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Document 02016R1628-20210630
Regulation (EU) 2016/1628 of the European Parliament and of the Council of 14 September 2016 on requirements relating to gaseous and particulate pollutant emission limits and type-approval for internal combustion engines for non-road mobile machinery, amending Regulations (EU) No 1024/2012 and (EU) No 167/2013, and amending and repealing Directive 97/68/EC (Text with EEA relevance)Text with EEA relevance
Consolidated text: Regulation (EU) 2016/1628 of the European Parliament and of the Council of 14 September 2016 on requirements relating to gaseous and particulate pollutant emission limits and type-approval for internal combustion engines for non-road mobile machinery, amending Regulations (EU) No 1024/2012 and (EU) No 167/2013, and amending and repealing Directive 97/68/EC (Text with EEA relevance)Text with EEA relevance
Regulation (EU) 2016/1628 of the European Parliament and of the Council of 14 September 2016 on requirements relating to gaseous and particulate pollutant emission limits and type-approval for internal combustion engines for non-road mobile machinery, amending Regulations (EU) No 1024/2012 and (EU) No 167/2013, and amending and repealing Directive 97/68/EC (Text with EEA relevance)Text with EEA relevance
02016R1628 — EN — 30.06.2021 — 002.001
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REGULATION (EU) 2016/1628 OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL of 14 September 2016 on requirements relating to gaseous and particulate pollutant emission limits and type-approval for internal combustion engines for non-road mobile machinery, amending Regulations (EU) No 1024/2012 and (EU) No 167/2013, and amending and repealing Directive 97/68/EC (OJ L 252 16.9.2016, p. 53) |
Amended by:
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Official Journal |
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date |
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REGULATION (EU) 2020/1040 OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL of 15 July 2020 |
L 231 |
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17.7.2020 |
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REGULATION (EU) 2021/1068 OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL of 24 June 2021 |
L 230 |
1 |
30.6.2021 |
Corrected by:
REGULATION (EU) 2016/1628 OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL
of 14 September 2016
on requirements relating to gaseous and particulate pollutant emission limits and type-approval for internal combustion engines for non-road mobile machinery, amending Regulations (EU) No 1024/2012 and (EU) No 167/2013, and amending and repealing Directive 97/68/EC
(Text with EEA relevance)
CHAPTER I
SUBJECT MATTER, SCOPE AND DEFINITIONS
Article 1
Subject matter
This Regulation also lays down certain obligations in relation to non-road mobile machinery in which an engine as referred to in Article 2(1) is being, or has been, installed, as regards the emission limits for gaseous and particulate pollutants from such engines.
Article 2
Scope
This Regulation does not apply to engines for:
the propulsion of vehicles referred to in Article 2(1) of Directive 2007/46/EC of the European Parliament and of the Council ( 1 );
the propulsion of agricultural and forestry tractors as defined in point (8) of Article 3 of Regulation (EU) No 167/2013;
the propulsion of vehicles referred to in Article 2(1) of Regulation (EU) No 168/2013 of the European Parliament and of the Council ( 2 );
stationary machinery;
sea-going vessels requiring a valid maritime navigation or safety certificate;
craft as defined in Directive (EU) 2016/1629 of the European Parliament and of the Council ( 3 ) and not falling within its scope;
the propulsion or auxiliary purposes of inland waterway vessels of a net power of less than 19 kW;
watercraft as defined in point (1) of Article 3 of Directive 2013/53/EU of the European Parliament and of the Council ( 4 );
aircraft as defined in point (a) of Article 2 of Commission Regulation (EU) No 1321/2014 ( 5 );
recreational vehicles, except snowmobiles, all-terrain vehicles and side-by-side vehicles;
vehicles and machinery exclusively used or intended to be exclusively used in competitions;
portable fire-fighting pumps as defined and covered by the European standard on portable fire-fighting pumps ( 6 );
reduced-scale models or reduced-scale replicas of vehicles or machinery manufactured, for recreational purposes, to a smaller scale than the original and having a net power of less than 19 kW.
Article 3
Definitions
For the purposes of this Regulation, the following definitions apply:
‘non-road mobile machinery’ means any mobile machine, transportable equipment or vehicle with or without bodywork or wheels, not intended for the transport of passengers or goods on roads, and includes machinery installed on the chassis of vehicles intended for the transport of passengers or goods on roads;
‘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;
‘gaseous pollutants’ means the following pollutants in their gaseous state emitted by an engine: carbon monoxide (CO), total hydrocarbons (HC) and oxides of nitrogen (NOx); NOx being nitric oxide (NO) and nitrogen dioxide (NO2), expressed as NO2 equivalent;
‘particulate matter’ or ‘PM’ means the mass of any material in the gas emitted by an engine that is collected on a specified filter medium after diluting the gas with clean filtered air so that the temperature does not exceed 325 K (52 °C);
‘particle number’ or ‘PN’ means the number of solid particles emitted by an engine with a diameter greater than 23 nm;
‘particulate pollutants’ means any matter emitted by an engine that is measured as PM or PN;
‘internal combustion engine’ or ‘engine’ means an energy converter, other than a gas turbine, designed to transform chemical energy (input) into mechanical energy (output) with an internal combustion process; it includes, where they have been installed, the emission control system and the communication interface (hardware and messages) between the engine's electronic control unit(s) and any other powertrain or non-road mobile machinery control unit necessary to comply with Chapters II and III;
‘engine type’ means a group of engines which do not differ in essential engine characteristics;
‘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;
‘parent engine’ means an engine type selected from an engine family in such a way that its emissions characteristics are representative of that engine family;
‘replacement engine’ means an engine that:
is exclusively used to replace an engine already placed on the market and installed in non-road mobile machinery; and
complies with an emission stage which is lower than that applicable on the date of the engine's replacement;
‘in-service engine’ means an engine that is operated in non-road mobile machinery over its normal operating patterns, conditions and payloads, and is used to perform the emission monitoring tests as referred to in Article 19;
‘CI engine’ means an engine that works on the compression-ignition (‘CI’) principle;
‘SI engine’ means an engine that works on the spark-ignition (‘SI’) principle;
‘hand-held SI engine’ means an SI engine having a reference power of less than 19 kW, and used in a piece of equipment that meets at least one of the following conditions:
it is carried by the operator throughout the performance of its intended function(s);
it operates multi-positionally, such as upside down or sideways, to perform its intended function(s);
its dry weight, including engine, is less than 20 kg, and it meets at least one of the following conditions:
its operator provides physical support for or, alternatively, carries the equipment throughout the performance of its intended function(s);
its operator provides physical support or attitudinal control for the equipment throughout the performance of its intended function(s);
it is used in a generator or a pump;
‘liquid fuel’ means a fuel which exists in the liquid state at standard ambient conditions (298 K, absolute ambient pressure 101,3 kPa);
‘gaseous fuel’ means any fuel which is wholly gaseous at standard ambient conditions (298 K, absolute ambient pressure 101,3 kPa);
‘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;
‘single-fuel engine’ means an engine that is not a dual-fuel engine;
‘GER’ (Gas Energy Ratio) means, in the case of a dual-fuel engine, the ratio of the energy content of the gaseous fuel over the energy content of both fuels; in the case of a single-fuel engine, GER is defined as being either 1 or 0 according to the type of fuel;
‘constant-speed engine’ means an engine the EU type-approval of which is limited to constant-speed operation, excluding engines the constant-speed governor function of which is removed or disabled; it may be provided with an idle speed that can be used during start-up or shut-down and it may be equipped with a governor that can be set to an alternative speed when the engine is stopped;
‘variable-speed engine’ means an engine that is not a constant-speed engine;
‘constant-speed operation’ means an engine operation with a governor that automatically controls the operator demand to maintain engine speed, even under changing load;
‘auxiliary engine’ means an engine installed or intended to be installed in non-road mobile machinery that does not directly or indirectly provide propulsion;
‘net power’ means the engine power in kW obtained on a test bench at the end of the crankshaft, or its equivalent, measured in accordance with the method of measuring the power of internal combustion engines specified in UNECE Regulation No. 120 using a reference fuel or fuel combination set out in Article 25(2);
‘reference power’ means the net power that is used to determine the applicable emission limit values for the engine;
‘rated net power’ means the net power in kW as declared by the manufacturer of an engine at rated speed;
‘maximum net power’ means the highest value of the net power on the nominal full-load power curve for the engine type;
‘rated speed’ means the maximum full load speed allowed by an engine's governor, as designed by the manufacturer, or, if a governor is not present, the speed at which the maximum net power is attained by the engine, as specified by the manufacturer;
‘engine production date’ means the date, expressed as the month and year, on which the engine passes the final check, after it has left the production line, and is ready to be delivered or to be put into stock;
‘transition period’ means the first 24 months following the dates set out in Annex III for the placing on the market of Stage V engines;
‘transition engine’ means an engine that has an engine production date that is prior to the date set out in Annex III for the placing on the market of Stage V engines and that:
complies with the latest applicable emission limits defined in the relevant legislation applicable on 5 October 2016; or
falls within a power range, or is used or intended for use in an application, that was not subject to pollutant emission limits and type-approval at Union level on 5 October 2016;
‘non-road mobile machine production date’ means the month and year indicated on the statutory marking of the machine or, in the absence of a statutory marking, the month and year in which it passes the final check after it has left the production line;
‘inland waterway vessel’ means a craft falling within the scope of Directive (EU) 2016/1629;
‘generating set’ means an independent non-road mobile machine that is not part of a power train, primarily intended to produce electric power;
‘stationary machinery’ means machinery that is intended to be permanently installed in one location for its first use and is not intended to be moved, by road or otherwise, except during shipment from the place of manufacture to the place of first installation;
‘permanently installed’ means bolted, or otherwise effectively fixed so that it cannot be removed without the use of tools or equipment, to a foundation or an alternative constraint intended to cause the engine to operate in one single location in a building, structure, facility or installation;
‘snowmobile’ means a self-propelled machine that is intended for off-road travel primarily on snow, is driven by tracks in contact with snow and steered by a ski or skis in contact with the snow, and has a maximum unladen mass, in running order, of 454 kg (including standard equipment, coolant, lubricants, fuel and tools but excluding optional accessories and the driver);
‘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;
‘side-by-side vehicle’ or ‘SbS’ means a self-propelled, operator-controlled, non-articulated vehicle intended primarily to travel on unpaved surfaces on four or more wheels, having a minimum unladen mass, in running order, of 300 kg (including standard equipment, coolant, lubricants, fuel and tools but excluding optional accessories and the driver) and a maximum design speed of 25 km/h or more; such a vehicle is also designed to transport persons and/or goods, and/or to pull and push equipment, is steered by a control other than a handlebar, is designed for recreational or utility purposes and carries no more than six people including the driver, sitting side by side on one or more non-straddle seats;
‘railway vehicle’ means non-road mobile machinery that operates exclusively on railway tracks;
‘locomotive’ means a railway vehicle designed to provide, either directly through its own wheels or indirectly through the wheels of other railway vehicles, the motive power for propelling itself and for propelling other railway vehicles that are designed to carry freight, passengers and other equipment, itself being designed or intended not to carry freight or passengers, other than those operating it;
‘railcar’ means a railway vehicle designed to provide, either directly through its own wheels or indirectly through the wheels of other railway vehicles, the motive power for propelling itself, and is specifically designed to carry goods or passengers, or both goods and passengers, and is not a locomotive;
‘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;
‘mobile crane’ means a self-powered jib crane capable of travelling on-road or off-road or both, and relying on gravity for stability and operating on tyres, crawlers or with other mobile arrangements;
‘snow thrower’ means a self-powered machine that is exclusively designed for clearing snow from a paved surface by collecting a quantity of snow and projecting it forcefully through a chute;
‘making available on the market’ means any supply of an engine or non-road mobile machinery for distribution or use on the Union market in the course of a commercial activity, whether in return for payment or free of charge;
‘placing on the market’ means the first making available on the Union market of an engine or non-road mobile machinery;
‘manufacturer’ means any natural or legal person who is responsible to the approval authority for all aspects of the engine EU type-approval or authorisation process and for ensuring conformity of engine production, and who is also responsible for market surveillance concerns for the engines produced, whether or not they are directly involved in all stages of the design and construction of the engine which is the subject of the EU type-approval process;
‘manufacturer's representative’ or ‘representative’ means any natural or legal person established in the Union whom the manufacturer duly appoints by a written mandate to represent it in matters concerning the approval authority or the market surveillance authority and to act on its behalf in matters covered by this Regulation;
‘importer’ means any natural or legal person established in the Union who places on the market an engine from a third country, whether or not the engine is already installed in non-road mobile machinery;
‘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;
‘economic operator’ means the manufacturer, the manufacturer's representative, the importer or the distributor;
‘original equipment manufacturer’ or ‘OEM’ means any natural or legal person that manufactures non-road mobile machinery;
‘approval authority’ means the authority of a Member State established or appointed by a Member State and notified by it to the Commission and which has competence for:
all aspects of the EU type-approval of an engine type or of an engine family;
the authorisation process;
granting and, where appropriate, withdrawing or refusing EU type-approval, and issuing EU type-approval certificates;
acting as the contact point for the approval authorities of other Member States;
designating the technical services; and
ensuring that the manufacturer meets its obligations regarding conformity of production;
‘technical service’ means an organisation or body designated by the approval authority as a testing laboratory to carry out tests, or as a conformity assessment body to carry out the initial assessment and other tests or inspections, on behalf of the approval authority, or the authority itself when carrying out those functions;
‘market surveillance’ means the activities carried out and the measures taken by national authorities to ensure that engines made available on the market comply with the relevant Union harmonisation legislation;
‘market surveillance authority’ means an authority of a Member State that is responsible for carrying out market surveillance in its territory;
‘national authority’ means an approval authority or any other authority involved in and responsible for, in respect of engines to be installed in non-road mobile machinery or of non-road mobile machinery in which engines are installed, market surveillance, border control or the placing on the market in a Member State;
‘end-user’ means any natural or legal person, other than the manufacturer, OEM, importer or distributor, that is responsible for operating the engine installed in non-road mobile machinery;
‘emission control strategy’ means an element or a set of design elements incorporated into the overall design of an engine, or into non-road mobile machinery in which an engine is installed, and used in controlling emissions;
‘emission control system’ means any device, system or element of design that controls or reduces emissions;
‘defeat strategy’ means an emission control strategy that reduces the effectiveness of the emission control system under ambient or engine operating conditions encountered either during normal machine operation or outside the EU type-approval test procedures;
‘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;
‘exhaust gas recirculation’ or ‘EGR’ means a technical device that is part of the emission control system and reduces emissions by routing exhaust gases that have been expelled from the combustion chamber(s) back into the engine to be mixed with incoming air before or during combustion, except for the use of valve timing to increase the amount of residual exhaust gas in the combustion chamber(s) that is mixed with incoming air before or during combustion;
‘exhaust after-treatment system’ means a catalyst, particulate filter, deNOx system, combined deNOx particulate filter or any other emission-reducing device, with the exception of exhaust gas recirculation and turbochargers, that is part of the emission control system but is installed downstream of the engine exhaust ports;
‘tampering’ means inactivation, adjustment or modification of the emission control system, including any software or other logical control elements of such a system, that has the effect, whether intended or not, of worsening the emissions performance of the engine;
‘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;
‘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;
‘transient test cycle’ means a test cycle with a sequence of normalised speed and torque values that vary on a second-by-second basis with time;
‘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;
‘regeneration’ means an event during which emissions levels change while the exhaust after-treatment system's performance is being restored by design and which can be classified as continuous regeneration or infrequent (periodic) regeneration;
‘emission durability period’ or ‘EDP’ means the number of hours or, where applicable, the distance used to determine the deterioration factors;
‘deterioration factors’ means the set of factors that indicate the relationship between emissions at the start and end of the emission durability period;
‘virtual testing’ means computer simulations, including calculations, undertaken to demonstrate the level of performance of an engine as an aid to decision-making without requiring the use of a physical engine.
Article 4
Engine categories
For the purposes of this Regulation, the following engine categories, divided into the sub-categories set out in Annex I, apply:
(1) |
‘category NRE’ :
(a)
engines for non-road mobile machinery intended and suited to move, or to be moved, by road or otherwise, that are not excluded under Article 2(2) and are not included in any other category set out in points (2) to (10) of this paragraph;
(b)
engines having a reference power of less than 560 kW used in the place of Stage V engines of categories IWP, IWA, RLL or RLR; |
(2) |
‘category NRG’ : engines having a reference power that is greater than 560 kW, exclusively for use in generating sets; engines for generating sets other than those having those characteristics are included in the categories NRE or NRS, according to their characteristics; |
(3) |
‘category NRSh’ : hand-held SI engines having a reference power that is less than 19 kW, exclusively for use in hand-held machinery; |
(4) |
‘category NRS’ : SI engines having a reference power that is less than 56 kW and not included in category NRSh; |
(5) |
‘category IWP’ :
(a)
engines exclusively for use in inland waterway vessels, for their direct or indirect propulsion, or intended for their direct or indirect propulsion, having a reference power that is greater than or equal to 19 kW;
(b)
engines used in place of engines of category IWA provided that they comply with Article 24(8); |
(6) |
‘category IWA’ : auxiliary engines exclusively for use in inland waterway vessels and having a reference power that is greater than or equal to 19 kW; |
(7) |
‘category RLL’ : engines exclusively for use in locomotives, for their propulsion or intended for their propulsion; |
(8) |
‘category RLR’ :
(a)
engines exclusively for use in railcars, for their propulsion or intended for their propulsion;
(b)
engines used in the place of Stage V engines of category RLL; |
(9) |
‘category SMB’ : SI engines exclusively for use in snowmobiles; engines for snowmobiles other than SI engines are included in the category NRE; |
(10) |
‘category ATS’ : SI engines exclusively for use in ATVs and SbS; engines for ATVs and SbS other than SI engines are included in the category NRE. |
Variable-speed engines of category IWP used for constant-speed operation shall additionally comply with Article 24(7) or Article 24(8), as applicable.
CHAPTER II
GENERAL OBLIGATIONS
Article 5
Obligations of Member States
Member States shall only permit the placing on the market of:
engines that are covered by a valid EU type-approval granted in accordance with this Regulation, regardless of whether they are already installed in non-road mobile machinery; and
non-road mobile machinery in which engines as referred to in point (a) are installed.
Member States shall not prohibit, restrict or impede the placing on the market of:
engines on grounds relating to aspects of their construction and functioning covered by this Regulation, where those engines satisfy its requirements;
non-road mobile machinery on grounds relating to gaseous and particulate pollutant emissions from engines installed in such machinery, where those engines fall within the scope of this Regulation and satisfy its requirements.
Article 6
Obligations of approval authorities
That register shall contain at least the following information:
name and address of the manufacturer and name of the company, if different;
trade name(s) or trade mark(s), as appropriate, belonging to the manufacturer;
designation of the engine types covered by the EU type-approval of the engine type or, where applicable, by the EU type-approval of the engine family;
engine category;
number of the EU type-approval, including the number of any extensions;
date of granting, extension, refusal or withdrawal of the EU type-approval; and
the content of the sections ‘General engine information’ and ‘Final emission result’ of the test report referred to in Article 24(12).
Article 7
Obligations of market surveillance authorities
Article 8
General obligations of manufacturers
Where a legal person modifies an engine in such a way that it no longer complies with the emission limits applicable to it according to its category or sub-category, that person shall be considered to be responsible for re-establishing compliance with those emission limits.
Changes in the design or characteristics of an engine type and changes in the requirements with which an engine type is declared to be in conformity shall be taken into account in accordance with Chapter VI.
Article 9
Obligations of manufacturers concerning engines that are not in conformity
Based on the outcome of the investigation, the manufacturer shall take corrective measures to ensure that engines in production are brought into conformity with the approved engine type or engine family in a timely manner.
The manufacturer shall immediately inform the approval authority that granted the EU type-approval of the investigation, giving details, in particular, of the non-conformity and of any corrective measures taken.
Article 10
Obligations of manufacturers' representatives for market surveillance
As a minimum, manufacturers' representatives for market surveillance shall perform the following tasks, which shall be specified in the written mandate received from the manufacturer:
ensure that the EU type-approval certificate with its attachments as referred to in Article 23(1) and, where applicable, a copy of the statement of conformity referred to in Article 31 can be made available to the approval authorities for a period of ten years following the placing on the market of an engine;
provide the approval authority, upon reasoned request, with all the information and documentation necessary to demonstrate the conformity of production of an engine;
cooperate with the approval and market surveillance authorities, at their request, in respect of any action taken under the mandate.
Article 11
General obligations of importers
Before placing on the market an EU type-approved engine, importers shall ensure that:
the EU type-approval certificate with its attachments as referred to in Article 23(1) is available;
the engine bears the statutory marking referred to in Article 32;
the engine complies with Article 8(5).
Article 12
Obligations of importers concerning engines that are not in conformity
The importer shall inform, without undue delay, the manufacturer and the market surveillance authorities, as well as the approval authority that granted the EU type-approval, thereof.
Based upon the outcome of the investigation, the importer shall take corrective measures and inform the manufacturer thereof to ensure that engines in production are brought into conformity with the approved engine type or engine family in a timely manner.
Article 13
General obligations of distributors
Before making an engine available on the market, distributors shall verify that:
the manufacturer has complied with Article 8(5);
where applicable, the importer has complied with Article 11(2) and (4);
the engine bears the statutory marking referred to in Article 32;
the information and instructions referred to in Article 43 are available in a language that can be easily understood by the OEM.
Article 14
Obligations of distributors concerning engines that are not in conformity
Article 15
Obligations of OEMs concerning the installation of engines
Article 16
Application of manufacturers' obligations to importers and distributors
An importer or distributor that makes an engine available on the market under its name or trade mark, or that modifies such an engine in such a way that its compliance with the applicable requirements may be affected, shall be considered to be a manufacturer for the purposes of this Regulation and shall, in particular, be subject to the obligations laid down in Articles 8 and 9.
Article 17
Notification obligation for economic operators and OEMs
Economic operators and OEMs shall, upon request, notify the approval and market surveillance authorities of the following, for a period of five years from the date of placing on the market:
any economic operator who has supplied them with an engine;
any economic operator or, where identifiable, any OEM to whom they have supplied an engine.
CHAPTER III
SUBSTANTIVE REQUIREMENTS
Article 18
Exhaust emission requirements for EU type-approval
Where, in accordance with the parameters defining the engine family laid down in the relevant implementing act, one engine family covers more than one power range, the parent engine (for the purposes of the EU type-approval) and all engine types within the same family (for the purposes of conformity of production) shall, with respect to the applicable power ranges:
meet the most stringent emission limit values;
be tested using the test cycles that correspond to the most stringent emission limit values;
be subject to the earliest applicable dates for the EU type-approval and placing on the market set out in Annex III.
Article 19
Monitoring of emissions of in-service engines
The Commission shall conduct pilot programmes with a view to developing appropriate test procedures for those engine categories and sub-categories in respect of which such test procedures are not in place.
The Commission shall conduct monitoring programmes for each engine category to determine to what extent the emissions measured from the test cycle correspond to the emissions measured in actual operation. Those programmes and their results shall, on a yearly basis, be the subject of a presentation to the Member States and, subsequently, of a communication to the public.
CHAPTER IV
EU TYPE-APPROVAL PROCEDURES
Article 20
Application for EU type-approval
Article 21
Information folder
The applicant shall provide the approval authority with an information folder which includes the following:
an information document, including a list of reference fuels and, where requested by the manufacturer, any other specified fuels, fuel mixtures or fuel emulsions referred to in Article 25(2) and described in accordance with the delegated acts referred to in Article 25(4) (‘the information document’);
all relevant data, drawings, photographs and other information relating to the engine type or, where applicable, the parent engine;
any additional information requested by the approval authority in the context of the EU type-approval application procedure.
CHAPTER V
CONDUCT OF EU TYPE-APPROVAL PROCEDURES
Article 22
General provisions
The approval authority receiving the application shall grant EU type-approval to all engine types or engine families complying with each of the following:
the particulars in the information folder;
the requirements of this Regulation, and in particular the conformity of production arrangements referred to in Article 26.
By means of IMI, the approval authority shall:
make available to the approval authorities of the other Member States a list of the EU type-approvals it has granted or, where applicable, extended, within one month of issuing the corresponding EU type-approval certificate;
make available without delay to the approval authorities of the other Member States a list of the EU type-approvals it has refused to grant or has withdrawn, together with the reasons for its decision;
within one month of receiving a request from the approval authority of another Member State, send that approval authority a copy of the engine type or engine family EU type-approval certificate, where this exists, together with the information package referred to in paragraph 6 for each engine type or engine family which it has approved, refused to approve or the EU type-approval of which it has withdrawn.
The information package shall include an index listing its contents, suitably numbered or otherwise marked so as to clearly identify all the pages and the format of each document, in order to present a record of the successive steps in the management of the EU type-approval, in particular the dates of revisions and updating.
The approval authority shall ensure that the information contained in the information package is available for a period of at least 25 years following the end of the validity of the EU type-approval concerned.
The Commission may adopt implementing acts laying down:
the method for establishing the harmonised numbering system referred to in paragraph 4;
the templates and data structure for the exchange of data referred to in paragraph 5.
Those implementing acts shall be adopted, by 31 December 2016, in accordance with the examination procedure referred to in Article 56(2).
Article 23
Specific provisions concerning the EU type-approval certificate
The EU type-approval certificate shall contain the following attachments:
the information package;
where applicable, the names and specimen signatures of the persons authorised to sign statements of conformity as referred to in Article 31 and an indication of their position in the company.
In respect of each engine type or engine family that has been approved, the approval authority shall:
complete all the relevant sections of the EU type-approval certificate and attach the test report;
compile the index to the information package;
issue the completed certificate, together with its attachments, to the applicant without delay.
Article 24
Tests required for EU type-approval
Notwithstanding the first subparagraph, the manufacturer may, in agreement with the approval authority, select an engine which, although not representative of the engine type or, where applicable, of the parent engine of the engine family to be approved, combines a number of the most unfavourable features with regard to the required level of performance. Virtual testing methods may be used to aid decision-making during the selection process.
Article 25
Conduct of measurements and tests for EU type-approval
The final exhaust emission test results for engines subject to this Regulation shall be calculated by applying all of the following to the laboratory test results:
the emissions of crankcase gases, where required by paragraph 3 and where not already included in the laboratory measurement;
any necessary adjustment factor, where required by paragraph 3 and where the engine includes a regenerating exhaust after-treatment system;
in respect of all engines, deterioration factors appropriate to the emission durability periods specified in Annex V.
The testing of an engine type or engine family to determine whether it meets the emission limits set out in this Regulation shall be carried out by using the following reference fuels or fuel combinations, as appropriate:
diesel;
petrol;
petrol/oil mixture, for two stroke SI engines;
natural gas/bio methane;
liquid petroleum gas (LPG);
ethanol.
The engine type or engine family shall, in addition, meet the exhaust emission limits set out in this Regulation in respect of any other specified fuels, fuel mixtures or fuel emulsions included by a manufacturer in an application for EU type-approval and described in the information folder.
As regards the conduct of measurements and tests, the technical requirements shall be met in respect of:
apparatus and procedures for the conduct of tests;
apparatus and procedures for emission measurement and sampling;
methods for data evaluation and calculations;
methods for establishing deterioration factors;
in relation to engines in categories NRE, NRG, IWP, IWA, RLR, NRS, NRSh, SMB and ATS complying with Stage V emission limits set out in Annex II:
methods for taking account of emissions of crankcase gases;
methods for determining and taking account of continuous or infrequent regeneration of exhaust after-treatment systems;
in relation to electronically controlled engines in categories NRE, NRG, IWP, IWA, RLL and RLR complying with Stage V emission limits set out in Annex II and using electronic control to determine both the quantity and timing of injecting fuel or using electronic control to activate, de-activate or modulate the emission control system used to reduce NOx:
emission control strategies, and shall include the documentation required to demonstrate those strategies;
NOx control measures, and shall include the method used to demonstrate those control measures;
the area associated with the relevant non-road steady-state test cycle, within which the amount by which the emissions are permitted to exceed the emission limits set out in Annex II is controlled;
the selection by the technical service of additional measurement points from within the control area during the emission bench test.
The Commission is empowered to adopt delegated acts in accordance with Article 55 supplementing this Regulation by setting out:
the methodology for adapting the emission laboratory test results to include the deterioration factors referred to in point (c) of paragraph 1;
the technical characteristics of the reference fuels referred to in paragraph 2 and, where applicable, the requirements for the description of any other specified fuels, fuel mixtures or fuel emulsions described in the information folder;
the detailed technical requirements and characteristics for the conduct of measurements and tests referred to in paragraph 3;
the method used to measure PN, taking account of the specifications given in the 06 series of UNECE Regulation No. 49;
the detailed technical requirements applicable to the testing of dual-fuel engines or gaseous-fuelled single-fuel engines referred to in Annex II.
Those delegated acts shall be adopted by 31 December 2016.
Article 26
Conformity of production arrangements
CHAPTER VI
AMENDMENTS AND VALIDITY OF EU TYPE-APPROVALS
Article 27
General provisions
In the event of such a change, that approval authority shall decide which of the procedures laid down in Article 28 is to be followed.
Where necessary, the approval authority may decide, after consulting the manufacturer, that a new EU type-approval is to be granted.
The procedures laid down in Article 28 shall apply only if, on the basis of those inspections or tests, the approval authority concludes that the requirements for EU type-approval continue to be fulfilled.
Article 28
Revisions and extensions of EU type-approvals
In the event of such a revision, the approval authority shall, without unjustified delay, revise the relevant pages of the information package as necessary, marking each of them to clearly show the nature of the amendment, and it shall also state the date of revision and include a revised index to the information package. A consolidated, updated version of the information package, accompanied by a detailed description of the amendments, shall be deemed to fulfil the requirement of this paragraph.
An amendment as referred to in paragraph 1 shall be termed an ‘extension’ where the particulars recorded in the information package have been changed and any of the following occurs:
further inspections or tests are required;
any information included in the EU type-approval certificate, with the exception of its attachments, has changed;
a new requirement set out in this Regulation or in a delegated or implementing act adopted pursuant to this Regulation becomes applicable to the approved engine type or engine family.
In the event of an extension, the approval authority shall establish an updated EU type-approval certificate denoted by an extension number that shall be incremented in accordance with the number of successive extensions previously granted. That EU type-approval certificate shall clearly show the reason for the extension and the date of extension.
Article 29
Issue and notification of amendments
Article 30
Validity of EU type-approval
An EU type-approval of an engine shall become invalid in any of the following cases:
where new requirements applicable to the approved engine type or, where applicable, to the engine family become mandatory for its placing on the market and it is not possible to extend or revise the EU type-approval accordingly;
where production of the approved engine type or engine family is definitively and voluntarily discontinued;
where the validity of the EU type-approval expires by virtue of a restriction, in accordance with Article 35(3);
where the EU type-approval has been withdrawn in accordance with Articles 26(5), 39(1) or 40(3).
Within one month of receiving that notification, the approval authority that granted the EU type-approval for the engine type or engine family shall inform the approval authorities of the other Member States accordingly.
In such cases, the approval authority that granted the EU type-approval shall without delay communicate all relevant information to the approval authorities of the other Member States.
That communication shall specify, in particular, the date of production and the engine identification number of the last engine produced.
CHAPTER VII
STATEMENT OF CONFORMITY AND MARKINGS
Article 31
Statement of conformity
The manufacturer, in its capacity as the holder of an engine type or engine family EU type-approval, shall deliver a statement of conformity (‘statement of conformity’) to accompany engines which are placed on the market, on the basis of:
an exemption referred to in Article 34(2), (4), (5), (6), (7) or (8), Article 35(4); or
a transitional provision referred to in Article 58(9), (10) or (11).
The statement of conformity shall specify the particular features and restrictions that are to apply to the engine, shall be delivered free of charge together with the engine and shall, where applicable, accompany the non-road mobile machine in which the engine is installed. Its delivery shall not be made dependent on an explicit request or on the submission of additional information to the manufacturer. The statement of conformity may also be delivered in the form of a secure electronic file.
For a period of 10 years after the engine production date, the manufacturer shall, at the request of the end-user, issue a duplicate of the statement of conformity in return for payment of an amount not exceeding the cost of issuing it. The word ‘duplicate’ shall be clearly visible on any such duplicate statement of conformity.
Any Member State may request from the manufacturer that the statement of conformity be translated into its official language or languages.
Article 32
Statutory marking of engines
In respect of the following engines, the statutory marking shall include supplementary information indicating that the engine is subject to the relevant exemption or transitional provision:
engines for export to third countries referred to in Article 34(1) that are manufactured either in the Union or outside the Union and subsequently installed in non-road mobile machinery in the Union;
engines placed on the market in accordance with Article 34(2), (5), (6) or (8);
engines temporarily placed on the market in accordance with Article 34(4);
transition engines placed on the market in accordance with Article 58(5);
replacement engines placed on the market in accordance with Article 34(7), Article 58(10) or (11).
Article 33
Temporary marking of engines
CHAPTER VIII
EXEMPTIONS
Article 34
General exemptions
For the purposes of this paragraph, fire services, civil defence services, forces responsible for maintaining public order and emergency medical services shall not be considered to be part of the armed forces.
In respect of engines in categories RLL and RLR that were placed on the Union market after 31 December 2011, Member States may authorise the placing on the market of replacement engines complying with the emission limits that the engines to be replaced had to meet when they were originally placed on the Union market.
In respect of engines in categories RLL or RLR, Member States may authorise the placing on the market of engines that comply with the latest applicable emission limits defined in the relevant legislation applicable on 5 October 2016, provided that:
those engines are part of a project which is at an advanced stage of development on 6 October 2016, as defined in Directive 2008/57/EC; and
the use of engines that comply with the applicable emission limits set out in Tables II-7 or II-8 of Annex II will lead to disproportionate costs.
By 17 September 2017, each Member State shall communicate to the Commission the list of any such projects.
The Commission is empowered to adopt delegated acts in accordance with Article 55 for the purpose of supplementing this Regulation with the detailed technical specifications and conditions for:
the delivery of an engine separately from its exhaust after-treatment system by a manufacturer to an OEM, as referred to in paragraph 3;
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, as referred to in paragraph 4;
granting the EU type-approval for, and authorising the placing on the market of, engines that meet the gaseous and particulate pollutant emission limit values for special purpose engines set out in Annex VI, as referred to in paragraphs 5 and 6.
Those delegated acts shall be adopted by 31 December 2016.
Article 35
Exemptions for new technologies or new concepts
The approval authority shall grant the EU type-approval referred to in paragraph 1 where all of the following conditions are met:
the application states the reasons why the new technologies or new concepts make the engine type or engine family incompatible with one or more of the requirements of this Regulation;
the application describes the environmental implications of the new technologies or new concepts and the measures taken in order to ensure a level of environmental protection that is at least equivalent to the level provided by the requirements of this Regulation from which exemption is sought;
test descriptions and results are presented which prove that the condition in point (b) is met.
Where appropriate, the authorisation by the Commission shall specify whether it is subject to any restrictions.
The authorisation shall be given by means of an implementing act.
Pending the decision on authorisation by the Commission pursuant to paragraph 3, the approval authority may issue a provisional EU type-approval which shall be valid:
only in the territory of that Member State;
only in respect of an engine type or engine family covered by the exemption sought; and
for at least 36 months.
Where a provisional EU type-approval is issued, the approval authority shall inform the Commission and the other Member States thereof without delay, by means of a file containing the information referred to in paragraph 2.
The provisional nature and the limited territorial validity of such a provisional EU type-approval shall be apparent from the heading of the EU type-approval certificate and the heading of the corresponding statement of conformity.
Notwithstanding the Commission's decision not to give the authorisation referred to in paragraph 3, engines manufactured in conformity with the provisional EU type-approval before it ceases to be valid may be placed on the market in any Member State the approval authorities of which accepted the provisional EU type-approval.
Article 36
Subsequent adaptation of delegated and implementing acts
Where the exemption authorised pursuant to Article 35 relates to a matter that is regulated by a UNECE regulation, the Commission shall propose an amendment to that regulation in accordance with the procedure applicable under the Revised 1958 Agreement.
Where the steps necessary to adapt the delegated or implementing acts have not been taken, the Commission may, at the request of the Member State which granted the provisional EU type-approval, authorise that Member State to extend it by means of a decision in the form of an implementing act adopted in accordance with the examination procedure referred to in Article 56(2).
CHAPTER IX
PRODUCTION REPORTING AND VERIFICATION
Article 37
Obligations of manufacturers with regard to production reporting
That list shall be submitted:
within 45 days following the end of each calendar year;
immediately after each of the dates for the placing on the market of engines referred to in Annex III; and
by any other date that the approval authority may stipulate.
Article 38
Verification measures
CHAPTER X
SAFEGUARD CLAUSES
Article 39
Engines not in conformity with the approved type
The relevant approval authority shall inform the approval authorities of the other Member States of the measures taken.
The approval authority shall keep the Commission informed thereof and, where necessary, the Commission shall hold appropriate consultations with a view to reaching a settlement.
Article 40
Recall of engines
Where a manufacturer that has been granted an EU type-approval is obliged, pursuant to Article 20(1) of Regulation (EC) No 765/2008, to recall engines placed on the market, whether or not the engines are installed in non-road mobile machinery, on the basis that the engines represent a serious risk with regard to the protection of the environment or public health, that manufacturer shall:
immediately inform the approval authority that granted the EU type-approval; and
propose a set of appropriate remedies to address the serious risk to that approval authority.
The approval authorities shall ensure that the remedies are effectively implemented in their respective Member States.
Where the manufacturer does not subsequently 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 thereof by registered letter or equivalent electronic means.
Article 41
Notification of decisions and remedies available
Decisions of the following type or for the following purpose shall state the reasons on which they are based:
taken pursuant to this Regulation;
refusing or withdrawing an EU type-approval;
requiring the recall of an engine from the market;
prohibiting, restricting or impeding the placing on the market of an engine; or
prohibiting, restricting or impeding the placing on the market of non-road mobile machinery in which an engine falling within the scope of this Regulation is installed.
The approval authorities shall notify the party concerned of:
any decision referred to in paragraph 1;
the remedies available to it under the laws in force in the Member State concerned and of the time limits applicable to those remedies.
CHAPTER XI
INTERNATIONAL REGULATIONS AND PROVISION OF TECHNICAL INFORMATION
Article 42
Acceptance of equivalent engine type-approvals
The Commission is empowered to adopt delegated acts in accordance with Article 55 supplementing this Regulation by setting out:
the list of UNECE regulations, or amendments thereto, including any requirements set out therein which relate to their application, which the Union has voted in favour of or to which the Union has acceded, and which are to apply to EU type-approval of engine types and engine families to be installed in non-road mobile machinery;
the list of Union acts pursuant to which EU type-approvals are granted, including any requirements set out therein which relate to their application.
Those delegated acts shall be adopted by 31 December 2016.
Article 43
Information and instructions intended for OEMs and end-users
Article 44
Exchange of data and information via IMI
The Commission shall ensure that IMI also:
makes possible the exchange of data and information between manufacturers or technical services, on the one hand, and national authorities or the Commission, on the other;
provides public access to certain data and information relating to the results of type-approvals and monitoring results of in-service engines;
where appropriate and technically and economically feasible, and in agreement with the Member States concerned, provides facilities for the automatic transfer of data between existing national databases and IMI.
CHAPTER XII
DESIGNATION AND NOTIFICATION OF TECHNICAL SERVICES
Article 45
Requirements relating to technical services
A body belonging to a business association or professional federation representing undertakings involved in the design, manufacture, provision, assembly, installation, use or maintenance of the engines it assesses, tests or inspects may, provided that it demonstrates its independence and the absence of any conflict of interest, be considered to fulfil the requirements of the first subparagraph.
The technical service shall ensure that the activities of its subsidiaries or subcontractors do not affect its confidentiality, objectivity or impartiality in relation to the categories of activities for which it has been designated.
The technical service shall demonstrate to its designating approval authority that it is capable of carrying out all the categories of activities for which it is seeking to be designated in accordance with Article 47(1), by ensuring that it has:
personnel with appropriate skills and specific technical knowledge and vocational training as well as sufficient and appropriate experience to perform the task;
descriptions of the procedures relevant to the categories of activities for which it is seeking to be designated, thereby ensuring the transparency and reproducibility of those procedures;
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 pursuant to a mass or serial production process; and
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.
The personnel of a technical service shall not be bound by the obligation referred to in the first subparagraph in respect of the sharing of information with the designating approval authority, or where such sharing is required by Union or national law.
Proprietary rights shall be protected.
Article 46
Subsidiaries of and subcontracting by technical services
In such cases, the technical service shall ensure that the subcontractor or the subsidiary meets the requirements set out in Article 45 and shall inform the designating approval authority accordingly.
Article 47
Designation of technical services
Approval authorities shall designate technical services for one or more of the following categories of activities, in accordance with their fields of competence:
(a) |
category A : carrying out the tests referred to in this Regulation in the facilities belonging to the technical service in question; |
(b) |
category B : supervising the tests referred to in this Regulation, where such tests are performed in the facilities of a manufacturer or of a third party; |
(c) |
category C : assessing and monitoring on a regular basis the manufacturer's procedures for ensuring the conformity of production; |
(d) |
category D : supervising or performing tests or inspections for ensuring the conformity of production. |
However, a technical service established in accordance with Article 45(2) may establish subsidiaries in third countries, provided that the subsidiaries are directly managed and controlled by that technical service.
Article 48
Procedures for performance standards and assessment of technical services
The Commission is empowered to adopt delegated acts in accordance with Article 55 supplementing this Regulation by laying down:
the standards with which the technical services have to comply; and
the procedure for the assessment of the technical services, including the corresponding report, in accordance with Article 49.
Article 49
Assessment of the skills of technical services
The assessment on which the assessment report is based shall be conducted in accordance with the provisions laid down in a delegated act referred to in Article 48.
The designating approval authority shall communicate the assessment report to the Commission upon the latter's request. In such cases, where the assessment is not based on an accreditation certificate issued by a national accreditation body, the designating approval authority shall provide the Commission with documentary evidence which attests to the following:
the technical service's competence;
the arrangements in place to ensure that the technical service is monitored regularly by the designating approval authority; and
that the technical service fulfils the requirements of this Regulation and of the delegated acts adopted pursuant to it.
Article 50
Procedures for notification
In respect of each technical service that they have designated, Member States shall notify the Commission of the following:
the name of the technical service;
the address, including electronic address;
the responsible persons;
the category of activities; and
any modifications relating to the designation referred to in Article 47.
Article 51
Changes to designations
The Member State that has provided the Commission with notification of that technical service in accordance with Article 50(1) shall immediately inform the Commission of any such restriction, suspension or revocation.
The Commission shall modify the published information referred to in Article 50(5) accordingly.
Article 52
Challenge to the competence of technical services
Article 53
Operational obligations of technical services
Technical services shall supervise or shall themselves carry out the tests required for EU type-approval or inspections as set out in this Regulation or in one of its delegated or implementing acts, unless alternative procedures are permitted.
Technical services shall not conduct tests, assessments or inspections for which they have not been designated.
Technical services shall at all times:
allow the designating approval authority to observe them conducting their assessments, if deemed appropriate by that authority; and
without prejudice to Article 45(9) and Article 54, provide the designating approval authority with such information as may be requested on the categories of activities which they carry out and which fall within the scope of this Regulation.
The designating approval authority shall not issue an EU type-approval certificate until the manufacturer has taken the appropriate corrective measures to the satisfaction of that approval authority.
The approval authority shall take the appropriate measures as provided for in Article 26.
Article 54
Information obligations of technical services
Technical services shall inform their designating approval authority of any:
non-conformity which might require a refusal, restriction, suspension or withdrawal of an EU type-approval;
circumstances affecting the scope of, or conditions for, their designation;
request for information from market surveillance authorities regarding their activities.
CHAPTER XIII
DELEGATED ACTS AND IMPLEMENTING ACTS
Article 55
Exercise of the delegation
Article 56
Committee procedure
CHAPTER XIV
FINAL PROVISIONS
Article 57
Penalties
Member States shall notify the Commission of those provisions by 7 October 2018 and shall notify the Commission without delay of any subsequent amendments affecting them.
Member States shall take all measures necessary to ensure that the penalties are implemented.
Infringements subject to a penalty shall include:
making false declarations, in particular during the EU type-approval procedures, the procedures leading to a recall or the procedures relating to exemptions;
falsifying test results in relation to an EU type-approval or the monitoring of in-service engines;
withholding data or technical specifications which could lead to the recall of engines, or to the refusal or the withdrawal of an EU type-approval;
using defeat strategies;
refusing to provide access to information;
placing on the market engines subject to EU type-approval without EU type-approval, or falsifying documents or statutory markings with the intention of doing so;
placing on the market transition engines and non-road mobile machinery in which such engines are installed in violation of the exemption provisions;
being in violation of the restrictions set out in Article 35(3) and (4);
placing on the market an engine modified in such a way that it is no longer in conformity with the specifications of its EU type-approval;
installing an engine in non-road mobile machinery for a use other than the exclusive use provided for in Article 4;
placing on the market a special purpose engine under Article 34(5) or (6) for use in non-road mobile machinery other than that provided for in those paragraphs;
placing on the market an engine under Article 34(7) or (8) and Article 58(9), (10) or (11) for use in machinery other than that provided for in those paragraphs;
placing on the market non-road mobile machinery in which engines subject to EU type-approval under this Regulation are installed, without such approval;
placing on the market non-road mobile machinery that is in violation of a restriction regarding non-road mobile machinery set out in Article 34(8).
Article 58
Transitional provisions
Member States may, in accordance with the relevant legislation applicable on 5 October 2016 continue to permit the placing on the market of engines until the mandatory dates for the placing on the market of engines set out in Annex III.
In such cases, national authorities shall not prohibit, restrict or impede the placing on the market of engines complying with the approved type.
For engines of sub-categories of category NRE for which the date set out in Annex III for the placing on the market of Stage V engines is 1 January 2020, Member States shall authorise the extension of the transition period and of the 18-month period referred to in the first subparagraph by an additional 12 months for OEMs with a total yearly production of less than 100 units of non-road mobile machinery equipped with internal combustion engines. For the purposes of the calculation of that total yearly production, all OEMs under the control of the same natural or legal person shall be considered to be a single OEM.
For engines of sub-categories of category NRE for which the date set out in Annex III for the placing on the market of Stage V engines is 1 January 2020, used in mobile cranes, the transition period and the 18-month period referred to in the first subparagraph shall be extended by 12 months.
For engines of category NRS with an engine power of less than 19 kW used in snow throwers, the transition period and the 18-month period referred to in the first subparagraph shall be extended by 24 months.
For engines of all sub-categories for which the date set out in Annex III for the placing on the market of Stage V engines is 1 January 2019, except for the engines referred to in the fourth subparagraph, the transition period and the 18-month period referred to in the first subparagraph shall be extended by 12 months.
For engines of all sub-categories for which the date set out in Annex III for the placing on the market of Stage V engines is 1 January 2020, except for the engines referred to in the second and third subparagraphs, the transition period shall be extended by nine months and the 18-month period referred to in the first subparagraph shall be extended by six months.
Subject to paragraph 5 of this Article, transition engines shall meet at least one of the following requirements:
be in conformity with engine types or engine families the EU type-approval of which is no longer valid pursuant to point (a) of Article 30(2), and are, on the engines' production dates, covered by a valid EU type-approval that is in compliance with the latest applicable emission limits defined in the relevant legislation applicable on 5 October 2016.
belong to a power range that was not subject to pollutant emission type-approval at Union level on 5 October 2016; or
be used or intended to be used in an application that was not subject to pollutant emission related type-approval at Union level on 5 October 2016.
The period for placing transition engines on the market shall be limited to:
24 months from the applicable date for the placing on the market of engines set out in Annex III, in the case set out in the first subparagraph of paragraph 5;
36 months from the applicable date for the placing on the market of engines set out in Annex III, in the case set out in the second and third subparagraphs of paragraph 5;
48 months from the applicable date for the placing on the market of engines set out in Annex III, in the case set out in the fourth subparagraph of paragraph 5;
36 months from the applicable date for the placing on the market of engines set out in Annex III, in the case set out in the fifth subparagraph of paragraph 5;
33 months from the applicable date for the placing on the market of engines set out in Annex III, in the case set out in the sixth subparagraph of paragraph 5.
Notwithstanding Articles 5(3) and 18(2), Member States shall authorise the placing on the market of replacement engines, for a period not longer than 20 years, starting from the applicable dates for the placing on the market of Stage V engines set out in Annex III, provided that the engines:
belong to category NRE with a reference power no less than 19 kW and no greater than 560 kW, and comply with an emission stage that expired not more than 20 years before the placing on the market of those engines and that is at least as stringent as the emission limits that the engine to be replaced had to meet when it was placed on the market originally;
belong to a category equivalent to NRE and with a reference power greater than 560 kW, where the replacement engine and the original engine belong to an engine category or power range that was not subject to type-approval at Union level on 31 December 2016.
Article 59
Report
Article 60
Review
By 31 December 2020, the Commission shall submit a report to the European Parliament and to the Council regarding:
the assessment of further pollutant emission reduction potential, on the basis of available technologies and a cost-benefit analysis.
In particular, for engines of categories IWP and IWA, the assessment of the technological and economic feasibility of:
a further reduction in the emission limit value for PN and NOx emissions;
a further reduction in the A-factor for fully and partially gaseous-fuelled engines in the framework of a climate-neutral operation compared to diesel-fuelled engines; and
the addition of PN limit values to those engine categories for which such values have not been set out in Annex II to this Regulation;
the identification of potentially relevant pollutant types that do not fall within the scope of this Regulation.
In addition, the report shall evaluate the tests required for EU type-approval as set out in Articles 24 and 25, with a particular focus on the extent to which those tests correspond to real engine operation conditions, and it shall also evaluate the feasibility of introducing tests for particulate pollutant emissions as part of the in-service testing set out in Article 19.
The reports referred to in paragraphs 2 and 3 shall:
be based on consultation with the relevant stakeholders;
take into account existing related Union and international standards; and
be accompanied, where appropriate, by legislative proposals.
Article 61
Amendments to Directive 97/68/EC
Directive 97/68/EC is amended as follows:
in Article 9(4a), the following subparagraphs are added:
‘By way of derogation from the first subparagraph, Member States may authorise, on request by an OEM, the placing on the market of engines that meet Stage III A emission limit values, provided that those engines are intended for installation in non-road mobile machinery to be used in potentially explosive atmospheres, as defined in point (5) of Article 2 of Directive 2014/34/EU of the European Parliament and of the Council ( *1 ).
Manufacturers shall provide the approval authority with evidence that the engines are installed exclusively in non-road mobile machinery certified as fulfilling those requirements. A label bearing the text “Engine for restricted use in machinery manufactured by”, followed by the name of the OEM and the unique reference of the associated derogation shall be affixed to any such engines, beside the engine statutory marking set out in section 3 of Annex I.
By way of derogation from the first subparagraph, Member States may grant EU type-approval and authorise the placing on the market of engines of category RLL with a maximum net power greater than 2 000 kW that do not comply with the emission limits set out in Annex II, that are to be installed in locomotives which only run on a technically isolated 1 520 mm railway network. Those engines shall, as a minimum, comply with the emission limits that engines had to meet to be placed on the market on 31 December 2011.
in Article 10, the following paragraph is added:
Article 62
Amendment to Regulation (EU) No 1024/2012
In the Annex to Regulation (EU) No 1024/2012, the following point is added:
‘10. Regulation (EU) 2016/1628 of the European Parliament and of the Council of 14 September 2016 on requirements relating to gaseous and particulate pollutant emission limits and type-approval for internal combustion engines for non-road mobile machinery, amending Regulations (EU) No 1024/2012 and (EU) No 167/2013, and amending and repealing Directive 97/68/EC ( *2 ): Article 44.
Article 63
Amendment to Regulation (EU) No 167/2013
Article 19 of Regulation (EU) No 167/2013 is amended as follows:
paragraph 3 is replaced by the following:
For the purposes of the placing on the market, registration or entry into service of tractors of categories T2, T4.1 and C2, the engines in the power range 56-130 kW meeting the Stage III B requirements shall be considered to be transition engines as defined in point (32) of Article 3 of Regulation (EU) 2016/1628.
in paragraph 6, the following subparagraph is added:
‘By way of derogation from the principle set out in the second subparagraph, the Commission shall be empowered to amend, by 31 December 2016, Commission Delegated Regulation (EU) 2015/96 ( *4 ), so that:
for the purposes of EU type-approval for tractors of categories T2, T4.1 and C2, the period of postponement set out in Article 11(4) of Delegated Regulation (EU) 2015/96 is four years; and
under the flexibility scheme referred to in Article 14 of Delegated Regulation (EU) 2015/96, the flexibility allowed pursuant to point 1.1.1 of Annex V to that Delegated Regulation is increased to 150 % for tractors of categories T2, T4.1 and C2.
Article 64
Repeal
Article 65
Entry into force and application
From 6 October 2016, approval authorities shall not refuse to grant EU type-approval for a new engine type or engine family nor prohibit its placing on the market where that engine type or engine family complies with Chapters II, III, IV and VIII and the delegated and implementing acts adopted pursuant to this Regulation.
This Regulation shall be binding in its entirety and directly applicable in all Member States.
ANNEX I
Definition of engine sub-categories referred to in Article 4
Table I-1: Sub-categories of engine category NRE defined in point (1) of Article 4(1)
Category |
Ignition type |
Speed operation |
Power range (kW) |
Sub-category |
Reference power |
NRE |
CI |
variable |
0 < P < 8 |
NRE-v-1 |
Maximum net power |
CI |
8 ≤ P < 19 |
NRE-v-2 |
|||
CI |
19 ≤ P < 37 |
NRE-v-3 |
|||
CI |
37 ≤ P < 56 |
NRE-v-4 |
|||
all |
56 ≤ P < 130 |
NRE-v-5 |
|||
130 ≤ P ≤ 560 |
NRE-v-6 |
||||
P > 560 |
NRE-v-7 |
||||
CI |
constant |
0 < P < 8 |
NRE-c-1 |
Rated net power |
|
CI |
8 ≤ P < 19 |
NRE-c-2 |
|||
CI |
19 ≤ P < 37 |
NRE-c-3 |
|||
CI |
37 ≤ P < 56 |
NRE-c-4 |
|||
all |
56 ≤ P < 130 |
NRE-c-5 |
|||
130 ≤ P ≤ 560 |
NRE-c-6 |
||||
P > 560 |
NRE-c-7 |
Table I-2: Sub-categories of engine category NRG defined in point (2) of Article 4(1)
Category |
Ignition type |
Speed operation |
Power range (kW) |
Sub-category |
Reference power |
NRG |
all |
variable |
P > 560 |
NRG-v-1 |
Maximum net power |
constant |
P > 560 |
NRG-c-1 |
Rated net power |
Table I-3: Sub-categories of engine category NRSh defined in point (3) of Article 4(1)
Category |
Ignition type |
Speed operation |
Power range (kW) |
Swept volume (cm3) |
Sub-category |
Reference power |
NRSh |
SI |
variable or constant |
0 < P < 19 |
SV < 50 |
NRSh-v-1a |
Maximum net power |
SV ≥ 50 |
NRSh-v-1b |
Table I-4: Sub-categories of engine category NRS defined in point (4) of Article 4(1)
Category |
Ignition type |
Speed operation |
Power range (kW) |
Swept volume (cm3) |
Sub-category |
Reference power |
NRS |
SI |
variable ≥ 3 600 rpm; or constant |
0 < P < 19 |
80 ≤ SV < 225 |
NRS-vr-1a |
Maximum net power |
SV ≥ 225 |
NRS-vr-1b |
|||||
variable < 3 600 rpm |
80 ≤ SV < 225 |
NRS-vi-1a |
||||
SV ≥ 225 |
NRS-vi-1b |
|||||
variable or constant |
19 ≤ P < 30 |
SV ≤ 1 000 |
NRS-v-2a |
Maximum net power |
||
SV > 1 000 |
NRS-v-2b |
|||||
30 ≤ P < 56 |
any |
NRS-v-3 |
Maximum net power |
For engines < 19 kW with SV < 80 cm3 in machinery other than hand-held machinery, engines of the category NRSh shall be used.
Table I-5: Sub-categories of engine category IWP defined in point (5) of Article 4(1)
Category |
Ignition type |
Speed operation |
Power range (kW) |
Sub-category |
Reference power |
IWP |
all |
variable |
19 ≤ P < 75 |
IWP-v-1 |
Maximum net power |
75 ≤ P < 130 |
IWP-v-2 |
||||
130 ≤ P < 300 |
IWP-v-3 |
||||
P ≥ 300 |
IWP-v-4 |
||||
constant |
19 ≤ P < 75 |
IWP-c-1 |
Rated net power |
||
75 ≤ P < 130 |
IWP-c-2 |
||||
130 ≤ P < 300 |
IWP-c-3 |
||||
P ≥ 300 |
IWP-c-4 |
Table I-6: Sub-categories of engine category IWA defined in point (6) of Article 4(1)
Category |
Ignition type |
Speed operation |
Power range (kW) |
Sub-category |
Reference power |
IWA |
all |
variable |
19 ≤ P < 75 |
IWA-v-1 |
Maximum net power |
75 ≤ P < 130 |
IWA-v-2 |
||||
130 ≤ 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-2 |
||||
130 ≤ P < 300 |
IWA-c-3 |
||||
P ≥ 300 |
IWA-c-4 |
Table I-7: Sub-categories of engine category RLL defined in point (7) of Article 4(1)
Category |
Ignition type |
Speed operation |
Power range (kW) |
Sub-category |
Reference power |
RLL |
all |
variable |
P > 0 |
RLL-v-1 |
Maximum net power |
constant |
P > 0 |
RLL-c-1 |
Rated net power |
Table I-8: Sub-categories of engine category RLR defined in point (8) of Article 4(1)
Category |
Ignition type |
Speed operation |
Power range (kW) |
Sub-category |
Reference power |
RLR |
all |
variable |
P > 0 |
RLR-v-1 |
Maximum net power |
constant |
P > 0 |
RLR-c-1 |
Rated net power |
Table I-9: Sub-categories of engine category SMB defined in point (9) of Article 4(1)
Category |
Ignition type |
Speed operation |
Power range (kW) |
Sub-category |
Reference power |
SMB |
SI |
variable or constant |
P > 0 |
SMB-v-1 |
Maximum net power |
Table I-10: Sub-categories of engine category ATS defined in point (10) of Article 4(1)
Category |
Ignition type |
Speed operation |
Power range (kW) |
Sub-category |
Reference power |
ATS |
SI |
variable or constant |
P > 0 |
ATS-v-1 |
Maximum net power |
ANNEX II
Exhaust emission limits referred to in Article 18(2)
Table II-1: Stage V emission limits for engine category NRE defined in point (1) of Article 4(1)
Emission stage |
Engine sub-category |
Power range |
Ignition type |
CO |
HC |
NOx |
PM mass |
PN |
A |
|
|
kW |
|
g/kWh |
g/kWh |
g/kWh |
g/kWh |
#/kWh |
|
Stage V |
NRE-v-1 NRE-c-1 |
0 < P < 8 |
CI |
8,00 |
(HC + NOx ≤ 7,50) |
0,40 (1) |
— |
1,10 |
|
Stage V |
NRE-v-2 NRE-c-2 |
8 ≤ P < 19 |
CI |
6,60 |
(HC + NOx ≤ 7,50) |
0,40 |
— |
1,10 |
|
Stage V |
NRE-v-3 NRE-c-3 |
19 ≤ P < 37 |
CI |
5,00 |
(HC + NOx ≤ 4,70) |
0,015 |
1 × 1012 |
1,10 |
|
Stage V |
NRE-v-4 NRE-c-4 |
37 ≤ P < 56 |
CI |
5,00 |
(HC + NOx ≤ 4,70) |
0,015 |
1 × 1012 |
1,10 |
|
Stage V |
NRE-v-5 NRE-c-5 |
56 ≤ P < 130 |
all |
5,00 |
0,19 |
0,40 |
0,015 |
1 × 1012 |
1,10 |
Stage V |
NRE-v-6 NRE-c-6 |
130 ≤ P ≤ 560 |
all |
3,50 |
0,19 |
0,40 |
0,015 |
1 × 1012 |
1,10 |
Stage V |
NRE-v-7 NRE-c-7 |
P > 560 |
all |
3,50 |
0,19 |
3,50 |
0,045 |
— |
6,00 |
(1)
0,60 for hand-startable, air-cooled direct injection engines. |
Table II-2: Stage V emission limits for engine category NRG defined in point (2) of Article 4(1)
Emission stage |
Engine sub-category |
Power range |
Ignition type |
CO |
HC |
NOx |
PM mass |
PN |
A |
|
|
kW |
|
g/kWh |
g/kWh |
g/kWh |
g/kWh |
#/kWh |
|
Stage V |
NRG-v-1 NRG-c-1 |
P > 560 |
all |
3,50 |
0,19 |
0,67 |
0,035 |
— |
6,00 |
Table II-3: Stage V emission limits for engine category NRSh defined in point (3) of Article 4(1)
Emission stage |
Engine sub-category |
Power range |
Ignition type |
CO |
HC + NOx |
|
|
kW |
|
g/kWh |
g/kWh |
Stage V |
NRSh-v-1a |
0 < P < 19 |
SI |
805 |
50 |
Stage V |
NRSh-v-1b |
603 |
72 |
Table II-4: Stage V emission limits for engine category NRS defined in point (4) of Article 4(1)
Emission stage |
Engine sub-category |
Power range |
Ignition type |
CO |
HC + NOx |
|
|
kW |
|
g/kWh |
g/kWh |
Stage V |
NRS-vr-1a NRS-vi-1a |
0 < P < 19 |
SI |
610 |
10 |
Stage V |
NRS-vr-1b NRS-vi-1b |
610 |
8 |
||
Stage V |
NRS-v-2a |
19 ≤ P ≤ 30 |
610 |
8 |
|
Stage V |
NRS-v-2b NRS-v-3 |
19 ≤ P < 56 |
4,40 (*1) |
2,70 (*1) |
|
(*1)
Optionally, as an alternative, any combination of values satisfying the equation (HC + NOX) × CO0,784 ≤ 8,57 as well as the following conditions: CO ≤ 20,6 g/kWh and (HC + NOX) ≤ 2,7 g/kWh |
Table II-5: Stage V emission limits for engine category IWP defined in point (5) of Article 4(1)
Emission stage |
Engine sub-category |
Power range |
Ignition type |
CO |
HC |
NOx |
PM mass |
PN |
A |
|
|
kW |
|
g/kWh |
g/kWh |
g/kWh |
g/kWh |
#/kWh |
|
Stage V |
IWP-v-1 IWP-c-1 |
19 ≤ P < 75 |
all |
5,00 |
(HC + NOx ≤ 4,70) |
0,30 |
— |
6,00 |
|
Stage V |
IWP-v-2 IWP-c-2 |
75 ≤ P < 130 |
all |
5,00 |
(HC + NOx ≤ 5,40) |
0,14 |
— |
6,00 |
|
Stage V |
IWP-v-3 IWP-c-3 |
130 ≤ P < 300 |
all |
3,50 |
1,00 |
2,10 |
0,10 |
— |
6,00 |
Stage V |
IWP-v-4 IWP-c-4 |
P ≥ 300 |
all |
3,50 |
0,19 |
1,80 |
0,015 |
1 × 1012 |
6,00 |
Table II-6: Stage V emission limits for engine category IWA defined in point (6) of Article 4(1)
Emission stage |
Engine sub-category |
Power range |
Ignition type |
CO |
HC |
NOx |
PM mass |
PN |
A |
|
|
kW |
|
g/kWh |
g/kWh |
g/kWh |
g/kWh |
#/kWh |
|
Stage V |
IWA-v-1 IWA-c-1 |
19 ≤ P < 75 |
all |
5,00 |
(HC + NOx ≤ 4,70) |
0,30 |
— |
6,00 |
|
Stage V |
IWA-v-2 IWA-c-2 |
75 ≤ P < 130 |
all |
5,00 |
(HC + NOx ≤ 5,40) |
0,14 |
— |
6,00 |
|
Stage V |
IWA-v-3 IWA-c-3 |
130 ≤ P < 300 |
all |
3,50 |
1,00 |
2,10 |
0,10 |
— |
6,00 |
Stage V |
IWA-v-4 IWA-c-4 |
P ≥ 300 |
all |
3,50 |
0,19 |
1,80 |
0,015 |
1 × 1012 |
6,00 |
Table II-7: Stage V emission limits for engine category RLL defined in point (7) of Article 4(1)
Emission stage |
Engine sub-category |
Power range |
Ignition type |
CO |
HC |
NOx |
PM mass |
PN |
A |
|
|
kW |
|
g/kWh |
g/kWh |
g/kWh |
g/kWh |
#/kWh |
|
Stage V |
RLL-c-1 RLL-v-1 |
P > 0 |
all |
3,50 |
(HC + NOx ≤ 4,00) |
0,025 |
— |
6,00 |
Table II-8: Stage V emission limits for engine category RLR defined in point (8) of Article 4(1)
Emission stage |
Engine sub-category |
Power range |
Ignition type |
CO |
HC |
NOx |
PM mass |
PN |
A |
|
|
kW |
|
g/kWh |
g/kWh |
g/kWh |
g/kWh |
#/kWh |
|
Stage V |
RLR-c-1 RLR-v-1 |
P > 0 |
all |
3,50 |
0,19 |
2,00 |
0,015 |
1 × 1012 |
6,00 |
Table II-9: Stage V emission limits for engine category SMB defined in point (9) of Article 4(1)
Emission stage |
Engine sub-category |
Power range |
Ignition type |
CO |
NOx |
HC |
|
|
kW |
|
g/kWh |
g/kWh |
g/kWh |
Stage V |
SMB-v-1 |
P > 0 |
SI |
275 |
— |
75 |
Table II-10: Stage V emission limits for engine category ATS defined in point (10) of Article 4(1)
Emission stage |
Engine sub-category |
Power range |
Ignition type |
CO |
HC + NOx |
|
|
kW |
|
g/kWh |
g/kWh |
Stage V |
ATS-v-1 |
P > 0 |
SI |
400 |
8 |
Specific provisions on total hydrocarbon (HC) limits for fully and partially gaseous-fuelled engines
1. For the sub-categories where an A-factor is defined, the HC limit for fully and partially gaseous-fuelled engines indicated in Tables II-1 to II-10 is replaced by a limit calculated using the following formula:
HC = 0,19 + (1,5 × A × GER)
where GER is the average gas energy ratio over the appropriate test cycle. Where both a steady-state and transient test cycle apply, the GER shall be determined from the hot-start transient test cycle. Where more than one steady-state test cycle applies, the average GER shall be determined for each cycle individually.
If the calculated limit for HC exceeds the value of 0,19 + A, the limit for HC shall be set to 0,19 + A.
Figure 1. Diagram showing HC emission limit as function of average GER
2. For sub-categories with a combined HC and NOx limit, the combined limit value for HC and NOx shall be reduced by 0,19 g/kWh and apply for NOx only.
3. For non-gaseous-fuelled engines, the formula does not apply.
ANNEX III
Timetable for the application of this Regulation in respect of EU type-approvals and placing on the market
Table III-1: Dates of application of this Regulation for engine category NRE
Category |
Ignition type |
Power range (kW) |
Sub-category |
Mandatory date of application of this Regulation for |
|
EU type-approval of engines |
Placing on the market of engines |
||||
NRE |
CI |
0 < P < 8 |
NRE-v-1 NRE-c-1 |
1 January 2018 |
1 January 2019 |
CI |
8 ≤ P < 19 |
NRE-v-2 NRE-c-2 |
|||
CI |
19 ≤ P < 37 |
NRE-v-3 NRE-c-3 |
1 January 2018 |
1 January 2019 |
|
37 ≤ P < 56 |
NRE-v-4 NRE-c-4 |
||||
all |
56 ≤ P < 130 |
NRE-v-5 NRE-c-5 |
1 January 2019 |
1 January 2020 |
|
130 ≤ P ≤ 560 |
NRE-v-6 NRE-c-6 |
1 January 2018 |
1 January 2019 |
||
P > 560 |
NRE-v-7 NRE-c-7 |
1 January 2018 |
1 January 2019 |
Table III-2: Dates of application of this Regulation for engine category NRG
Category |
Ignition type |
Power range (kW) |
Sub-category |
Mandatory date of application of this Regulation for |
|
|
|
|
|
EU type-approval of engines |
Placing on the market of engines |
NRG |
all |
P > 560 |
NRG-v-1 NRG-c-1 |
1 January 2018 |
1 January 2019 |
Table III-3: Dates of application of this Regulation for engine category NRSh
Category |
Ignition type |
Power range (kW) |
Sub-category |
Mandatory date of application of this Regulation for |
|
|
|
|
|
EU type-approval of engines |
Placing on the market of engines |
NRSh |
SI |
0 < P < 19 |
NRSh-v-1a NRSh-v-1b |
1 January 2018 |
1 January 2019 |
Table III-4: Dates of application of this Regulation for engine category NRS
Category |
Ignition type |
Power range (kW) |
Sub-category |
Mandatory date of application of this Regulation for |
|
|
|
|
|
EU type-approval of engines |
Placing on the market of engines |
NRS |
SI |
0 < P < 56 |
NRS-vr-1a NRS-vi-1a NRS-vr-1b NRS-vi-1b NRS-v-2a NRS-v-2b NRS-v-3 |
1 January 2018 |
1 January 2019 |
Table III-5: Dates of application of this Regulation for engine category IWP
Category |
Ignition type |
Power range (kW) |
Sub-category |
Mandatory date of application of this Regulation for |
|
|
|
|
|
EU type-approval of engines |
Placing on the market of engines |
IWP |
all |
19 ≤ P < 300 |
IWP-v-1 IWP-c-1 IWP-v-2 IWP-c-2 IWP-v-3 IWP-c-3 |
1 January 2018 |
1 January 2019 |
P ≥ 300 |
IWP-v-4 IWP-c-4 |
1 January 2019 |
1 January 2020 |
Table III-6: Dates of application of this Regulation for engine category IWA
Category |
Ignition type |
Power range (kW) |
Sub-category |
Mandatory date of application of this Regulation for |
|
|
|
|
|
EU type-approval of engines |
Placing on the market of engines |
IWA |
all |
19 ≤ P < 300 |
IWA-v-1 IWA-c-1 IWA-v-2 IWA-c-2 IWA-v-3 IWA-c-3 |
1 January 2018 |
1 January 2019 |
P ≥ 300 |
IWA-v-4 IWA-c-4 |
1 January 2019 |
1 January 2020 |
Table III-7: Dates of application of this Regulation for engine category RLL
Category |
Ignition type |
Power range (kW) |
Sub-category |
Mandatory date of application of this Regulation for |
|
|
|
|
|
EU type-approval of engines |
Placing on the market of engines |
RLL |
all |
P > 0 |
RLL-v-1 RLL-c-1 |
1 January 2020 |
1 January 2021 |
Table III-8: Dates of application of this Regulation for engine category RLR
Category |
Ignition type |
Power range (kW) |
Sub-category |
Mandatory date of application of this Regulation for |
|
|
|
|
|
EU type-approval of engines |
Placing on the market of engines |
RLR |
all |
P > 0 |
RLR-v-1 RLR-c-1 |
1 January 2020 |
1 January 2021 |
Table III-9: Dates of application of this Regulation for engine category SMB
Category |
Ignition type |
Power range (kW) |
Sub-category |
Mandatory date of application of this Regulation for |
|
|
|
|
|
EU type-approval of engines |
Placing on the market of engines |
SMB |
SI |
P > 0 |
SMB-v-1 |
1 January 2018 |
1 January 2019 |
Table III-10: Dates of application of this Regulation for engine category ATS
Category |
Ignition type |
Power range (kW) |
Sub-category |
Mandatory date of application of this Regulation for |
|
|
|
|
|
EU type-approval of engines |
Placing on the market of engines |
ATS |
SI |
P > 0 |
ATS-v-1 |
1 January 2018 |
1 January 2019 |
ANNEX IV
Non-road steady-state test cycles (NRSC)
Table IV-1: NRSC test cycles for engines of category NRE
Category |
Speed operation |
Purpose |
Sub-category |
NRSC |
NRE |
variable |
Variable-speed engine having a reference power of less than 19 kW |
NRE-v-1 NRE-v-2 |
G2 or C1 |
Variable-speed engine having a reference power greater than or equal to 19 kW but not more than 560 kW |
NRE-v-3 NRE-v-4 NRE-v-5 NRE-v-6 |
C1 |
||
Variable-speed engine having a reference power greater than 560 kW |
NRE-v-7 |
C1 |
||
constant |
Constant-speed engine |
NRE-c-1 NRE-c-2 NRE-c-3 NRE-c-4 NRE-c-5 NRE-c-6 NRE-c-7 |
D2 |
Table IV-2: NRSC test cycles for engines of category NRG
Category |
Speed operation |
Purpose |
Sub-category |
NRSC |
NRG |
variable |
Variable-speed engine for generating set |
NRG-v-1 |
C1 |
constant |
Constant-speed engine for generating set |
NRG-c-1 |
D2 |
Table IV-3: NRSC test cycles for engines of category NRSh
Category |
Speed operation |
Purpose |
Sub-category |
NRSC |
NRSh |
variable or constant |
Engine having a reference power of not more than 19 kW, for use in hand-held machinery |
NRSh-v-1a NRSh-v-1b |
G3 |
Table IV-4: NRSC test cycles for engines of category NRS
Category |
Speed operation |
Purpose |
Sub-category |
NRSC |
NRS |
variable < 3 600 rpm |
Variable-speed engine having a reference power of not more than 19 kW, intended for operation < 3 600 rpm |
NRS-vi-1a NRS-vi-1b |
G1 |
variable ≥ 3 600 rpm; or constant |
Variable-speed engine having a reference power of not more than 19 kW, intended for operation ≥ 3 600 rpm; constant-speed engine having a reference power of not more than 19 kW |
NRS-vr-1a NRS-vr-1b |
G2 |
|
variable or constant |
Engine having both a reference power of 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 greater than 19 kW, other than engine having both a reference power of between 19 kW and 30 kW and a total swept volume of less than 1 litre |
NRS-v-2b NRS-v-3 |
C2 |
Table IV-5: NRSC test cycles for engines of category IWP
Category |
Speed operation |
Purpose |
Sub-category |
NRSC |
IWP |
variable |
Variable-speed engine intended for propulsion that operates on a fixed-pitch propeller curve |
IWP-v-1 IWP-v-2 IWP-v-3 IWP-v-4 |
E3 |
constant |
Constant-speed engine intended for propulsion that operates with a controllable-pitch or electrically coupled propeller |
IWP-c-1 IWP-c-2 IWP-c-3 IWP-c-4 |
E2 |
Table IV-6: NRSC test cycles for engines of category IWA
Category |
Speed operation |
Purpose |
Sub-category |
NRSC |
IWA |
variable |
Variable-speed engine intended for auxiliary use on inland waterway vessels |
IWA-v-1 IWA-v-2 IWA-v-3 IWA-v-4 |
C1 |
constant |
Constant-speed engine intended for auxiliary use on inland waterway vessels |
IWA-c-1 IWA-c-2 IWA-c-3 IWA-c-4 |
D2 |
Table IV-7: NRSC test cycles for engines of category RLL
Category |
Speed operation |
Purpose |
Sub-category |
NRSC |
RLL |
variable |
Variable-speed engine for propulsion of locomotives |
RLL-v-1 |
F |
constant |
Constant-speed engine for propulsion of locomotives |
RLL-c-1 |
D2 |
Table IV-8: NRSC test cycles for engines of category RLR
Category |
Speed operation |
Purpose |
Sub-category |
NRSC |
RLR |
variable |
Variable-speed engine for propulsion of railcars |
RLR-v-1 |
C1 |
constant |
Constant-speed engine for propulsion of railcars |
RLR-c-1 |
D2 |
Table IV-9: NRSC test cycles for engines of category SMB
Category |
Speed operation |
Purpose |
Sub-category |
NRSC |
SMB |
variable or constant |
Engines for propulsion of snowmobiles |
SMB-v-1 |
H |
Table IV-10: NRSC test cycle for engines of category ATS
Category |
Speed operation |
Purpose |
Sub-category |
NRSC |
ATS |
variable or constant |
Engines for propulsion of ATVs or SbS |
ATS-v-1 |
G1 |
Non-road transient test cycles
Table IV-11: Non-road transient test cycle for engines of category NRE
Category |
Speed operation |
Purpose |
Sub-category |
|
NRE |
variable |
Variable-speed engine having reference power greater than or equal to 19 kW but not more than 560 kW |
NRE-v-3 NRE-v-4 NRE-v-5 NRE-v-6 |
NRTC |
Table IV-12: Non-road transient test cycle for engines of category NRS (1)
Category |
Speed operation |
Purpose |
Sub-category |
|
NRS |
variable or constant |
Engine having a reference power greater than 19 kW, other than engine having both a reference power of between 19 kW and 30 kW and a total swept volume of less than 1 litre |
NRS-v-2b NRS-v-3 |
LSI-NRTC |
(1)
Only applicable for engines with maximum test speed ≤ 3 400 rpm. |
ANNEX V
Emission durability periods (EDP) referred to in Article 25(1)
Table V-1: EDP for engine category NRE
Category |
Ignition type |
Speed operation |
Power range (kW) |
Sub-category |
EDP (hours) |
NRE |
CI |
variable |
0 < P < 8 |
NRE-v-1 |
3 000 |
CI |
8 ≤ P < 19 |
NRE-v-2 |
|||
CI |
19 ≤ P < 37 |
NRE-v-3 |
5 000 |
||
CI |
37 ≤ P < 56 |
NRE-v-4 |
8 000 |
||
all |
56 ≤ P < 130 |
NRE-v-5 |
|||
130 ≤ P ≤ 560 |
NRE-v-6 |
||||
P > 560 |
NRE-v-7 |
||||
CI |
constant |
0 < P < 8 |
NRE-c-1 |
3 000 |
|
CI |
8 ≤ P < 19 |
NRE-c-2 |
|||
CI |
19 ≤ P < 37 |
NRE-c-3 |
|||
CI |
37 ≤ P < 56 |
NRE-c-4 |
8 000 |
||
all |
56 ≤ P < 130 |
NRE-c-5 |
|||
130 ≤ P ≤ 560 |
NRE-c-6 |
||||
P > 560 |
NRE-c-7 |
Table V-2: EDP for engine category NRG
Category |
Ignition type |
Speed operation |
Power range (kW) |
Sub-category |
EDP (hours) |
NRG |
all |
constant |
P > 560 |
NRG-v-1 |
8 000 |
variable |
NRG-c-1 |
Table V-3: EDP for engine category NRSh
Category |
Ignition type |
Speed operation |
Power range (kW) |
Swept volume (cm3) |
Sub-category |
EDP (hours) |
NRSh |
SI |
variable or constant |
0 < P < 19 |
SV < 50 |
NRSh-v-1a |
50/125/300 (1) |
SV ≥ 50 |
NRSh-v-1b |
|||||
(1)
EDP hours correspond to the EDP categories Cat 1/Cat 2/Cat 3 as defined in the delegated acts adopted pursuant to this Regulation. |
Table V-4: EDP for engine category NRS
Category |
Ignition type |
Speed operation |
Power range (kW) |
Swept volume (cm3) |
Sub-category |
EDP (hours) |
NRS |
SI |
variable ≥ 3 600 rpm; or constant |
0 < P < 19 |
80 ≤ SV < 225 |
NRS-vr-1a |
125/250/500 (1) |
variable < 3 600 rpm |
NRS-vi-1a |
|||||
variable ≥ 3 600 rpm; or constant |
SV ≥ 225 |
NRS-vr-1b |
250/500/1 000 (1) |
|||
variable < 3 600 rpm |
NRS-vi-1b |
|||||
variable or constant |
19 ≤ P < 30 |
SV ≤ 1 000 |
NRS-v-2a |
1 000 |
||
SV > 1 000 |
NRS-v-2b |
5 000 |
||||
30 ≤ P < 56 |
any |
NRS-v-3 |
5 000 |
|||
(1)
EDP hours correspond to the EDP categories Cat 1/Cat 2/Cat 3 as defined in the delegated acts adopted pursuant to this Regulation. |
Table V-5: EDP for engine category IWP
Category |
Ignition type |
Speed operation |
Power range (kW) |
Sub-category |
EDP (hours) |
IWP |
all |
variable |
19 ≤ P < 75 |
IWP-v-1 |
10 000 |
75 ≤ P < 130 |
IWP -v-2 |
||||
130 ≤ P < 300 |
IWP -v-3 |
||||
P ≥ 300 |
IWP -v-4 |
||||
constant |
19 ≤ P < 75 |
IWP -c-1 |
10 000 |
||
75 ≤ P < 130 |
IWP -c-2 |
||||
130 ≤ P < 300 |
IWP -c-3 |
||||
P ≥ 300 |
IWP -c-4 |
Table V-6: EDP for engine category IWA
Category |
Ignition type |
Speed operation |
Power range (kW) |
Sub-category |
EDP (hours) |
IWA |
all |
variable |
19 ≤ P < 75 |
IWA-v-1 |
10 000 |
75 ≤ P < 130 |
IWA -v-2 |
||||
130 ≤ P < 300 |
IWA -v-3 |
||||
P ≥ 300 |
IWA -v-4 |
||||
constant |
19 ≤ P < 75 |
IWA -c-1 |
10 000 |
||
75 ≤ P < 130 |
IWA -c-2 |
||||
130 ≤ P < 300 |
IWA -c-3 |
||||
P ≥ 300 |
IWA -c-4 |
Table V-7: EDP for engine category RLL
Category |
Ignition type |
Speed operation |
Power range (kW) |
Sub-category |
EDP (hours) |
RLL |
all |
variable |
P > 0 |
RLL-v-1 |
10 000 |
constant |
P > 0 |
RLL-c-1 |
Table V-8: EDP for engine category RLR
Category |
Ignition type |
Speed operation |
Power range (kW) |
Sub-category |
EDP (hours) |
RLR |
all |
variable |
P > 0 |
RLR-v-1 |
10 000 |
constant |
P > 0 |
RLR-c-1 |
Table V-9: EDP for engine category SMB
Category |
Ignition type |
Speed operation |
Power range (kW) |
Sub-category |
EDP (hours) |
SMB |
SI |
variable or constant |
P > 0 |
SMB-v-1 |
400 (1) |
(1)
Alternatively, an emission durability period of 8 000 km is permitted |
Table V-10: EDP for engine category ATS
Category |
Ignition type |
Speed operation |
Power range (kW) |
Sub-category |
EDP (hours) |
ATS |
SI |
variable or constant |
P > 0 |
ATS-v-1 |
500/1 000 (1) |
(1)
EDP hours correspond to the following total engine swept volumes: < 100 cm3/≥ 100 cm3. |
ANNEX VI
Special purpose engine (SPE) emission limit values referred to in Article 34(5)
Table VI-1: SPE emission limit values for engine category NRE
Emission stage |
Engine sub-category |
Power range |
Ignition type |
CO |
HC |
NOx |
PM mass |
A |
|
|
kW |
|
g/kWh |
g/kWh |
g/kWh |
g/kWh |
|
SPE |
NRE-v-1 NRE-c-1 |
0 < P < 8 |
CI |
8 |
7,5 |
0,4 |
6,0 |
|
SPE |
NRE-v-2 NRE-c-2 |
8 ≤ P < 19 |
CI |
6,6 |
7,5 |
0,4 |
6,0 |
|
SPE |
NRE-v-3 NRE-c-3 |
19 ≤ P < 37 |
CI |
5,5 |
7,5 |
0,6 |
6,0 |
|
SPE |
NRE-v-4 NRE-c-4 |
37 ≤ P < 56 |
CI |
5,0 |
4,7 |
0,4 |
6,0 |
|
SPE |
NRE-v-5 NRE-c-5 |
56 ≤ P < 130 |
all |
5,0 |
4,0 |
0,3 |
6,0 |
|
SPE |
NRE-v-6 NRE-c-6 |
130 ≤ P ≤ 560 |
all |
3,5 |
4,0 |
0,2 |
6,0 |
|
SPE |
NRE-v-7 NRE-c-7 |
P > 560 |
all |
3,5 |
6,4 |
0,2 |
6,0 |
Table VI-2: SPE emission limit values for engine category NRG
Emission stage |
Engine sub-category |
Power range |
Ignition type |
CO |
HC |
NOx |
PM mass |
A |
|
|
kW |
|
g/kWh |
g/kWh |
g/kWh |
g/kWh |
|
SPE |
NRG-c-1 |
P > 560 |
all |
3,5 |
6,4 |
0,2 |
6,0 |
|
NRG-v-1 |
Table VI-3: SPE emission limit values for engine category RLL
Emission stage |
Engine sub-category |
Power range |
Ignition type |
CO |
HC |
NOx |
PM mass |
A |
|
|
kW |
|
g/kWh |
g/kWh |
g/kWh |
g/kWh |
|
SPE |
RLL-v-1 RLL-c-1 |
P ≤ 560 |
all |
3,5 |
(HC + NOx ≤ 4,0) |
0,2 |
6,0 |
|
SPE |
RLL-v-1 RLL-c-1 |
P > 560 kW |
all |
3,5 |
0,5 |
6,0 |
0,2 |
6,0 |
SPE |
RLL-v-1 RLL-c-1 |
P > 2000 kW and SVc (1) > 5 litres |
all |
3,5 |
0,4 |
7,4 |
0,2 |
6,0 |
(1)
Swept Volume per cylinder. |
( 1 ) 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 (Framework Directive) (OJ L 263, 9.10.2007, p. 1).
( 2 ) Regulation (EU) No 168/2013 of the European Parliament and of the Council of 15 January 2013 on the approval and market surveillance of two- or three-wheel vehicles and quadricycles (OJ L 60, 2.3.2013, p. 52).
( 3 ) Directive (EU) 2016/1629 of the European Parliament and of the Council of 14 September 2016 laying down technical requirements for inland waterway vessels, amending Directive 2009/100/EC and repealing Directive 2006/87/EC (see page 118 of this Official Journal).
( 4 ) 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).
( 5 ) Commission Regulation (EU) No 1321/2014 of 26 November 2014 on the continuing airworthiness of aircraft and aeronautical products, parts and appliances, and on the approval of organisations and personnel involved in these tasks (OJ L 362, 17.12.2014, p. 1).
( 6 ) European standard EN 14466+A1: 2009 (Fire-fighting pumps — Portable pumps — Safety and performance requirements, tests).
( 7 ) 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).
( 8 ) Commission Regulation (EU) No 1302/2014 of 18 November 2014 concerning a technical specification for interoperability relating to the ‘rolling stock — locomotives and passenger rolling stock’ subsystem of the rail system in the European Union (OJ L 356, 12.12.2014, p. 228).
( *1 ) 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).’;
( *2 ) OJ L 252, 16.9.2016, p. 53’.
( *3 ) Regulation (EU) 2016/1628 of the European Parliament and of the Council of 14 September 2016 on requirements relating to gaseous and particulate pollutant emission limits and type-approval for internal combustion engines for non-road mobile machinery, amending Regulations (EU) No 1024/2012 and (EU) No 167/2013, and amending and repealing Directive 97/68/EC (OJ L 252, 16.9.2016, p. 53)’;
( *4 ) Commission Delegated Regulation (EU) 2015/96 of 1 October 2014 supplementing Regulation (EU) No 167/2013 of the European Parliament and of the Council as regards environmental and propulsion unit performance requirements of agricultural and forestry vehicles (OJ L 16, 23.1.2015, p. 1).’.