a c tur e r ther e of to ensure that engines in production are brought into

conformity with the approved type or family in a timely manner.

3. deleted

Article 13

Gene ral o bligations 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:

(a) the engine bears the required statutory marking ref erred to in Article 31 ;

(b) the required i nf o r m a t i o n a n d instructions re f er r e d t o in A r ti c le 41 a r e available in a

language that is understandable to the OEM;

(c) w h ere app li cab le, the importer h as complied with Article 11(2) and (4);

(d) the m a nuf a c tur e r h as c o m p l i e d w ith A r ti c le 8 ( 6) a n d Article 31(1) and (2).


3. Distributors shall ensure that, whilst they are responsible for an engine, storage or transport


4. Dist r i bu to r s s h al l , up o n a re aso n e d re qu e st, e n s u r e t h at t h e m a nuf a c tur e r p r ovi d e s the

re qu e sti n g n a t io n al a u t h o r ity w ith t h e i n f o r m a tion sp ec i f ied i n A r ti c le 8 ( 8) or t h at the

i m p o r t e r p r ovi d e s the r e qu e sti n g n a t io n al a u t h o r ity w ith t h e i n f o r m a t i on s p ec i f ied i n

Article 11 (3).

Article 14

Obligations of distributors concerning en gin es that are not in conformity

1. Where distributors consider or have reason to believe that an engine is not in conformity with

this Regulation, they shall not m a k e the engine a v ai l a b le on the m a r k e t until it has been

brought into conformity.

2. Distributors who consider or have reason to believe that an engine which they have m a d e

avai l a b le on the m a r k e t 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 or Article 12.

3. deleted

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Arti cle 14a

Sp ecif ic obligation s of OE Ms concern in g the in stallation of en gin es

1. O E M s s h all i n stall E U t y pe - a pp r ov e d e n gi n e s i n n o n -r oad m o b i l e m a ch i n er y in

a cc o r d a n c e w ith t h e i n st r u c tions p r ovi d e d b y the m a nuf a c tur e r pu r s u a n t t o A r ti c le

41(2) a n d in a m a nn e r th a t do e s n ot a d v er s e ly a f f ec t t h e e n gi n e 's p er f o r m a nc e w ith

regard to its gaseou s an d p articu late e miss ion s.

2. W h er e an O E M d o e s n ot f ol l o w t h e i n st r u c tio n s r e f er r e d t o in p a r ag r a p h 1 of t h is

A r ti c le, o r m o d i f ies an e n gi n e in t h e c o u r se of i ts i n stallation i n to a n o n -r oad m o b i l e

m a c h i n er y in a m a nn e r that adve r s e ly a f f ec ts t h e e n gi n e 's p er f o r m a nc e w ith r e ga r d t o

its gas e o u s a n d p a r ti c u l a t e e m is s io n s, that O E M s h all b e c o n si d ere d t o b e a

m a nuf a c tur e r f or t h e p u r p oses of t h is R e g u lat i on a n d s h al l , i n p a r ti c u l a r , b e s ub j e c t t o

the ob li gations laid d own i n Articles 8 and 9.

3. O E M s s h all i n stall E U t y pe - a pp r ov e d e n gi n e s i n n o n -r oad m o b i l e m a ch i n er y o n ly i n

accord an ce w ith th e exc lu sive use p rovid ed f or in Article 4;

3a. W h er e t h e st a tuto r y m a r k i n g of t h e e n g i n e re f erre d t o in A r t i c le 31 is n ot vis ib le w ith o u t

r e m ovi n g p a r ts, t h e O E M s h all af f ix on t h e n o n -r oad m o b i l e m a c h i n e r y, in a visi b le

m a nn er , a dup l i c a t e of t h e m a r k i n g as set o u t in A r ti c le 31 a n d t h e r e l e va n t

imp le men ting act, provid ed b y the en gin e manuf acturer.

3 b . W h er e n o n -r oad m o b i l e m a c h i n er y w ith an i n stalled t r a n sition e n gi n e i s p lac e d on t h e

m a r k e t in a cc o r d a n c e w ith A r ti c le 57 ( 5 ) , O E M s s h all i n d ica t e t h e n o n -r oad m o b i l e

m a c h i n er y p r o du c tion d a t e as p a r t of t h e m a ch i n e m a r k i n g.


4. W h er e an e n gi n e is d e l i v ere d sepa r a t e ly f r o m its e x h a u st a f t e r - tr e a t m en t sys t e m t o an

O E M in a cc o r d a n c e w ith A r ti c le 32 ( 2 ), t h e O E M s h al l , whe r e a pp l i c a b le, provi d e t h e

m a nuf a c tur e r w ith t h e i nf o r m a t ion re lati n g to th e ass e m b ly of t h e e n g i n e a n d its e x h a u st

af ter-treat men t syste m.

Article 15

App li cation of manufacturers' ob li gations to importers and distributors

An importer or distributor that makes an engine available on the market under its name or

trademark, or that modifies s u c h an engine in a way that compliance with the applicable

requirements may be affected, s h all b e c o n si d ere d t o b e a m a nuf a c tur e r f or t h e pu r p oses of t h i s

R e g u lation a n d s h a l l , in p a r ti c u lar, be su b j e c t t o the o b l i gations o f a m a nuf a c tur e r la i d d o w n

in Articles 8 and 9.

Article 16

Identification of economic operators

Economic operators a n d O E M s shall, up on request, identify a n d n o t i f y 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 o r , w h er e i d e n ti f ia b le, OEM to whom they have supplied

an engine.

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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 la i d d o w n in Chapter II and this

Chapter.

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

re levant i m p l e m e n ting act, one engine family covers more than one power r a n ge , the parent

engine (for the purposes of the EU type-approval) and all engine types within the same family

(for the purposes of conformity of production) shall, with respect to the applicable power

ran ges:

(a) meet the most stringent emission limit values;

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

values;

( c ) be subject to the earliest applicable dates for the EU type-approval and placing on the

market set out in Annex III.


3. The exhaust emissions of engine types and engine families shall be measured on the basis of

the test cycles set out in Article 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 a n d f it te d w ith e m is s ion c o n t r ol

st r a te gies in s u c h a w ay as to pr e v e n t t a m p er i n g to t h e e x t e n t possi b le. T h e u se of d e f e at

strategies sh all b e p roh ib ited .

5. The Commission shall adopt i m p l e m e n ting lay in g d own the detailed technical specifications

relating to the parameters used for the definition of engine types and e n gi n e families,

i n c l ud i n g th e ir ope r a t ion m o d e s, and the detailed technical provisions to resist tampering as

referred to in paragraph 4. Those i m p l e m e n ting acts shall be adopted in a c c o r d a n c e w ith

t h e e x a m i n a t ion p r o ce du r e re f er r e d t o in A r ti c le 5 4 (2) by 31 December 2016.

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Article 18

Monitoring of emissions of in-service engines

1. F or e n gi n e t y p e s or e n g i n e f a m i l ies of e m is s ion S tage V typ e- a pp r ov e d in a cc o r d a n c e

w ith t h is R e g u lati o n , the gaseous pollutant emissions shall be monitored by testing i n -

s er vice engines installed in non-road mobile machinery operated over their normal operating

duty cycles. Such testing shall be conducted, und e r t h e re s p o n si b i l ity of t h e m a nuf a c tur e r

in c o m p l i a n c e w ith t h e re qu ir e m e n ts of t h e a pp r oval a u thori t y, on engines that have been

correctly maintained and shall comply with the provisions on the selection of engines, test

procedures and reporting of results for the different engine categories.

The Commission shall conduct pilot programmes with a view to developing appropriate

testing procedures for those engine categories and sub-categories for which such testing

procedures are not in place.

T h e Co m m is s ion s h all c o ndu c t m o n ito r i n g p r og r a m m e s to d e te r m i n e t o w h at e x te n t, f or

e v er y e n gi n e c a te go r y, th e e m is s io n s m e as ur e d f r om t h e t e st c y c le c o r r e s p o n d t o the

e m i s sio n s m e as ur e d in a c tual o p er a t io n . T h ose prog r a m m e s a n d t h e ir re s u lts s h all

a nnu a l ly b e t h e s ub j e c t of a p re s e n ta t ion t o the M e m b e r S t a t e s a n d s u b s e qu e n tly of a

co mmun ication to the pub li c.

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.

A s e p a r a t e a pp l i c a t ion s h all b e s u b m it te d f or e a c h e n gi n e t y p e or e n gi n e f a m i l y to be

a pp r ov e d .

O n ly o n e a p p l i c a t ion s h all b e s ub m it te d in re s p ec t of a p a r ti c u lar e n gi n e t y p e o r , w h er e

app li cab le, en gin e f amil y, an d it sh all b e sub mitted to on ly on e Me mbe r S tate.

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 EU t y p e - approval tests.

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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 of t h is A r ti c le , the application submitted does not fully represent the engine family

described in the information folder re f e r re d t o in A r ti c le 2 0 , 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 EU typ e- approval.

3a. M a nuf a c tur e r s s h all s u b m it t o the t y p e a pp r o v al a u thori t y that has grant e d a pp r oval of

an e n gi n e t y p e o r , w h er e a pp l i c a b le, e n gi n e f a m i l y, w ith i n o n e m o n th of t h e s t a r t of

p r o du c tion of t h e a p p r ov e d e n gi n e t y p e or e n gi n e f a m i l y, the initial p l a n f or m o n ito r i n g

in -service en gin es.

4. deleted


Article 20

Information folder

1. The applicant shall provide the approval authority with an information folder.

2. The information folder shall include the following:

(a) an information document, i n c l ud i n g a l i st o f re f ere n c e fu e ls a nd , w h er e re qu e st e d b y

the e n gi n e m a nuf a c ture r , oth e r s p ec i f ied f u e ls i n a cc o r d a n c e w ith A r ti c le 24 ( 2) a n d

d escrib ed in accord an ce w ith th e d elegated act ref err ed to in Article 2 4(4);

(b) all relevant data, drawings, photographs and other information in relation to the e n gi n e

type or, w h ere app li cab le, th e p aren t en gin e ;

(c) any additional information requested by the approval authority in the context of the EU

type-app roval 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.

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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 c o m p ly in g with all of the following:

(a) the particulars in the information folder;

(b) the requirements of this Regulation;

(c) the conf ormity of production arrangements referred to in Article 25.

2. Approval authorities shall not impose any other E U 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. A f t e r t h e d a te s f or t h e EU t y pe - a pp r oval of en gi n e s r e f erre d t o in An n e x III f or e a c h

e n gi n e s u b -c a te go r y, approval authorities shall not grant an EU type-approval to an engine

type or engine family that does not meet the requirements lai d d ow n in this Regulation.

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. By mean s of IMI the approval authority of each Member State shall:

(a) m a k e avai l a b le to the approval authorities of the other Member States a list of the EU

type-approvals it has granted o r , w h er e a pp l i c a b l e , e x te nded , w ith i n o n e month

of is su i n g the c o rre s p o nd i n g EU typ e - a pp r oval c er ti f ica t e ;

(aa) m a k e avai l a b le w itho u t delay t o the a pp r oval a u thori t ies of t h e oth e r M e m b e r

S ta te s a list of t h e EU t y pe - a pp r ovals it has re f u s e d or w ith d r a w n , t og e ther w ith

the r e aso n s f or its d ec is i o n ;

(b) s e n d w i t h in o n e m o n th of rece iv in g a re qu e st f r om the a pp r oval a u thori t y of

a n o t h e r M e m be r S ta te , a c o p y of t h e e n gi n e t y p e or e n gi n e f a m i l y EU t y p e -

a pp r oval c er ti f ica te , w h er e t h is exists, to g e th e r w ith t h e i n f o r m a t ion p a c k age

re f er r e d t o in p a r ag r a p h 9 f or e a c h e n gi n e t y p e or e n gi n e f a m i l y w h ich it has

app roved , refu sed to app rove or w ithd raw n ;

6. deleted

7. deleted

8. deleted

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9. The approval authority shall put together an information package consisting of the

information folder accompanied by the test report and all other documents added by the

technical service or by the approval authority to the information folder in the course of

carrying out their functions ("the inf ormation p ack age") .

An ind e x to the information package shall list its contents, suitably numbered or otherwise

marked so as to identify clearly all the pages and the format of each document, in o r d e r 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 the information contained in the information package

available for a period of at least 25 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 t e st re p o r t to be filled for each engine type or, w h er e

a pp l i c a b le, 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 templates an d d ata stru cture for the exch an ge of d ata referred to in paragraph 5.

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) deleted

(c) w h er e a pp l i c a b le, the name(s) and specimen(s) of the signature(s) of the person(s)

authorised to sign st a te me n ts of conformity and an i n d ica t ion of their position in

the company.

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

3. In respect of each engine type or en gin e f amil y a pp roved , the approval authority shall:

(a) complete all the relevant sections of the EU type-approval certificate a n d at t a c h the test

rep ort;

(b) compile the index to the information package;

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

delay.

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4. W h er e an EU type-approval which, in accordance with Article 33, h as b ee n m a d e s ub je c t t o

restrictions as to its validity, or h as b ee n e x e m pte d f r om certain re qu ir em e n ts of this

Regulation, the EU type-approval certificate shall specify those restrictions or exe mp tions .

5. The Commission shall be empowered to adopt by means of implementing acts the template

for the EU type-approval certificate re fe rre d t o in p a r ag r a p h 2 . 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 measurement a n d t e st procedures and the specific equipment and tools prescribed to

condu ct 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 c o ndu c t e d on engines which are representative of the e n gi n e type

or, w h ere app li cab le, of th e p aren t en gin e of th e en gin e f amil y to be approved.

Notwithstanding the first sub-paragraph, the manufacturer may select, in agreement with the

approval authority, an engine which, while not representative of the e n gi n e type o r , w h er e

a pp l i c a b le, o f t h e p a re n t e n gi n e of t h e e n gi n e f a m i l y 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 engine r e p re s e n ta t i ve of t h e e n gi n e t y p e o r , w h er e a pp l i c a b le, o f th e p a re n t e n gi n e of

the e n gi n e f a m i l y shall be tested on a dynamometer using the applicable n o n -r oad st e a dy -

sta t e test cycle identified in Tables IV-1 to IV-10 of An n e x I V . 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 re f er r e d t o in paragraphs 7 and 8, a variable-speed engine of a

particular category used in a constant-speed o p er a tion of the same category n ee d n ot be

tested using the applicable constant-speed steady-state test cycle.

6. In the case of a constant- speed engine with a governor that can be set to alternative speeds,

the requirements of paragraph 5 shall be fu l f i l led at each applicable constant speed and the

EU type-approval information document shall indicate the speeds that apply for each engine

type.

7. In the case of an engine of category IWP intended to be used for both variable speed and

constant-speed o pe r a t i o n , 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 that requirement was fulfilled.

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8. In the case of an engine of category IWP that is intended for use in place of an engine of

category IWA in accordance with Article 4(2 ) , 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 E U 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 of t h is A r ti c le, also be

tested on a dynamometer using the transient test cycle identified in Table IV-11 of Annex IV.

10. Engines of sub-categories NRS-v-2b and NRS-v-3 having a maximum speed of less than or

equal to 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.


laying down the detailed technical specifications and characteristics of the steady-state and

transient test cycles referred to in this Article, i n c l ud i n g the c o rre s p o nd i n g m e thod f or t h e

d e t e r m i n a t ion of t h e e n gi n e load a n d s p ee d se t ting s . 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-appoval. 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. T h e f i n al exha u st e m is s ion te st re s u lts f or e n gi n e s s ub j e c t t o this R e g u lation s h all b e

c alcu l a te d b y a pp ly i n g to t h e la b o r a t o r y t e st r e s u lts all of t h e f ol l o w i n g:

(a) w h er e re qu ir e d b y p a r ag r a p h 3 a n d w h er e n ot alr e a d y i n c l ud e d i n t h e la b o r a t o r y

measu re men t, th e e miss ion s of crank case gases;

(b) w h er e re qu ir e d b y p a r ag r a p h 3 a n d w h er e t h e e n gi n e i n c l ud e s a r e g e n er a t i n g

af ter-treat men t syste m, an y n ecessary adjust men t f actor;

( c ) f or all e n gi n e s, d e t e r ior a tion f a c to r s a pp r o p r i a te t o the e m is s ion du r a b i l ity pe r io d s

sp ecif ied i n Ann ex V.

2. An engine type or engine family shall meet the emission limits set out in this Regulation

u sin g the appropriate f ollow in g reference fuels or fuel combinations:

(a) diesel;

(b) petrol;

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

(d) natural gas/bio methane;

(e) liquid petroleum gas (LPG);

( f ) ethanol.

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If re qu e st e d b y the e n gi n e m a nuf a c tur e r in t h e a pp l i c a t ion f or EU t y p e - a pp r oval i n

a cc o r d a n c e w ith A r ti c le 19 a n d s p ec ified in t h e i nf o r m a t ion f ol d e r re f erre d t o in A r t i c le

20, the e n gi n e t y p e or en gi n e f a m i l y s h all m ee t, in a d d itio n , t h e e x h a u s t e m is s ion l i m its

set out in th is Regu lation f or other sp ecif ied fuels, f u el mixtures or fu el e mu lsi on s.

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

of:

(a) apparatus an d procedures for the conduct of tests;

(b) apparatus an d procedures for emission measurement an d sampling;

(c) methods for data evaluation an d calculations;

(d) method for establishing deterioration factors;

(e) for engines of categories NRE, NRG, IWP, IWA, RLR, NRS, NRSh, S M B a n d ATS

complying with “Stage V” emission limits set out in Annex II:

(i) method for accounting for emissions of crankcase gases;

(ii) method for d e te r m i n i n g a n d accounting for c o n t i nu o u s or infrequent

regeneration of exh au st after-treatment systems;

(f) for electronically controlled engines of categories NRE, NRG, IWP, IWA, RLL and

RLR, complying with “Stage V” emission limits s e t out in Annex II and usi n g

electronic control to determine both the quantity and timing of injecting fuel or usi n g

electronic control to activate, de-activate or modulate the emission control system used

to reduce NOx:


(i) technical requirements re lati n g to emission control strategies including the

documentation required to demonstrate those strategies;

(ii) technical requirements re lati n g to NOx control measures including the method to

demonstrate those technical requirements;

(iii) technical requirements re lati n g to the area associated with the relevant n o n -

r oad st e a d y - sta t e t e st cycle, within which the amount b y wh i c h the emissions

a r e

permitted to exceed the e miss ion limits set out in Annex II is cont roll ed ;

(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 re f er r e d t o in paragraph 2 a nd ,

w h er e a pp l i c a b le, t h e re qu ir e m e n ts f or t h e d e s c r i p tion of oth e r s p ec i f i e d fu e ls, fu e l

mixtur es or fu el e mu lsi on s ;

(c) the detailed technical requirements and characteristics for the conduct of measurements

and tests referred to in paragraph 3;

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(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 du a l - fu e l eng in e s o r gas e o u s

fu e l l e d s i n gl e - fu e l engines referred to in Annex II.

T h ose del e gat e d a c ts shall b e a d o p t e d b y 31 D e c e m b e r 2016.


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 EU type-approval shall take the necessary measures to

verify that sta te m e n ts of conformity issued by the manufacturer conform to Article 30.

3. An approval authority which has granted an EU type-approval shall take the necessary

measures in relation to that EU t y p e - approval to verify, if necessary in cooperation with

the approval authorities of the other Member States, that the arrangements referred to in

paragraph 1 of this Article continue to be adequate so that engines in production will continue

to conform to the approved type and that sta te m en ts of conformity, w h er e a pp l i c a b le,

continue to comply with Article 30.

4. n 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.

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5. When an approval authority which has granted an EU type-approval establishes that the

arrangements referred to in paragraph 1 are not being applied, deviate significantly from the

arrangements and control plans agreed, have ceased to be applied or are no longer considered

to be adequate, even though production is continuing, it shall e ither take the necessary

measures to ensure that the procedure for conformity of production is followed correctly or

withdraw the EU type-approval.


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.

In s u c h a c ase, 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.

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Article 27

Revisions and extensions of EU type-approvals

1. W h er e particulars recorded in the information package have changed, without requiring

inspections or tests to be repeated, the amendment shall be t e r me d a ‘revision’.

In such cases, the approval authority shall e stab l ish 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 r e vis i o n , i n c l ud i n g the re vised i nd e x to t h e i n f o rm a t ion p a c k age

w itho u t un just i f ied d e l a y . A consolidated, updated version of the information package,

accompanied by a detailed description of the changes, shall be deemed to meet this

requirement.

2. Any amendment as r e f e r re d t o in p a r ag r a p h 1 shall be t e r me d an ‘extension’ w h er e

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 this R e g u lation or its delegated or i m p l e m e n ting

acts become applicable to the approved engine type or engine family.


In the event of an extension, the approval authority shall e s tablish an updated EU type-

approval certificate denoted by an extension number, incremented in accordance with the

number of successive extensions already granted. That EU t y p e - approval certificate

shall

clearly show the reason for the extension and the date of ex ten sion .

3. Whenever amended pages or a consolidated, updated version are e s t a b l i s he d , the index to

the information package attached to the EU t y p e- 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 of an EU t y p e - a pp r o v a l , the a pp r oval a u thor i ty sha l l i ss u e t o

the a pp l i c a n t witho u t u n justi f ied d e lay the u pd a te d EU type-approval certificate

re f e r re d to in A r ti c le 27 ( 2 ) , i n c l ud i n g the attachments thereto, and the index to the

information package.

2. In the case of a revision of an EU t y p e - a pp r ova l , the a pp r oval a u thori t y s h all is s u e t o the

a pp l i c a n t w itho u t u n ju s ti f ied d e lay the revised documents or the consolidated, updated

version, as appropriate, including the revised index to the information package, as r e fe rre d

t o in t h e se c o n d s u b p a r ag r a p h of A r ti c le 27 ( 1 ) .

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3. The approval authority shall notify b y m e a n s of I M I 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

Validity of EU typ e-ap proval

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) w h er e new requirements applicable to the approved engine type o r , w h er e

a pp l i c a b le, to t h e e n gi n e f a m i l y become mandatory for the p laci n g on the market,

and it is not possible to update the EU type-approval accordingly;

(b) w h er e production of the approved engine type or engine family is definitively

discontinued voluntarily;

(c) w h er e the validity of the EU t y p e - approval expires by virtue of a restriction

in accordance with Article 33(6);

(d) w h er e the EU t y p e - approval has been withdrawn in accordance with Article 25(5),

Article 37(1) or Article 38(3).


3. Where an EU t y p e - a pp r oval of an e n g i n e f a m i l y b ec o m e s i n val i d in re s pec t of only one

engine type within an engine family, the EU type-approval of the engine family in question

shall lose validity only in so far as that particular engine type is concerned.

4. Wher e production of a particular engine type o r , w h er e a pp l i c a b le, an e n gi n e f a m i l y is

definitively discontinued, the manufacturer shall notify the approval authority that granted the

EU type-approval for that engine type or en gin e f amily .

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 type or e n gi n e

f a m i l y 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,

w h er e a pp l i c a b le, o f an engine family is due to become invalid, the manufacturer shall notify

the approval authority that granted the EU type-approval.

In s u c h c ases, 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 I M I S yst e m .

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CHAPTER VII

STATEMENT OF CONFORMITY AND MARKINGS

Article 30

S tate men t of conformity

1. The manufacturer, in its capacity as the holder of an engine type or engine family EU type-

approval, shall deliver a sta t e me n t of conformity ("sta t e m e n t of c o nf o r m ity " ) to

accompany engines which are p laced on th e ma rk et on the basis of :

(a) an e x e m p tion r e f er r e d t o in A r ti c le 32 ( 1 ) , (3 ) , ( 4 ) , ( 4a), ( 4 b ), 4 ( c ), 4 ( d ) or A r ti c l e

33(4); or

(b) a tran sition al p rovisi on ref err ed to in Article 57 (10).

Such a sta t e me n t shall s t a t e p a r ti c u lar f e a t u re s a n d re st r ic t io n s that shall a pp ly to t h e

e n gi n e a n d be delivered free of charge together with the engine and shall accompany the

n o n -r oad m o b i l e machinery in which the engine is installed. Its delivery s h all not be made

dependent on an explicit request or on the submission of additional information to the

manufacturer. T h e sta te me n t of c o nf o r m ity m a y also b e d e l i v ere d in th e f o r m of a

secu re el ect ron ic f il e.

For a period of 10 years after the e n gi n e production date, the engine manufacturer shall, at

the request of the engine e nd - u s er , issue a duplicate of the sta te m e n t of conformity

against payment of an a m o un t not exceeding the cost of issuing it. The word ‘duplicate’

shall be clearly visible on the face of any duplicate sta te me n t of c o nf o r m it y .


2. deleted

3. The sta t e me n t of conformity shall be drawn up in at least one of the official languages of the

I n sti t u tions o f t h e Union. Any Member State may request f r o m t h e e n gi n e

m a nuf a c tur e r that the sta t e me n t of conformity be translated into its own official

language or languages.

4. The person(s) authorised to sign sta t e me n ts of conformity shall belo n g t o the

manufacturer’s organisation and shall be duly authorised by the management of t h at

o r ga n isation 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 sta t e me n t 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.

6. deleted


for the sta te m e n t of conformity, including the features to prevent forgery a n d f or

v er i f ica t ion of t h e se c u r e e le c t r o n ic f i l e . To that end, the implementing acts shall provide

the security features u s e d f or protecting the sta te me n t of c o nf o r m it y . Those implementing

acts shall be adopted in accordance with the examination procedure referred to in Article

54(2) by 31 December 2016.

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Article 31

S tatu tory marking of engines

1. The manufacturer shall affix a sta t u to r y marking to each e n gi n e manufactured in conformity

with the approved type (" the statu tory mark in g" ) .

2. deleted

3. deleted

3a. In re s p ec t of t h e f ol l o w i n g e n gi n e s, the s t a t u to r y m a r k i n g s h all i n c l ud e s u p p le m e n ta r y

i nf o r m a t ion i nd ica t i n g t h at t h e e n gi n e is sub j e c t t o the re l e va n t e x e m p tion or

tran sition al p rovisi on :

(a) tran sition en gin es p laced on th e marke t in acco rd an ce w i th Article 57( 8);

(b) rep lace men t en gin es p laced on th e mark et in a ccord an ce w ith Article 57(9);

(c) en gin es p laced on th e mark et in acc ord an ce w it h Article 32(1 ) ;

(d) en gin es te mp oraril y p laced on th e mark et in ac cord an ce w ith Article 3 2(3);

(e) en gin es p laced on th e mark et in accord an ce w it h Article 32(4 ) ;

(ea) en gin es p laced on th e mark et in accord an ce w it h Article 32(4a );

(f ) en gin es f or exp ort to third coun tries in accord a n ce w ith Article 32( -1 ) th at are:

- manuf actured in th e U n ion , or

- m a nuf a c tur e d o u tsi d e th e Un i on a n d i n stalled i n n o n -r oad m o b i l e m a ch i n er y

in t h e Un i o n .



for the sta t u t o r y marking, including its mandatory essential information r e qu ir e d w h e n

t h e e n gi n e leav e s the prod u c tion l i n e , its m a nd a t o r y e ssential i nf o r m a t ion re qu ir e d

b e f o r e the e n gi n e is p lac e d on t h e m a r k e t a nd , w h er e a pp l i c a b le, the s u pp le m en ta r y

i nf o r m a t ion re f er r e d t o in p a r ag r a p h 3 o f t h is A r ti c l e . Those implementing acts shall be

adopted in accordance with the examination procedure referred to in Article 54(2) by 31

December 2016.

5. deleted

Article 31a

Temp ora ry ma rk in g of en gin es

1. T h e m a nuf a c tur e r s h all a f fix a te m p o r a r y m a rk i n g to e a c h e n gi n e m a nuf a c tur e d in

c o nf o r m ity w ith the a pp r ov e d t y p e t h at is p lac e d on t h e m a r k e t on the b asis of t h e

exe mp tion ref er red to i n Article 32(2 ).

2. An eng in e t h at is b e i n g d e l i v ere d t o an e n gi n e m a nuf a c tur e r a nd , at th is s tag e , n ot in

conf ormity w ith th e app roved typ e sh all on ly bear a temp o rary mark in g.

3. T h e Co m m is s ion s h all b e e m p o w ere d t o a d o p t by m e a n s of i m p l e me n ting a c ts t h e

te m p late f or t h e te m p o r a r y m a r k i n gs r e f er r e d t o in p a r ag r a ph s 1 a n d 2 , i n c l ud i n g the

m a nd a t o r y e ssential i n for m a t ion t h at s h all b e c o n tained on t h e s e . T h o s e i m p l e me n ting

a c ts shall b e a d o p t e d in a cc o r d a n c e w ith t h e e x a m i n a t ion p r o ce du r e r ef erre d t o in

A r ti c le 5 4 (2) b y 31 D e c e m be r 201 6 .

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CHAPTER VIII

EXEMPTIONS

Article 32

General exemptions

- 1. With t h e e x ce p tion of p oi n t ( f ) of A r ti c le 31 ( 3) e n gi n e s f or e x p o r t to t h ird cou n t r ies s h all

n ot b e s ub j e c t t o this R e g u latio n .

1. With t h e e x ce p tion of p oi n t (c ) of A r ti c le 3 1 (3 ) , e n gi n e s f or u se b y the a r m e d f o rce s s h all

n ot b e sub ject to this R egu lation .

F or the p u r p oses of t h is p a r ag r a p h f ire se r vic e s , c iv i l d e f e n c e s er vic e s, f o rce s r e s p o n si b le

f or m ai n tain in g p u b l i c o r d e r a n d e m e r g e n c y me d ical s er vic e s s h all n ot b e c o n si d ere d t o

b e p art of th e ar med f orces.

2. Without prejudice to Article 31 a n d w ith t h e c o n s e n t of t h e O E M , a manufacturer may

deliver an engine separately from its exhaust after-treatment system to that OEM.

3. Notwithstanding 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 Articles 17(2) a n d 21( 3 ) , Member States s h all g r a n t EU type-approval

f o r , and a u thorise t h e placing on the market of, engines that meet the gase o u s a n d

p a r ti c u late emission limit values f or s p ec ial pu r p ose e n gi n e s set out in Annex VI, on the

condition that the engines are intended for installation in n o n -r oad m o b i l e m a c h i n er y to be

used in potentially explosive atmospheres, as defined in p oi n t ( 5) of A r ti c le 2 of Directive

2014/34/EU of the European Parliament and of the Council19.

4a. No t w ith s tan d i n g A r ti c les 17 ( 2) a n d 21( 3 ), M e m be r S ta te s m ay, up on re qu e st, g r a n t EU

typ e- a pp r oval a n d a u t h o r ise t h e p laci n g on t h e m a r k e t of e n gi n e s that mee t the g aseous

a n d p a r ti c u late e m is s ion l i m it val u e s f or s p ec ial pu r p ose e n g i n e s set o u t in A nn e x VI, on

the c o nd ition t h at t h e e n gi n e s are i n t e nd e d f or i n stallation i n n o n -r oad m o b i l e

m a c h i n er y that is e x c l u sively u s e d f or t h e la unc h a n d rec ov er y of la un c h e d l if e b oats

op erated b y a n ation al rescu e se rvice.

4 b . No t w ith s tan d i n g the r e qu ir e m e n ts of A r ti c les 5 ( 3) a n d 17( 2 ) , f or e n gi n e s co r re s p o nd i n g

to c a te g o r ies R LL or R LR and p lac e d on t h e U n ion m a r k e t on or b e f o r e 31 D e c e m be r

2011, M e m be r S ta te s m ay a u thorise t h e p laci n g on t h e m a r k e t of re p lac e m e n t e n gi n e s if

the a pp r oval a u t h o r ity of t h e M e m b e r S ta t e , up on e xa m i n a t io n , rec o g n ises a n d a p p r ov e s

that t h e i n stallation of a n e n gi n e in c o m p l i a n c e w ith t h e a p p l i c a b le e m i ss i on l i m its s e t

o u t in T a b les I I - 7 a n d I I - 8 of An n e x II w i l l i n v olve sig n ificant tec hn ical d i ff ic u lties. In

this c ase, t h e re p la c e m en t e n gi n e s h all c o m p ly w ith t h e e m is s ion l i m its t h at it w o u ld

h ave n ee d e d t o m e e t f or p laci n g on t h e Un i o n ma r k e t on 31 D e ce m b e r 2 011 or c o m p ly

w ith more st rin gen t emiss ion li mits.

F or e n gi n e s co r r e s p o nd i n g to c a te go r ies RLL a n d RLR and p lac e d on the U n ion m a r ke t

a f t e r 31 D e ce m b e r 2 0 1 1 , M e m b e r S t a t e s m ay a u thorise t h e p laci n g on the m a r k e t of

re p lac e me n t e n gi n e s c o m p ly in g w ith t h e e m is s ion l i m its that t h e e n gi n e t o b e re p la c e d

h ad to me et wh en origin all y p laced on th e Union marke t.

19 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 (OJ L 96, 29.3.2014, p. 309).

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4c. F or e n gi n e s co r r e s p o nd i n g to c a te go r ies RLL or RLR, M e m b e r S ta t e s m ay a u thorise the

p laci n g on t h e m a r k e t o f e n gi n e s that a r e in c o m p l i a n c e w ith t h e lat e st a pp l i c a b le

e miss ion li mits d ef in ed in th e relevant legisl ation ap p licabl e on … , on cond ition th at:

(a) those e n gi n e s are p a r t o f a p r o jec t wh ich i s, at t h e d a t e of e n t r y i n to f o rc e of t h is

R e g u latio n , at a n a d va nce d stage of d e v e lo p m en t, as de f i n e d b y Di rec tive

2008/57 / EC of t h e E u r o p e an P a r l i a m e n t and of t h e Cou n c il of 17 J u n e 2008 on t h e

i n t e r o p er a bi l i ty of t h e r ail syst e m w ith i n t h e Co m m un ity; a n d

( b ) the use of e n gi n e s in c o m p l i a n c e w ith t h e a pp l ic a b le e m is s ion l i m its s e t o u t in

Tab les II.7 or II.8 w ill lead to d isp rop ortionate costs.

Within o n e y e ar a f t e r pub l i c a t ion o f t h is R e g u l a t io n , e a c h M e m b e r S t a te s h all

co mmun icate to the Co mmiss ion th e li st of an y su ch p rojects.


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 of t h is A r ti c le ;

(b) the temporary placing on the market, for the purposes of field testing, of engines that

have not been EU type-approved in a cc o r d a n c e w ith t h is R e g u lati o n , as referred to in

paragraph 3 of th is Artic le ;

(c) the EU type-approval and placing on the market of engines that meet the g aseous a n d

p a r ti c u late emission limit values f or s p ec ial pu r p ose e n gi n e s set out in Annex VI,

as

referred to in paragraphs 4 an d 4a of th is Article.

Those delegated acts shall be adopted by 31 December 2016.

Article 33

Exemptions for new technologies or new concepts

[OJ: please i n s e rt da t e of the day b e fo r e t h e e n try i n to for c e of this R e g u la t io n ]


1. The manufacturer may apply for a E U type-approval in respect of an engine type or engine

family that incorporates new technologies or n e w concepts which are incompatible with

one or more requirements of this Regulation.

2. The approval authority shall grant the E U type-approval referred to in paragraph 1 where

all of the following conditions are met:

(a) the application states the reasons why the n e w technologies or n e w concepts make the

engine type or engine family incompatible with one or more of the requirements of

this Regulation;

(b) the application describes the environmental implications of the new technology or n e w

c o n ce p t 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 E U type-approval re f e r re d t o in p a r ag r a p h 1 shall be subject

to authorisation by the Commission.

W h er e a pp r o p r iat e , t h e a u thorisa t ion b y the Co m m is s ion s h all s p ec i f y w h e ther it is

s ub j e c t t o a n y re s t r ic t i o n s.

T h e a u thorisa t ion s h a ll b e given b y m e a n s of an i m p l e me n ting a c t.

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4. Pending the decision on authorisation by the Commission p u r s u a n t t o p a r ag r a p h 3 , the

app roval au thority may issu e a provisional EU typ e-app roval w hich shall be valid:

(a) on ly in the territory of that Member State;

(b) only in respect of an engine type covered by the exemption sought; an d

(c) f or at least 36 mon ths.

The approval authority shall inform the Commission and the other Member States that it has

issued such a provisional E U 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 of s u c h a p r ovi s io n al E U t y pe -

a pp r oval shall be apparent from the heading of the E U type-approval certificate and the

heading of the sta temen t of conformity.

5. W h er e approval authorities decide to accept the provisional EU t y p e - approval referred to

in paragraph 4 within their territory they s h all inform the relevant approval authority and the

Commission thereof in writing.

6. deleted

7. W h er e the Commission decides to refuse the authorisation re f er r e d t o in p a r ag r a p h 3 ,

the approval authority shall immediately give notice to the holder of the provisional E U

type- approval referred to in paragraph 4, if such p r ovis i o n al EU t y p e - approval has been

issued, that the provisional EU t y p e - approval will be revoked six months after the date of

the Commission’s refusal.

Notwithstanding the Commission´s decision to refuse the authorisation, engines

manufactured in conformity with the provisional EU t y p e - approval before it ceases to

be valid may be placed on the market in any Member State that accepted the provisional

EU

type-approval.

8. T h e requirements referred to in paragraphs 4 and 5 shall be deemed to be fulfilled through

upload of the relevant information to the I M I .


9. The Commission shall be empowered to adopt by means of implementing acts the

authorisation referred to in paragraph 3 of t h is A r t icle . 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 E U type-approval certificate and the sta t e me n t of conformity referred to in

paragraph 4 of t h is A r ti c l e , including their 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.

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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 pu r s u a n t t o Article 33 relates to a matter that is re g u lat e d

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 d elega te d or i m p l e me n t i n g acts re f er r e d t o in p a r ag r a p h 1

have been amended, any restriction imposed by the Commission decision authorising the

exemption shall be lifted.

W h er e 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 EU t y p e-

approval, authorise the Member State to extend the E U 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

PRODUCTI ON REP ORTI NG AND VERI FI CATI ON

Article 35

Sp ecif ic obligations of manufacturers w ith reg ard to p rodu ction rep orting

1. A manufacturer shall s u b m it to the approval authority which granted the EU type-approval

a list containing the number of e n gi n e s for each engine type a n d s ub c a te go r y produced in

accordance with 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.

Th at li st shal l b e sub mitted :

(a) w ithin 45 d ays af ter th e en d of each calend ar year;

( b ) im me d iat e ly a f t e r e a c h of t h e d a te s f or p laci n g on t h e m a r k e t of e n gi n e s r e f er r e d t o

in Ann ex III; and

(c) b y an y d ate th at th e app roval au thority may st ipu late.

2. Where this is not identified by the engine coding system, the list referred to in paragraph 1

s h all specify correlations of the identification numbers to the corresponding engine types or

engine families and to the EU type-approval numbers.

3. The list referred to in paragraph 1 shall also indicate clearly any case in w h ich

the manufacturer ceases to produce an approved engine type or engine family.

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4. The manufacturer shall retain a copy of the list r ef erre d t o in p a r ag r a p h 1 for a

minimum period of 20 years after the end of validity of the EU type-approval concerned.

5. T h e Co m m is s ion s h all b e e m p o w ere d t o a d o p t by m e a n s of i m p l e me n ting a c ts t h e

f o r m at of t h e l i st r e f er r e d t o in p a r ag r a p h 1 of this A r ti c le. T h ose i m p l e m e n ting a c ts

s h all b e a d o p t e d in a cc o r d a n c e w ith t h e e xa m i n a t ion p r o ce du r e re f e r r e d t o in A r ti c le

54(2) b y 31 Dece mb er 2 016.

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 EU t y p e - approval to e n s u r e , where appropriate in

cooperation with the approval authorities of the other Member States, that the

identification numbers a r e c o r r ec tly a l loca te d t o a n d a r e p r o p er ly u s e d b y e n gi n e

m a nuf a c tur e r s

b ef ore th e typ e-app rove d en gin e is p laced or made avail ab le on the ma rk et .

2. An additional verification of the identification numbers may b e c a r r ied o u t 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 re p re s e n ta t ives established in the Union shall without delay p r ovi d e , up on

request, to the responsible approval authority all the information needed relati n g to the

manufacturer´s purchasers together with the identification numbers of the engines reported as

produced in accordance with Article 35. Where engines are m a d e avai l a b le to an O E M ,

further information s h all not b e required.


4. If, fu r ther t o a request of the approval authority, the manufacturer is not able to verify the

sta t u to r y marking requirements, the a pp r oval a u thori t y m ay w ith d r aw the EU t y p e-

approval granted in respect of the corresponding engine type or e n gi n e family. The

information procedure shall be carried out as set out in Article 37(4).

CHAPTER X

SAFEGUARD CLAUSES

Article 37

Engines not in conformity with the approved type

1. Where engines b e a r i n g a sta t u to r y m a r k i n g a n d , whe r e a pp l i c a b l e , accompanied by a

sta t e me n t of conformity 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 re levant approval authority shall i n f o r m the a pp r oval a u thori t ies of the other Member

States of the measures taken.

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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

authorised in accordance with Chapter VI, shall be deemed to constitute failure to conform to

the approved type or family.

3. W h er e an approval authority finds that engines accompanied by a sta t em e n t of conformity,

if a pp l i c a b le, or bearing a typ e- approval mark issued in another Member State do not

conform to the approved type or family, it may re qu e st 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. W h er e 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 w h o has been granted an EU type-approval is obliged, as a re s u lt of

the a pp l i c a t ion of Article 20(1) of Regulation (EC) No 765/2008, to recall engines placed on

the market, whether installed or not in n o n -r oad m o b i l e machinery, due to the fact that the

engines represent a serious r isk with regard to the protection of the environment or publ ic

h e alt h , that manufacturer shall immediately inform the approval authority that granted the EU

type-approval.

2. The manufacturer shall propose to that approval authority a set of appropriate remedies to

neutralise the serious r isk referred to in paragraph 1. The approval authority shall

communicate the proposed remedies to the approval authorities of the other Member States

an d to the Commiss ion without delay.

The approval authorities shall ensure that the remedies are effectively implemented in their

respective Member States.

3. W h er e the a pp r oval a u thori t y c o n si d er s the remedies to be insufficient or not implemented

quickly enough, it shall inform w itho u t delay the approval authority that granted the EU

type-approval to t h e m a nuf a c tur e r .

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W h er e the manufacturer does not s ub s e qu e n tly 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 that withdrawal notify the manufacturer, the approval authorities of the other

Member States and the Commission the r e of by registered letter or equivalent electronic

means.

Article 39

Notification of decisions and remedies available

1. Any decision:

(a) taken pursuant to this Regulation;

(b) refusing or withdrawing an EU type-approval;

(c) prohibiting, restricting or imp ed in g the placing on the market of an engine;

(d) requiring the r ecall of an engine from the market; or

( e ) p r o h i b iti n g, re st r ic t i n g or i m p e d i n g the p laci n g on t h e m a r k e t of a n o n -r oad

m o b i l e m a c h i n er y in wh i c h is i n stalled an e n g i n e f al l i n g wi t h in t h e sc o p e of t h is

Regu lation ,

shall state the reasons on which it is based.


2. Th e app roval au thorities sh all :

(a) n otif y any decision referred to in paragraph 1 to the party concerned;

(b) i nf o r m t h e p a r ty c o nc e rn e d of the remedies available to it under the laws in force in

the Member State concerned and of the time limits related to those 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 E U 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 sta t u to r y markings 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 p oi n t ( a) of paragraph 4 shall be

recognised as equivalent to E U type-approvals granted and sta t u to r y marking in

accordance with this Regulation.

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3. EU t ype-approvals granted in conformity with Union acts as set out in the delegated act

referred to in p oi n t ( b ) o f paragraph 4 shall be recognised as equivalent to E U type-

approvals granted in accordance with this Regulation.


setting out:

(a) the list of UNECE regulations or amendments thereto, i n c l ud i n g a n y r e qu ir eme n ts s e t

o u t t h ere in w h ich r e late t o th e ir ap p l i c a t io n , which the Union has voted in favour of or to

which the Union has acceded which a r e t o apply to EU type-approval of engine ty p e s and

engine families to be installed in non-road mobile machinery;

(b) the list of Union acts granting E U type-approvals, i n c l ud i n g a n y re qu i r e m e n ts s e t out

the r e in w h ich r e late t o th e ir ap p l i c a t io n .

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 n o n -r oad mobile 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 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 that information, t og e ther w ith expla n a t o r y i nf o r m a t ion on

t h e t e st c o nd itio n s, to the end-user of the n o n -r oad m o b i l e machinery in w h ich the engine

is intended to be installed.


setting out the details of the information and instructions referred to in paragraphs 2, 3 and 4

of t h is A r ti c le . Those delegated acts shall be adopted by 31 December 2016.

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Article 42

Exch an ge of d ata and inf ormation via the IMI S yste m

1. T he exchange of data and information re lat e d t o EU t y p e - a pp r ovals between n a t io n al

authorities, or between n a t io n al authorities and the Commission in the framework of this

Regulation sh all tak e p lace in elect ron ic f or mat via IMI.

2. 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 n a t io n al authorities and

to the Commission via IM I .

3. The Commission shall en su re that IMI also allow s for:

(a) the exchange of data and information between, on the o n e h a nd , manufacturers or

technical services and , on th e other h and , n ation al authorities or the Commission;

(b) public access to certain data and information related to the results of type-approvals

an d mon itorin g resu lts of in-service en gin es ;

( c ) w h er e a pp r o p r iate a n d tec hn ically a n d ec o n o m ically f e asi b le, f a c i l it i e s f or

a u to m a tic tr a n s f e r of d a t a b e t w ee n e xisti n g n a t io n al d a t a b ases and I M I, in

agree men t w ith th e Me mbe r S tates con cern ed .

Su c h u se o f I M I s h all b e o p tional.


4. The Commission shall be empowered to adopt by means of implementing acts the detailed

technical requirements and procedures necessary for the int e r c o nn ec tion of I M I w i t h

e xisti n g n a t io n al d a t a b a s e s . 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. Approval authorities shall o n ly designate a technical service pursuant to Article 45 that

fu lf ills the requirements laid down in paragraphs 2 to 9 of this Article.

2. A technical service shall be established under the national law of a Member State and have

legal personality.

3. T h e technical service shall be a third-party body independent of the process of design,

manufacture, supply or maintenance of the engine it assesses.

A body belonging to a business association or professional federation representing

undertakings involved in the design, manufacture, provision, assembly, i n s t al l a t io n , use or

maintenance of engines which it assesses, tests or inspects may, on the condition that its

independence and the absence of any conflict of interest are demonstrated, be considered as

fulfilling the requirements of the first subparagraph.

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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, i n staller 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.

T h e 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. T h e technical service 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 its p er so nn e l shall be free from all pressures and

inducements, particularly financial, which might influence their judgment or the results of

their assessment activities, especially such pressures or inducements emanating from persons

or groups of persons with an interest in the results of those activities.

6. T h e technical service shall demonstrate to i t s d e sig n a t i n g a pp r oval a u th o r ity 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 en su rin g 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 pu r s u a n t t o 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.

7. The impartiality of the technical service, its 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 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.

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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. In s u c h c ases, t h e tec hn ical s er vice shall ensure that the subcontractor or the subsidiary meet

the requirements 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. Ap p r oval a u thori t ies s h all d e sig n a t e technical services 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

c a te go r i e s of activities referred to in paragraph 1.

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3. Technical services of a third country, other than those designated in accordance with this

Article, 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

deleted

Article 47

Procedures for performance standards and assessment of technical services

T he Commission shall be empowered to adopt delegated acts in accordance with Article 55

concerning:

(a) the standards with which the technical services have to comply; and

(b) the procedure for the assessment of t h e tec hn ical s er vic e s in accordance with Article 48.


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 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 of t h is A r ti c le 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 it.

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. deleted

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Article 49

Procedures for notification

1. With re s p ec t t o e a c h t e chn ical s er vice t h at t h e y h ave d e sig n a te d , Member States shall

notify to the Commission:

(a) the name;

(b) the address, including electronic address;

(c) the responsible persons;

(d ) the category of activities; an d

(e) any modifications or ch a n ges related to a d esign ation ref erred to in Ar ticle 45 .

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. deleted


5. Where a specific organisation or competent body carrying out an activity not included 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 a list and details of the technical services notified in

accordance with this Article on its w e b site .

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 r e f erre d t o in

p a r ag r a p h 1 , 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.

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Article 51

Challenge to the competence of technical services

1. The Commission shall investigate all cases where it has doubts, or w h er e 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 EU

typ e- 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

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 w i t h in 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 that f a c t to the designating approval authority that

s h all re qu ire the manufacturer to take appropriate corrective measures.

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T h e d e sig n a t i n g a pp r o v al a u thori t y s h all n ot i ss u e an EU type-approval certificate un til

the m a nuf a c tur e r h as taken the appropriate corrective measures to the satisfaction of

that 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 an y:

(a) non-conformity encountered which might require a refusal, restriction, suspension or

withdrawal of an EU type-approval certificate;

(b) circumstances affecting the scope of or conditions for their designation;

(c) 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 b y Article 40(1) of Directive 2007/46/EC. That committee s h a l l b e 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.

3. W h er e t h e c o mm i t t e e d e l i v er s n o o p i n io n , t h e C o m m is s ion s h all n ot a d o p t t h e d r a f t

i m p l e me n ting a c t and t h e t h ird s ubp a r ag r a p h of A r ti c le 5 ( 4) of R e g u l a t ion ( EU) No

182/2011 s h all a p p l y .

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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 18(2), Article 23(11), Article 24(4),

Article 25(6), Article 32(5), Article 40(4), Article 41(5) and Article 47 shall be conferred on

the Commission for a period of five years from ... .

3. The delegation of power referred to in Article 18(2), Article 23(11), Article 24(4), Article

25(6), Article 32(5), Article 40(4), Article 41(5) 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. B e f o r e a d a p ting a d e le g a te d a c t, t h e C o m m is s i o n s h all c o n s u lt e x p er ts desig n a te d b y

e a c h M e m be r S ta t e in a cc o r d a n c e w ith t h e p r i n c i p les laid d o w n in t h e I n t e r i n sti t u tional

Agree men t on B ett er L aw -Mak in g of (date).

5. As soon as it adopts a delegated act, the Commission shall notify it simultaneously to the

European Parliament and to the Council.


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5. A delegated act adopted pursuant to Article 18(2), Article 23(11), Article 24(4), Article 25(6),

Article 32(5), Article 40(4), Article 41(5) 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. The penalties provided for shall be effective, proportionate and

dissuasive. Member States shall notify those provisions to the Commission by … and

shall notify the Commission without delay of any subsequent amendment affecting them.

M e m b e r S t a t e s s h all take all m e as ur e s n ece ss a r y to e n s u r e t h at the p en alti e s are

i m p l e me n t e d .


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

(a) making false declarations, notably during EU t y p e - approval procedures, procedures

leading to a recall or procedures related to exemptions;

(b) falsifying test results for EU type-approval or mon itorin g of in-service en gin es ;

(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 EU t y p e - approval without such EU t y p e-

approval or falsifying documents or statu tory markings with that intention;

(g) placing on the market transition engines and n o n -r oad m o b i l e machinery in which s u c h

engines are installed in violation of the exemption provisions;

(h) being in violation of the engine restrictions set out in Article 33(3) an d (4);

(i) placing on the market an engine m o d i f ied i n s uc h a w ay that the engine is no longer in

conformity with the specifications of its E U type-approval;

(j) installing an engine in n o n -r oad m o b ile machinery for use other than the exclusive

use provided for in Article 4;

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(k) placing on the market an engine under Article 32(4) or 32( 4 a ) for use in m a c h i n er y other

than that foreseen in those paragraph s;

(ka) p l a c i n g on t h e m a rk e t an e n gi n e und e r A r ti c le 57 ( 10) f or u se in m a c h i n er y other

than th at f oreseen in th at Articl e;

(l) p laci n g on t h e m a r ke t no n -r oad m o b i l e m a ch i n er y in w h ich are i n s t al l e d e n gi n e s

sub ject to EU type -ap p roval und er th is Regu lation, w ithou t such app roval;

(la) p laci n g on the m a rk e t no n -r oad m o b i l e m a c h i n er y b e i n g in vio l a t ion of t h e

re st r i c tions re ga r d i n g th e n o n -r oad m o b i l e m a c h i n er y set o u t in A r ti c l e 32( 4 ),

32(4a), 32(4b ), 32(4 c) or 32(4d ).

Article 57

Transitional provisions

1. Without prejudice to Chapters II and III, this Regulation shall not invalidate, before the dates

for placing on the market of engines s e t out in Annex III, any EU type-approval or

exe mp tion .

2. Approval authorities may continue to grant type-approvals a n d e x e m p tions in

accordance with the relevant legislation applicable on … until the mandatory dates for

the EU type-

approval of engines set ou t in Annex III.


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3. By way of derogation from this Regulation, engines which have received an EU type-

approval pursuant to the relevant legislation applicable on … * , 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 R e vised Convention for the Rhine

Naviga t io n , may continue to be placed on the market until the dates for placing on the market

of engines set out 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 on … * * d i d not f a l l within t h e sc o p e of Di rec tive 97/68 / EC may continue

to be placed on the market on the basis of the national rules in force, if any, until the dates

for

the placing on the market of engines set out in Annex III.

5. Without prejudice to Article 5(3), A r ti c le 17(2) a nd , w h er e a pp l i c a b le, D ir ec tive

2008/57 / EC of t h e E u r o p e an P a r l i a m e n t and of t h e Cou n c i l 20 a n d Co mm is s ion

R e g u lation ( EU) No 13 0 2/201 4 21 , transition engines and, where applicable, the n o n -r oad m o b i l e machinery in which those transition engines are installed may continue to be placed

on the market during the transition period on the condition that the machiner y in which the

transition engine is installed has a production date prior to 18 m o n ths after the start of the

transition period.

* [OJ: please i n s e rt da t e of t h e day b e fo r e t h e e n try i n to for c e of this R e g u la t io n ]** [OJ: please i n s e rt da t e of t h e day b e fo r e t h e e n try i n to for c e of this R e g u la t io n ]20 Dire c t i v e 2008/57 / EC of the E u rope a n Parl i a m e n t a n d of the Co u n c il of 17 J un e 2008 on

t h e i n terop e rabil i ty of t h e rail system w i t h i n t h e C o m m u n i t y ( R ec ast) ( O J L 191, 18.7.2008, p. 1 ) .


21 C o m m is s i o n R e g u la t ion (EU) No 1302/2014 of 1 8 No ve m b e r 2014 c o n c e r n i n g a te c hn ical spe c ification f or i n terop e rabi li ty r e lat in g to t h e ‘ roll in g st o c k — loc o m ot ive s a n d passenger roll in g st o c k’ su bsyst e m of t h e rai l sys t e m in th e E u rope a n U n i on ( OJ L 356, 12.12.2014, p. 228 ) .

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For engines of category NRE, Member States shall authorise an extension of the transition

period and the 18-month period referred to in the first sub-paragraph by an additional 12

months for OEM's with a total yearly production of fewer than 100 units of non-road mobile

machinery equipped with i n t e r n al 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.

F or e n gi n e s of c a te go r y N R E u s e d in m o b i l e cr a n e s, the tr a n sition p er iod a n d t h e 1 8 -

m o n th p er iod re fe rre d t o in t h e f irst s u b p a r ag r a p h s h a l l b e e x te nd e d b y 12 m o n ths.

F or e n gi n e s of c a te go r y N R S w ith eng i n e p o w e r less than 19 k W u s e d i n s n o w t h r o w er s,

the tr a n sition p er iod a n d t h e 1 8- m o n th p er iod re f erre d t o in t h e f irst s ubp a r ag r a p h s h a l l

b e extend ed b y 24 month s.

6. Subject to paragraph 5 of t h is A r ti c l e , transition engines s h all m e e t at lea s t one of t h e

f oll ow in g req uiremen ts :

(a) c o nf o r m t o e n gi n e t y p e s or e n gi n e f a m i l ies wh o s e EU t y p e - a pp r oval i s n o lo n g e r

val i d p u r s u a n t t o p oi n t (a) of A r ti c le 29 ( 2 ) ; and a re , at t h e t i m e of t h e en gi n e s'

p r o du c tion d a te s, covered by a valid EU type-approval that is in c o m p l i a n c e w ith

t h e lat e st ap p l i c a b le e m is s i on l i m its d e f i n e d in t h e re levant l e gis l a t ion a pp l icab l e

on … * ;

(b) b e lo n g to a p o w e r b a n d t h at w as n ot s u b j e c t t o p ol lu tant e m is s ion t y p e - a pp r oval at

Uni on level on … * ; or

( c ) b e u s e d or i n t e nd e d f or u se in an a p p l i c a t ion t h at w as n ot s ub j e c t t o p ol lu tant

e miss ion related type -a p p roval at Uni on level on … *.


* [OJ: please i n s e rt da t e of t h e day b e fo r e t h e e n try i n to for c e of this R e g u la t io n ]

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7. Th e p eriod f or p lacin g tran sition en gin es on th e ma rk et shal l b e li mited to :

(a) 24 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) 36 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 p lac e d on t h e m a r ke t d u r i n g

the t r a n sition p er iod c o m p l y w ith t h e m a r k i n g set o u t in p o i n t ( a) of A r ti c le

31 ( 2 ) .

9. No t w ith s tan d i n g A r ti c les 5 ( 3 ) , 17( 2 ) and 21, M e m b e r S ta t e s m ay, f or a p er iod t h at e nd s

n o lat e r t h an … * , a u thorise t h e p laci n g on t h e m a r k e t of e n gi n e s of c a te go r y RLL

w ith a m ax i m u m ne t po w e r g r e a te r than 2000 k W that do n ot c o m p ly w ith t h e e m is s ion

l i m its s e t out in An n e x II, to be i n stalled i n loco m o t i v e s w h ich o n ly run on a t ec hn ically

iso l a te d 1520 m m r ai l w ay n e t w o r k . Duri n g th a t pe r iod t h e e n gi n e s p lac e d on t h e m a r k e t

s h all c o m p ly at least w ith t h e e m is s ion l i m its that e n gi n e s h ad t o m e e t f or b e i n g p lac e d

on t h e m a r k e t on 31 D e c e m b e r 2011. T h e a pp r oval a u thori t ies of t h e M e m b e r s ta te s

sh all gran t EU typ e-app roval an d au thorise the p lacin g on th e marke t of su ch en gin es.

9a. No t w ith s tan d i n g A r ti c le 5 ( 3) a n d A r ti c l e 17( 2 ), M e m b e r S t a t e s s h all a u thorise t h e

p laci n g on t h e m a r k e t o f re p lac e m e n t e n gi n e s, f or a p er iod n ot lo n g e r th an 15 y e a r s,

sta r ting f r om the a pp l i c a b le d a t e s f or p laci n g o n t h e m a r k e t of S tage V e n gi n e s set o u t in

An n e x III, p r ovi d e d t h a t t h e e n gi n e s b e lo n g to a c a te go r y e qu iva l e n t t o N R S w ith a

re f ere nc e p o w e r n o less t h an 19 k W or b e lo n g t o c a te go r y e qu iva l e n t t o N R G , w h er e the

re p lac e me n t e n gi n e a n d t h e o r ig in al eng in e b e l o n g to a n e n gi n e c a te go r y a n d p o w e r

ran ge th at w as n ot sub ject to type app roval at Union level on ... * * ;


* [OJ, pl e ase ins e rt th e d a te: 10 ye ars af t e r t h e date of p u bl i c at i on of this Re g u la t io n ]** [Day b e fore t h e date of r e p e al of D ir e c t i v e 97/68 / E C ]

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9 b . No t w ith s tan d i n g A r ti c le 5 ( 3) a n d A r ti c l e 17( 2 ), M e m b e r S t a t e s s h all a u thorise t h e

p laci n g on t h e m a r k e t o f re p lac e m e n t e n g i n e s, f or a p er iod n ot lo n g e r th an 20 y e a r s,

sta r ting f r om the a pp l i c a b le dat e s f or p laci n g o n t h e m a r k e t of S tage V e n gi n e s set o u t in

Ann ex III, p rovid ed th at th e en gin es:

(a) b e lo n g to c a te go r y N RE w ith a re f ere n c e p o w e r n o less t h an 19 k W a n d n o g re a t e r

than 560 k W a n d c o m p l y w ith an e m is s ion stage t h at e x p ir e d n ot m o r e t h an 20

y e a r s b e f o r e t h e p laci n g on t h e m a r k e t of t h ose e n gi n e s a n d w h ich is at least as

st r i n g e n t as t h e e m is s i o n l i m its that t h e e n gi n e to be re p lac e d h ad t o mee t wh e n

origin all y p laced on th e ma rk et;

(b) belo n g to a c a te g o r y e qu iva l e n t t o N R E a n d w ith a re f ere n c e p o w e r g re a t e r t h an

560 k W, whe r e t h e r e p lac e m e n t e n gi n e a n d t h e o r ig in al eng in e b e lo n g to an engi n e

c a te go r y a n d p o w e r r a n ge t h at w as n ot s ub j e c t t o type ap p r oval at Union lev e l on

… * ;

9 c . M e m b e r S t a t e s m ay de c i d e n ot t o a pp ly th i s R e g u latio n , f or a p er iod e nd i n g n o lat e r

than … * *, to en gin es installed i n cotton h arvestin g mach in ery.

10. M a nuf a c tur e r s s h all en s u r e t h at re p la c e m e n t en gi n e s co m p ly w ith t h e m a r k i n g set o u t

in p oin t (b ) of Article 3 1(2).


* [Day before th e date of r epeal of Dire cti ve 97/68/ EC ]** [OJ, pl e ase ins e rt th e d a te: 10 ye ars af t e r t h e date of p u bl i c at i on of this Re g u la t io n ]

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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. By 31 D ec e m be r 2022, on the basis of the information supplied under paragraph 1, the

Commission shall s ub m it a report to the European Parliament and the Council on the

application of this Regulation.

Article 59

Review

- 1. By 31 D ec e m be r 2018, th e C o m m is s ion s h all s u b m it a r e p o r t t o the E u r o p e an

P a r l i a me n t and t o the Cou n c il re ga r d i n g the a ssess me n t of t h e p oss i b i l ity of lay i n g

d own h a r m o n ised m e a s u re s f or t h e i n stallation of re t r o f it e m is s ion c o n t r ol d e vic e s on

e n gi n e s in n o n -r oad m o b i l e m a c h i n er y that has alr e a d y b ee n p lac e d on t h e Un i on

m a r k e t, incl ud i n g t e c hn ical me as u re s a n d f i n a nc ial i n ce n tive sch e m e s, as a m e a n s of

h e l p i n g Me m b e r S t a t e s to c o m p ly w ith U n ion ai r qu al i ty l e gis l a t ion b y assessi n g p oss i b le

a c tion agai n st air po l l u t ion in d e n s e ly p o p u lat e d a re as, in du e re s p ec t of t h e Un i on r u les

on sta t e ai d .


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; in p a r ti c u lar, f or e n gi n e s of

c a te go r i e s I W P a n d IWA, t h e asses s m e n t of t h e tec hn olog i c al a n d ec o n o m ical

f easib ility of a fu rther redu ction of :

- th e e miss ion li mit valu e f or th e PN an d NOx emiss ion s,

- the A- f a c tor f or fu l l y a n d p a r tially gas e o u s - fuel l e d e n gi n e s in t h e f r a m e w o r k of

a cli ma te-n eut ral op era tion comp ar ed to d iesel fu ell ed en gin es;

- a n d t h e p o te n tial a d d it i on of P N li m it val u e s to those e n gi n e c a te g o r ies that do

n ot h ave on e set in Annex II of th is Regu lation ;

(b) the identification of potentially relevant pollutant types that do not 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 the use of the exemption clauses provided for in Article 32(3) and

(4), and the monitoring of results of the emission tests set out in Article 18 and the

conclusions thereof.

T h e re p o r t s h all also e val u a t e t h e te sts re qu ir e d f or EU t y p e - a pp r oval as set o u t in

A r ti c le 23 and 24, w ith a p a r ti c u lar f o c u s on th e e x te n t to wh ich those te sts c o rre s p o n d

to r e al eng in e o p er a t ion c o nd itio n s, a n d t h e f e a si b i l ity o f i n t r o du c i n g t e sts f or

p a r ti c u late e m is s io n s as p a r t of t h e i n - s er vice te sti n g set o u t in A r ti c le 18 .

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3. The reports referred to in paragraphs 1 and 2 shall:

(a) b e based on a consultation of the relevant stakeholders;

(b) take into account existing related Un ion and international standards; and

(c) be accompanied, where appropriate, by legislative proposals.

Arti cle 59a

A mend men t to Dir ec tive 97/68/ EC

Directiv e 97/68/ EC is amend ed as f oll ow s:

(1) in Article 9(4a), the f ollow in g su bp aragraph s are add ed :

" By w ay of d er ogation fr o m the f irst s ubp a r ag r a ph , Me m be r S ta te s m a y a u thoris e , on

re qu e st by an O E M , t h e p e r m is s ion t o p lace on t h e m a r k e t e n gi n e s that m e e t Stage IIIA

e m is s ion l i m it val u e s, und e r t h e c o nd ition t h at t h ose e n gi n e s are i n t e nd e d f or i n stallati o n

in a n o n -r oad m o b i l e m a c h i n er y to be used i n p o te n tially e x p los i ve at m os ph ere s, as

d ef in ed in Directive 201 4/34/ EU of th e Eu rop ean Parli a men t and th e C oun cil .

M a nuf a c tur e r s s h all p r ovi d e t h e a pp r oval a u t h o r ity w ith du e e vi d e n c e t h at t h e e n gi n e s

a r e e x c l u sively i n stalled in n o n -r oad m o b i l e m a c h i n er y ce r ti f ied as m ee ting t h ose

re qu ir e m e n ts. A la b e l b e a r i n g the te x t ' E n gi n e for r e st r ict e d u se in m a c h i n e ry

m a nu fa c t u r e d by ', f ol l o w e d b y the n a m e of t h e O E M a n d t h e u n i qu e re f ere n c e of t h e

associa te d d er ogation s h all b e af f ixed to any s uc h e n gi n e s, n e xt t o the en gi n e sta t u to r y

m a r k i n g set out in se c tion 3 of A n n e x I.


By w ay o f d er ogation f r om the f irst s ubp a r ag r a ph , Me m be r S ta te s m ay g r a n t EU t y p e

a pp r oval a n d a u thorise t h e p laci n g on t h e m a r k e t of e n gi n e s of c a te go r y RLL w ith a

m ax i m u m ne t po w e r g r e a te r than 2000 k W that do n ot c o m p ly w ith t h e e m is s ion l i m its

s e t out in An n e x II, that a r e t o b e i n stalled i n loc o m o t ives wh ich o n ly run on a

t e c hn ically i solat e d 1520 m m r ai l w ay n e t w o r k . Duri n g that pe r io d , t h e e n gi n e s p lac e d on

the m a r k e t sha l l c o m p l y at l e ast w ith t h e e m is s ion l i m its that e n gi n e s h ad t o m e e t to be

p laced on th e marke t o n 31 Dece mbe r 2011." ;

(2) in Article 10, th e f oll owin g p aragrap h is add ed:

" 8. M e m b e r S ta t e s m a y d ec i d e n ot t o a pp ly t h is Di rec tive to e n gi n e s i n stalled i n c o t ton

h arvestin g ma ch in ery." .

Article 59b

A mend men t to R egu lation (EU) No 1024/2012

In th e Ann ex to Regu lation (EU) No 1024/2012, th e f oll ow in g p oin t is add ed :

" 6. R e g u lation ( EU) 2016 / … * of t h e E u r op e an P a r li am e n t and of t h e Co u n c il

of … ** on re qu ir e m e n ts re lati n g t o gas e o u s a n d p a r ti c u l a te p ol lu tant e m is s ion

l i m its a n d t y p e - a pp r oval f or i n t e r n al c om bu stion e n gi n e s f or n o n -r oad m o b i l e

m a c h i n er y, a m e nd i n g

a n d re p e al in g Di rec tive 97/68 / EC and a m e nd i n g R e g u lation ( EU) No 1 024/2012 : Ar ti c le

42.

* [OJ: Please in sert th e referen ce for th is R egu lat ion ]

** [OJ: Ple a se i n s e rt p u bl i c at i on re fe r e n c e f or t h is R e g u la t io n ]

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Arti cle 59c

Am en dm en t t o Regulat ion (EU) No 167/2013

Article 19 is a mend ed as f oll ow s:

(1) p aragrap h 3 is rep laced b y the f oll ow in g:

" 3. T h e p r ovis i o n s r e ga r d i n g e n gi n e c a te go r ies, e x h a u st e m is s ion l i m its, t e st c y c les,

e m is s ion du r a b i l ity pe r io d s, exha u st e m is s ion r e qu ir eme n ts, r e qu ir e m en ts re ga r d i n g

m o n ito r i n g of e m is s io n s of i n - s er vice e n gi n e s, a n d c o n d u c t of m e as ure me n ts and te sts,

as w e ll as the tr a n sitio n al p r ovis i o n s a n d p r ovi s io n s all o w i n g f or t h e e a r ly E U t y p e -

a pp r oval a n d p laci n g o n t h e m a r k e t of S tage V e n gi n e s as l aid d own f o r n o n -r oad

m ob il e m a c h in er y in R e gu lation ( E U) [ 2016/…] of t h e E u r o p e an P a r l i am e n t and of t h e

Coun cil * an d th e d elegated an d imp le men ting acts adop ted th ereunde r sh all app ly.

For the purposes of placing on the market, registration or entry into service of

tractors of c a t e g o r i e s T 2 , T 4 . 1 a n d C 2 , t h e e n g i n e s i n t h e p o w e r r a n g e 5 6 – 13 0 k W

m e e t i n g t h e S t a g e IIIB re q u i r e m e n ts s h a ll be c o n s i d e r e d t o b e tr an sit i on e n g i n e s a s

d e f i n e d i n p o in t

(30) of Article 3 of Regulation (EU) [2016/….]*

* R e gu lat ion ( E U) No 20 1 6/… of th e E u rope a n P a rli a m e n t an d of t h e

C o u n c il of … on requirements relating to gaseous and particulate pollutant

emission limits and typ e- appro v al for i n ternal co m b u s t i on e n g i n e s for no n - road

m obi l e m a c h i n e r y , a m e n d i n g Regula t i o n s ( EU) No 1024/2012 a n d (EU) No

167/2013 a n d a m e n d i n g a n d re pe al in g Dir ec t i v e 97/68 / EC


(2) in p aragrap h 6, the f ollow in g su bp aragrap h is add ed :

" By w ay of d er ogation fr o m t h e p r i n c i p le s e t o u t in t h e se c o n d s ubp a r a g r a ph , t h e

C o m m is s ion s h all b e em p o w ere d t o a me n d b y 31 D ec e m b e r 2016 C o m m is s ion

Delegated R egu lation (EU) 2015/96 * so that:

(a) f or t h e pu r p oses of EU t y pe - a pp r oval f or tr a c to r s of c a te g o r ies T2, T4.1 a n d C2, t h e

p er iod of p ostp o n e m e n t set o u t in A r ti c le 1 1 (4) of R e g u lation ( EU) 2015/96 is f o u r

years; and

(b) u nd e r t h e f lexi b i l ity s c he m e a c c o r d i n g to A r ti c le 14 of R e g u lation ( EU) 2015/96 the

f lexi b i l i ty all o w e d pu r s u a n t t o p oi n t 1.1 . 1 of A nn e x V t o that Re g u lat i on is in cre ased to

150% .

* C o m m is s i o n D e legat e d Regula t ion ( EU) 2015/ 9 6 of 1 O c tober 2014 s u p ple m e n t i n g

R e g u la t ion ( EU) No 16 7 /2013 of t h e E u rope a n P arl i a m e n t a n d of t h e Co un c il as

r e gards enviro n m en tal a n d prop u ls i o n u n it p e rfor m a n c e requir e m e n ts of

agri c u l tu ral a n d for e st r y ve h icl e s ( O J L 16, 23.1 . 2015, p. 1 ) . " .

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Article 60

Repeal

1. Without prejudice to Article 57(1) t o (4) of t h is R e g u latio n , Directive 97/68/EC is repealed

with effect from 1 January 2017.

2. Ref eren ces to th e r ep ea led Directive sh all b e co n stru ed as ref eren ces to th is Regu lation .

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, w ith t h e e x c ep tion of A r ti c le 59a wh i c h s h all a p p ly

f rom …* .

From … a pp r oval authorities shall not refuse to grant EU type-approval for a new type of

engine or engine family or prohibit its placing on the market where that engine type or

engine family complies with Chapters II, III, IV and VIII a n d t h e d e lega te d a n d

i m p l e me n ting a c ts

ad op ted pu rsu an t to this Regu lation .

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

Done at


[OJ: please i n s e rt da t e of e n try i n to for c e of this R e g u la t io n ]

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ANNEXES

ANNEX IDefinition 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 I

gnitiSpeed

oPower range

(

Sub-c

Referen

NRE

CI

variable

0<P<8 NRE-v-1

Maximum net power

CI 8≤P<19 NRE-v-2CI 19≤P<37 NRE-v-3CI 37≤P<56 NRE-v-4

all56≤P<130 NRE-v-5130≤P≤560 NRE-v-6

P>560 NRE-v-7CI

constant

0<P<8 NRE-c-1

Rated net power

CI 8≤P<19 NRE-c-2CI 19≤P<37 NRE-c-3CI 37≤P<56 NRE-c-4

all56≤P<130 NRE-c-5130≤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 I

gnitiSpeed

oPower range

(

Sub-c

Referen

NRG allvariable P>560 NRG-v-1 Maximum

net

constant P>560 NRG-c-1Rated

net power

Table I-3: Sub-categories of engine category NRSh defined in Article 4 point (3)Category I

gnitiSpeed

oP

owerrange

Swept volume

(

Sub-c

Referen

NRSh SI variable or c

0<P<19SV<50 NRSh-v-

1a Maximum net SV≥50 NRSh-v-

1bTable I-4: Sub-categories of engine category NRS defined in Article 4 point (4)

Category Igniti

Speed o

Powerrange

Swept volume

(

Sub-c

Referen

NRS SI

variable≥3600 rpm;

0<P<19

80≤SV<225 NRS-vr-1a

Maximum net power

SV≥225NRS-vr-1b

Variable

80≤SV<225 NRS-vi-1aSV≥225 NRS-vi-1b

variable or constant

19≤P<30SV≤1000 NRS-v-

2aMaximum net powerSV>1000 NRS-v-

2b30≤P<56 any NRS-v-3 M

aximum For engines <19kW with SV<80cm3 in machinery other than hand-held machinery, engines of the category NRSh shallbe used.

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Table I-5: Sub-categories of engine category IWP defined in Article 4 point (5)Category I

gnitiSpeed

oPower range

(

Sub-c

Referen

IWP

all

variable

19≤P<75 IWP-v-1Maximum

net power

75≤P<130 IWP-v-2130≤P<300 IWP-v-3

P≥300 IWP-v-4

constant

19≤P<75 IWP-c-1Rated

net power

75≤P<130 IWP-c-2130≤P<300 IWP-c-3

P≥300 IWP-c-4

Table I-6: Sub-categories of engine category IWA defined in Article 4 point (6)Category I

gnitiSpeed

oPower range

(

Sub-c

Referen

IWA all

variable

19≤P<75 IWA-v-1Maximum

net power

75≤P<130 IWA-v-2130≤P<300 IWA-v-3

P≥300 IWA-v-4

constant

19≤P<75 IWA-c-1

Rated net power

75≤P<130 IWA-c-2130≤P<300 IWA-c-3

P≥300 IWA-c-4


Table I-7: Sub-categories of engine category RLL defined in Article 4 point (7)Category I

gnitiSpeed

oPower range

(

Sub-c

Referen

RLL allvariable P>0 RLL-v-1 Maximum

net

constant P>0 RLL-c-1Rated

net power

Table I-8: Sub-categories of engine category RLR defined in Article 4 point (8)Category I

gnitiSpeed

oPower range

(

Sub-c

Referen

RLR allvariable P>0 RLR-v-1 Maximum

net

constant P>0 RLR-c-1 Rated net

Table I-9: Sub-categories of engine category SMB defined in Article 4 point (9)Category I

gnitiSpeed

oPower range

(

Sub-c

Referen

SMB SI variable or

P>0 SMB-v-1 Maximum net

Table I-10: Sub-categories of engine category ATS defined in Article 4 point (10)Category I

gnitiSpeed

oPower range

(

Sub-c

Referen

ATS SI variable or

P>0 ATS-v-1 Maximum net

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Emissionstage

Enginesub- c

Powerrange

Engine

i

CO HC NOx PMmass

PN A

kW g/kWh g/kWh

g/kWh

g/kWh #/kWh

Stage VNRE-v-1NRE-c-1

0<P<8 CI 8,00 (HC+NOx≤7,5

1) - 1,10


8≤P<19 CI 6,60 (HC+NOx≤7,5

0,40 -1,10


19≤P<37 CI 5,00 (HC+NOx≤4,7

0,015 1x1012 1,10


37≤P<56 CI 5,00 (HC+NOx≤4,7

0,015 1x1012 1,10


56≤P<130 all 5,00 0,19 0,40 0,015 1x1012

1,10


130≤P≤560

all 3,50 0,19 0,40 0,015 1x1012

1,10


P>560 all 3,50 0,19 3,50 0,045 -6,00

ANNEX IIExhaust 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)

0,40

1) 0,6 for hand-startable, air-cooled direct injection engines


Emissionstage

Engine sub-category

Powerrange

Engine

i

CO HC + NOx

kW g/kWh g/kWh

Stage V NRS-vr-1aNRS-vi-1a 0<P<19

SI

610 10

Stage V NRS-vr-1bNRS-vi-1b 610 8

Stage V NRS-v-2a 19≤P≤30

610 8

Stage V NRS-v-2bNRS-v-3 1

9≤P<564,40* 2,70*

Table II-2: Stage V emission limits for engine category NRG defined in Article 4 point (2)Emission stage

Engine sub- categor

Power range

Engine

ignitio

CO HC NOx PMmass

PN A

kW g/kWh g/kWh

g/kWh g/kWh #/kWh

Stage V NRG-v-1NRG-c-

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)Emissionstage

Engine sub-category

Powerrange

Engine

i

CO HC + NOx

kW g/kWh g/kWhStage V NRSh-v-1a 0<P<19 SI 805 50Stage V NRSh-v-1b 603 72

Table II-4: Stage V emission limits for engine category NRS defined in Article 4 point (4)

* 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

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Table II-5: Stage V emission limits for engine category IWP defined in Article 4 point (5)Emissionstage

Enginesub- c

Powerrange

Engine

i

CO HC NOx PMmass

PN A

kW g/kWh g/kWh

g/kWh

g/kWh #/kWh

Stage VIWP-v-1IWP-c-1 19≤P<75 all 5,00 (

HC+NOx≤4,70,30 - 6,00

Stage VIWP-v-2IWP-c-2 75≤P<130 all 5,00 (

HC+NOx≤5,40,14 - 6,00

Stage VIWP-v-3IWP-c-3 13

0≤P<300all 3,50 1,00 2,10 0,10 - 6,00

Stage VIWP-v-4IWP-c-4 P≥300 all 3,50 0,19 1,80 0,015 1x1012 6,00


130

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Table II-6: Stage V emission limits for engine category IWA defined in Article 4 point (6)Emissionstage

Enginesub- c

Powerrange

Engine

i

CO HC NOx PMmass

PN A

kW g/kWh g/kWh

g/kWh

g/kWh #/kWh

Stage V

IWA-v-1IWA-c-1 19≤P<75 all 5,00 (

HC+NOx≤4,70)

0,30 - 6,00

Stage VIWA-v-2IWA-c-2

75≤P<130 all 5,00 (HC+NOx≤5,4

0,14 - 6,00

Stage V IWA-v-3IWA-c-

130≤P<300

all 3,50 1,00 2,10 0,10 - 6,00

Stage VIWA-v-4IWA-c-4

P≥300 all 3,50 0,19 1,80 0,015 1x1012 6,00

Table II-7: Stage V emission limits for engine category RLL defined in Article 4 point (7)Emissionstage

Enginesub- c

Powerrange

Engine

i

CO HC NOx PMmass

PN A

kW g/kWh g/kWh

g/kWh

g/kWh #/kWh

Stage VRLL-c-1RLL-v-1 P>0 all 3,50 (

HC+NOx≤4,00,025 - 6,00

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Emissionstage

Enginesub- c

Powerrange

Engine

i

CO HC NOx PMmass

PN A

kW g/kWh g/kWh

g/kWh g/kWh #/kWh

Stage VRLR-c-1RLR-v-1 P>0 all 3,50 0,19 2,00 0,015 12 6,00

Table II-8: Stage V emission limits for engine category RLR defined in Article 4 point (8)

1x10

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

i

CO NOx

HC

kW g/kWh g/kWh g/kWhStage 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

i

CO HC + NOx

kW g/kWh g/kWhStage 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 gaseousfuelled engines indicated in T ables I I - 1 to I I - 10 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.

0,19+A

0,19

0 20 40 60 80 100Average gas energy ratio (GER), %

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 andNOx shall be reduced by 0,19 g/kWh and apply for NOx only.3. For non-gaseous fuelled engines the formula does not apply.

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ANNEX IIITimetable 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

EU type- approval of engines

Placing on the market of engines

NRE

CI 0<P<8 NRE-v-1NRE-c-1 1 January 2018 1 January 2019

CI 8≤P<19 NRE-v-2NRE-c-2

CI19≤P<37 NRE-v-3

NRE-c-3 1 January 2018 1 January 201937≤P<56 NRE-v-4

NRE-c-4

all

56≤P<130 NRE-v-5NRE-c-5 1 January 2019 1 January 2020

130≤P≤560

NRE-v-6NRE-c-6 1 January 2018 1 January 2019

P>560NRE-v-7NRE-c-7 1 January 2018 1 January 2019


Table III-2: Dates of application of this Regulation for engine category NRG

Category Igniti

Power range (kW)

Sub- category Mandatory date of application of

thisEU type- approval of engines


NRG all P>560 NRG-v-1NRG-c-1 1 January 2018 1 January 2019

Table III-3: Dates of application of this Regulation for engine category NRShCategory I

gnition type

Powerrange (kW)

Sub-category


Regulation for



NRSh SI 0<P<19NRSh-v-1aNRSh-v-1b 1 January 2018 1 January 2019

Table III-4: Dates of application of this Regulation for engine category NRSCategory I

gnitiP

owerrange

Sub-category




NRS SI 0<P<56

NRS-vr-1aNRS-vi-1a NRS-vr-1b NRS-vi-1b NRS-v-2a NRS-v-2b NRS-v-3

1 January 2018 1 January 2019

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Table III-5: Dates of application of this Regulation for engine category IWPCategory I

gnition type

Powerrange (kW)

Sub-category


Regulation for



IWP

all19<P<300

IWP-v-1IWP-c-1IWP-v-2IWP-c-2IWP-v-3IWP-c-3

1 January 2018

1 January 2019

P≥300 IWP-v-4IWP-c-4 1 January

20191 January 2020

Table III-6: Dates of application of this Regulation for engine category IWACategory I

gnitiP

owerrange

Sub-category




IWA all19≤P<300

IWA-v-1IWA-c-1IWA-v-2IWA-c-2IWA-v-3IWA-c-3

1 January 2018

1 January 2019

P≥300 IWA-c-4IWA-c-4 1 January

20191 January 2020


Table III-7: Dates of application of this Regulation for engine category RLLCategory I

gnitiP

owerrange

Sub-category

Mandatory date of application of thisRegulation for

EU type- approval of

engines


RLL all P>0RLL-v-1RLL-c-1 1 January 2020 1 January 2021

Table III-8: Dates of application of this Regulation for engine category RLRCategory I

gnition

Powerrange (kW)

Sub-c

ategory



engines


RLR all P>0RLR-v-1RLR-c-1 1 January 2020 1 January 2021

Table III-9: Dates of application of this Regulation for category SMBCategory I

gnitiP

owerrange

Sub-c



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 ATSCategory I

gnitiPower

range (kW)

Sub- categor



engines


ATS SI P>0 ATS-v-1 1 January 2018 1 January 2019

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ANNEX IVNon-road steady-state test cycles (NRSC)

Table IV-1: NRSC test cycles for engines of category NRECategory

Speed

Purpose

Sub- c at e go r y

NRSC

NRE

variable

Variable speed engine having a reference power less than 19 kW

NRE-v-1NRE-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-3NRE-v-4NRE-v-5NRE-v-6

C1

Variable speed engine having a reference power greater than 560

NRE-v-7 C1

constant Constant speed engine

NRE-c-1NRE-c-2NRE-c-3NRE-c-4NRE-c-5NRE-c-6NRE-c-7

D2

Table IV-2: NRSC test cycles for engines of category NRGCategory

Speed

Purpose

Sub- c at e go r y

NRSC

NRGvariable Variable speed engine for generating

setNRG-v-1 C1

constant Constant speed engine for generating set

NRG-c-1 D2

Table IV-3: NRSC test cycles for engines of category NRShCategory

Speed

Purpose

Sub- c at e go r y

NRSC

NRSh variable or constant

Engine having a reference power of not more than 19 kW, for use in handheld machinery

NRSh-v-1aNRSh-v-1b

G3


Table IV-4: NRSC test cycles for engines of category NRSCategory Speed

o per at i o n Purpose Sub-

c at e go r y NRSC

NRS

variable<3600rpm

Variable speed engine having a reference power of not more than 19 kW, intended for operation <3600rpm

NRS-vi-1aNRS-vi-1b

G1

variable≥3600rpm;or constant

Variable speed engine having a reference power of not more than 19 kW, intended for operation ≥3600rpm; constant speed engine having a reference power of not more than 19 kW

NRS-vr-1aNRS-vr-1b

G2


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-2bNRS-v-3

C2

Table IV-5: NRSC test cycles for engines of category IWPCategory Speed


c at e go r y NRSC

IWP

variable Variable speed engine intended for propulsion that operates on a fixed-pitch propeller curve

IWP-v-1IWP-v-2IWP-v-3IWP-v-4

E3

constantConstant speed engine intended for propulsion that operates with a controllable-pitch or electrically coupled propeller

IWP-c-1IWP-c-2IWP-c-3IWP-c-4

E2

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Table IV-6: NRSC test cycles for engines of category IWACategory Speed

o per at i o n P

urpoSub-

c at e go r y NRSC

IWA

variable Variable speed engine intended for auxiliary use on inland waterway vessels

IWA-v-1IWA-v-2IWA-v-3IWA-v-4

C1

constant Constant speed engine intended for auxiliary use on inland waterway vessels

IWA-c-1IWA-c-2IWA-c-3IWA-c-4

D2

Table IV-7: NRSC test cycles for engines of category RLLCategory Speed


c at e go r y NRSC

RLLvariable Variable speed engine for

propulsion of locomotivesRLL-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 RLRCategory Speed


c at e go r y NRSC

RLRvariable Variable speed engine for

propulsion of railcarsRLR-v-1 C1

constant Constant speed engine for propulsion of railcars

RLR-c-1 D2


Category

Speed

Purpose Sub- c at e go r y

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-2bNRS-v-3

LSI- NRTC

Table IV-9: NRSC test cycles for engines of category SMB

Category Speedo per at i o n

Purpose Sub- c at e go r y NRSC

SMB variable or constant

Engines for propulsion of snowmobiles SMB-v-1 H

Table IV-10: NRSC test cycle for engines of category ATSCategory Speed

o per at i o n Purpose Sub- c at e go r y NRSC

ATS variable or constant

Engines for propulsion of ATV or SbS ATS-v-1 G1

Non-road transient test cyclesTable IV-11: Non-road transient test cycle for engines of category NRECategory Speed

o per at i o n P

urposeSub- c at e go r y

NRE variableVariable speed engine having

reference power greater than or equal to 19 kW but not more than 560 kW

NRE-v-3NRE-v-4NRE-v-5NRE-v-6

NRTC

Table IV-12: Non-road transient test cycle for engines of category NRS(1)

(1) Only applicable for engines with maximum test speed ≤ 3400rpm.

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ANNEX VEmission durability periods referred to in Article 24(1)

Table V-1: Emission durability periods (EDP) for engine category NRECategory Ignition type Speed o per at i o n Power range

(kW)Sub-

categoryEDP (hours)

NRE

CI

variable

0<P<8 NRE-v-1300

0CI 8≤P<19 NRE-v-2CI 19≤P<37 NRE-v-3 500

0CI 37≤P<56 NRE-v-4

8000all

56≤P<130 NRE-v-5130≤P≤560 NRE-v-6

P>560 NRE-v-7CI

constant

0<P<8 NRE-c-1300

0CI 8≤P<19 NRE-c-2CI 19≤P<37 NRE-c-3CI 37≤P<56 NRE-c-4

8000all

56≤P<130 NRE-c-5130≤P≤560 NRE-c-6

P>560 NRE-c-7

Table V-2: Emission durability period (EDP) for engine category N R G Category Ignition type Speed o per at i o n Power range

(kW)Sub-

categoryEDP (hours)

NRG allconstant

P>560NRG-v-1

8000variable NRG-c-1


Category Ignition

Speed o per at i o n

Powerrange (kW)

Swept volume(cm3)

Sub-c

ategory

EDP (hours)

NRSh SI variable or constant 0<P<19

SV<50 NRSh-v-1a1)

SV≥50 NRSh-v-1b



Power range (kW)

Swept volume

(cm

Sub- category

EDP (hours)

NRS SI

variable≥3600rpm;or constant

0<P<19

80≤SV<225

NRS-vr-1a 125/250/5001)

variable<3600rpm NRS-vi-

1a

variable≥3600rpm;or constant SV≥225

NRS-vr-1b 25

0/500/10001)variable

<3600rpm NRS-vi-1b


19≤P<30SV≤1000

NRS-v-2a

1000

SV>1000

NRS-v-2b

5000

30≤P<56 an

NRS-v-3 5000

Table V-3: Emission durability period (EDP) for engine category NRSh

50/125/300

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 NRS

1) EDP hours correspond to the EDP categories Cat 1/Cat 2/Cat 3 as defined in the delegated acts

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Table V-5: Emission durability period (EDP) for engine category IW PCategory Ignition type Speed o per at i o n Power range

(kW)Sub-

categoryEDP (hours)

IWP all

variable

19≤P<75 IWP-v-1

1000075≤P<130 IWP -v-2

130≤P<300 IWP -v-3

P≥300 IWP -v-4

constant

19≤P<75 IWP -c-1

1000075≤P<130 IWP -c-2

130≤P<300 IWP -c-3

P≥300 IWP -c-4


Table V-6: Emission durability period (EDP) for engine category IWACategory Ignition

typeSpeed

o per at i o n Power range

(kW)Sub-

categoryEDP (hours)

IWA all

variable

19≤P<75 IWP-v-1

1000075≤P<130 IWP -v-2

130≤P<300 IWP -v-3

P≥300 IWP -v-4

constant

19≤P<75 IWP -c-1

1000075≤P<130 IWP -c-2

130≤P<300 IWP -c-3

P≥300 IWP -c-4

Table V-7: Emission durability period (EDP) for engine category RLLCategory Ignition

typeSpeed

o per at i o n Power range

(kW)Sub-

category EDP (hours)

RLL allvariable P>0 RLL-v-1

10000

constant P>0 RLL-c-1

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Category Ignition

Speed oper at i o n

Power range(kW)

Sub- category

EDP (hours)

SMB SIvariable or constant

P>0 SMB-v-1 4003)



Power range(kW)

Sub-category

EDP (hours)

ATS SI variable or constant

P>0 ATS-v-1 500/10002)

Table V-8: Emission durability period (EDP) for engine category RLRCategory I

gnition type

Speed oper at i o n

Power range(kW)

Sub-category

EDP (hours)

RLR allvariable P>0 RLR-v-1

10000

constant P>0 RLR-c-1

Table V-9: Emission durability period (EDP) for category SMB

3) a lter nat iv ely, a n e mis sio n dura bility perio d o f 800 0 km is per mitt ed

Table V-10: Emission durability period (EDP) for engine category ATS

2) EDP hours correspond to the following total engine swept volumes: <100 cm3 / ≥100 cm3.


ANNEX VISp ec ial pu r p ose e n gi n e (S P E) emission limit values referred to in Article 32(4)

Table VI-1: S P E emission limit values for engine category NREEmissionstage

Enginesub- category

Powerrange

Engineignition

type

CO THC NOx PMmass

A

kW g/kWh g/kWh g/kWh g/kWh

SPE NRE-v-1NRE-c-1 0<P<8 CI 8 7,5 0,4 6,0

SPE NRE-v-2NRE-c-2 8≤P<19 CI 6,6 7,5 0,4 6,0

SPE NRE-v-3NRE-c-3 19≤P<37 CI 5,5 7,5 0,6 6,0

SPE NRE-v-4NRE-c-4 37≤P<56 CI 5,0 4,7 0,4

6,0

SPE NRE-v-5NRE-c-5 56≤P<130 all 5,0 4,0 0,3 6,0

SPE NRE-v-6NRE-c-6 130≤P≤560 all 3,5 4,0 0,2 6,0

SPE NRE-v-7NRE-c-7 P>560 all 3,5 6,4 0,2 6,0

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Emissionstage

Enginesub- category

Powerrange

Engineignition

type

CO THC NOx PMmass

A


SPE RLL-v-1RLL-c-1 P≤560 all 3,5 (HC+NOx≤4,0) 0,2 6,0

SPE RLL-v-1RLL-c-1 P>560 kW all 3,5 0,5 6,0 0,2 6,0

SPERLL-v-1RLL-c-1

P>2000 kW and

SVc1)>5 litres

all 3,5 0,4 7,4 0,2 6,0

Table VI-2: S PE emission limit values for engine category NRGEmissionstage

Enginesub- category

Powerrange

Engineignition

type

CO HC NOx PMmass

A


SPE NRG-c-1 P>560 all 3,5 6.4 0,2 6,0NRG-v-1

Table VI-3: S PE emission limit values for engine category RLL

1) Swept Volume per cylinder


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