This Directive aims at approximating the laws of the Member States relating to emission standards and type-approval procedures for engines to be installed in non-road mobile machinery. It will contribute to the smooth functioning of the internal market, while protecting human health and the environment.
Directive 97/68/EC of the European Parliament and of the Council of 16 December 1997 on the approximation of the laws of the Member States relating to measures against the emission of gaseous and particulate pollutants from internal combustion engines to be installed in non-road mobile machinery
Directive 97/68/EC of the European Parliament and of the Council of 16 December 1997 on the approximation of the laws of the Member States relating to measures against the emission of gaseous and particulate pollutants from internal combustion engines to be installed in non-road mobile machinery
THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,
Having regard to the Treaty establishing the European Community, and in particular Article 100a thereof,
Having regard to the proposal from the Commission(1),
Having regard to the opinion of the Economic and Social Committee(2),
Acting in accordance with the procedure laid down in Article 189b of the Treaty(3), in the light of the joint text approved by the Conciliation Committee on 11 November 1997,
(1) Whereas the Community programme of policy and action in relation to the environment and sustainable development(4) recognizes as a fundamental principle that all persons should be effectively protected against recognized health risks from air pollution and that this necessitates in particular the control of emissions of nitrogen dioxide (NO2), particulates (PT) — black smoke, and other pollutants such as carbon monoxide (CO); whereas with regard to the prevention of tropospheric ozone (O3) formation and its associated health and environmental impact, the emissions of the precursors nitrogenoxides (NOx) and hydrocarbons (HC) must be reduced; whereas the environmental damage caused by acidification will also require reductions inter alia on the emission of NOx and HC;
Whereas the Community signed the UN/ECE protocol on volatile organic compound (VOC) reduction in April 1992 and adhered to the protocol on NOx reduction in December 1993, both of which are related to the 1979 Convention on Long-range Transboundary Air Pollution which was approved in July 1982;
Whereas the objective of reducing the level of pollutant emissions from non-road mobile machinery engines and the establishment and operation of the internal market for engines and machinery cannot be sufficiently achieved by individual Member States, and can therefore be better achieved by the approximation of the laws of the Member States relating to measures against air pollution by engines to be installed in non-road mobile machinery;
Whereas recent investigations undertaken by the Commission show that the emissions from non-road mobile machinery engines constitute a significant proportion of the total man-made emissions of certain noxious atmospheric pollutants; whereas the category of compression ignition engines which will be regulated by this Directive is responsible for a considerable share of air pollution by NOx and PT, in particular when it is compared with that coming from the road transport sector;
Whereas emissions from non-road mobile machinery operating on the ground equipped with compression ignition engines, and in particular the emissions of NOx and PT, constitute a primary cause of concern in this area; whereas these sources should be regulated in the first instance; whereas, however, it will also be appropriate subsequently to extend the scope of this Directive to include the control of emissions from other non-road mobile machinery engines, including transportable generating sets, based on appropriate test cycles, and in particular from gasoline engines; whereas a considerable reduction of the CO and HC emissions may be achievable with the envisaged enlargement of the scope of this Directive to include gasoline engines;
Whereas emissions control legislation on agricultural and forestry tractor engines, ensuring a level of environmental protection equivalent to the level established pursuant to this Directive, with standards and requirements fully consistent with it, should be introduced as soon as possible;
Whereas, in respect of certification procedures, that type-approval approach has been taken which, as a European method, has stood the test of time for approvals of road vehicles and their components; whereas, as a new element, the approval of a parent engine on behalf of a group of engines (engine family) built using similar components according to similar construction principles, has been introduced;
Whereas the engines produced in compliance with the requirements of this Directive will have to be accordingly marked and notified to the approval authorities; whereas, in order to keep administrative burdens low, no direct control by the authority of the engine production dates relevant for strengthened requirements has been foreseen; whereas this freedom for the manufacturers requires them to facilitate the preparation of spot checks by the authority and to make available relevant production planning information at regular intervals; whereas absolute compliance with notification made in accordance with this procedure is not obligatory but a high degree of compliance would facilitate the approval authorities' planning of assessments and contribute to a relationship of increased trust between manufacturers and type-approval authorities;
Whereas approvals granted in accordance with Directive 88/77/EEC(5) and with UN/ECE Regulation 49 Series 02, as listed in Annex IV, Appendix II to Directive 92/53/EEC(6) are recognized as equivalent to those required by this Directive in its first stage;
Whereas engines which are in compliance with the requirements of this Directive and covered by its scope must be permitted to be placed on the market in the Member States; whereas these engines must not be subject to any other national emission requirement; whereas the Member State granting approvals will take the necessary control measures;
Whereas, in laying down the new test procedures and limit values, it is necessary to take into account the specific usage patterns of these types of engines;
Whereas it is appropriate to introduce these new standards according to the proven principle of a two-stage approach;
Whereas, for engines with higher power output, the achievement of substantial emission reduction seems to be easier, as existing technology that has been developed for engines of road vehicles can be used; whereas, taking this into account a staggered implementation of the requirements has been foreseen, beginning with the highest of three powerbands for stage I; whereas this principle has been retained for stage II with the exception of a new fourth powerband not covered by stage I;
Whereas for this sector of non-road mobile machinery applications, which is now regulated and is the most important one besides agricultural tractors if compared with emissions coming from road transport, a considerable reduction of emissions can be expected by the implementation of this Directive; whereas due to, in general, very good performance of diesel engines with respect to CO and HC emissions, the margin for improvement in respect of the total amount emitted is very small;
Whereas, in order to make provision for the case of exceptional technical or economic circumstances, procedures have been integrated which could exempt manufacturers from the obligations arising from this Directive;
Whereas, in order to ensure ‘conformity of production’ (COP) once an approval is granted for an engine, manufacturers will be required to provide corresponding arrangements; whereas provisions have been made for the case of discovered non-conformity which lay down information procedures, corrective actions and a cooperation procedure which will allow the settling of possible differences of opinion between Member States in respect of conformity of certified engines;
Whereas the entitlement of Member States to lay down requirements ensuring that workers are protected when using non-road mobile machinery shall not be affected by this Directive;
Whereas the technical provisions in certain Annexes to this Directive should be supplemented and, as necessary, adapted to technical progress according to a committee procedure;
Whereas provisions should be laid down to ensure testing of the engines in compliance with the rules of good laboratory practice;
Whereas there is a need to promote global trade in this sector by harmonizing, as far as possible, emission standards in the Community with those applied or planned in third countries;
Whereas it is therefore necessary to envisage the possibility of reconsidering the situation on the basis of the availability and the economic feasibility of new technologies and taking account of progress achieved in the implementation of the second stage;
Whereas an agreement on a modus vivendi between the European Parliament, the Council and the Commission concerning the implementing measures for acts adopted in accordance with the procedure laid down in Article 189b of the Treaty was reached on 20 December 1994(7),
HAVE ADOPTED THIS DIRECTIVE:
Article 1 Objectives
Article 2 Definitions
For the purposes of this Directive:
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non-road mobile machinery shall mean any mobile machine, transportable industrial equipment or vehicle with or without body work, not intended for the use of passenger- or goods-transport on the road, in which an internal combustion engine as specified in Annex I section 1 is installed,
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type-approval shall mean the procedure whereby a Member State certifies that an internal combustion engine type or engine family with regard to the level of emission of gaseous and particulate pollutants by the engine(s), satisfies the relevant technical requirements of this Directive,
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engine type shall mean a category of engines which do not differ in such essential engine characteristics as specified in Annex II, Appendix 1,
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engine family shall mean a manufacturer's grouping of engines which, through their design, are expected to have similar exhaust emission characteristics and which comply with the requirements of this Directive,
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parent engine shall mean an engine selected from an engine family in such a way that it complies with the requirements set out in sections 6 and 7 of Annex I,
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engine power output shall mean net power as specified in section 2.4 of Annex I,
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engine production date shall mean the date when the engine passes the final check after it has left the production line. At this stage the engine is ready to be delivered or to be put on stock,
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placing on the market shall mean the action of making an engine available for the first time on the market, for payment or free of charge, with a view to distribution and/or use in the Community,
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manufacturer shall mean the person or body who is responsible to the approval authority for all aspects of the type-approval process and for ensuring conformity of production. It is not essential that the person or body is directly involved in all stages of the construction of the engine,
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approval authority shall mean a Member State's competent authority or authorities responsible for all aspects of type-approval of an engine or of an engine family, for issuing and withdrawing approval certificates, for serving as the contact point with the approval authorities of the other Member States, and for verifying the manufacturer's conformity of production arrangements,
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technical service shall mean the organization(s) or body(ies) that has(have) been appointed as a testing laboratory to carry out tests or inspections on behalf of the approval authority of a Member State. This function may also be carried out by the approval authority itself,
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information document shall mean the document set out in Annex II that prescribes the information to be supplied by an applicant,
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information folder shall mean the total folder or file of data, drawings, photographs, etc. supplied by the applicant to the technical service or the approval authority as prescribed in the information document,
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information package shall mean the information folder plus any test reports or other documents that the technical service or the approval authority have added to the information folder in the course of carrying out their functions,
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index to the information package shall mean the document in which the contents of the information package, suitably numbered or otherwise marked to clearly identify all pages, are listed,
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replacement engines shall mean a newly built engine to replace an engine in a machine, and which has been supplied for this purpose only,
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hand-held engine shall mean an engine that meets at least one of the following requirements:
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the engine must be used in a piece of equipment that is carried by the operator throughout the performance of its intended function(s);
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the engine must be used in a piece of equipment that must operate multipositionally, such as upside down or sideways, to complete its intended function(s);
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the engine must be used in a piece of equipment for which the combined engine and equipment dry weight is under 20 kilograms and at least one of the following attributes is also present:
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the operator must alternatively provide support or carry the equipment throughout the performance of its intended function(s);
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the operator must provide support or attitudinal control for the equipment throughout the performance of its intended function(s);
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the engine must be used in a generator or a pump,
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non-hand-held engine shall mean an engine which does not fall under the definition of a hand-held engine,
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professional use multipositional hand-held engine shall mean a hand-held engine which meets the requirements of both (a) and (b) of the hand-held engine definition and in relation to which the engine manufacturer has satisfied an approval authority that a Category 3 Emissions Durability Period (according to section 2.1 of Appendix 4 to Annex IV) would be applicable to the engine,
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emission durability period shall mean the number of hours indicated in Annex IV, Appendix 4, used to determine the deterioration factors,
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small volume engine family shall mean a spark-ignition (SI) engine family with a total yearly production of fewer than 5 000 units,
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small volume engine manufacturer of SI engines shall mean a manufacturer with a total yearly production of fewer than 25 000 units,
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inland waterway vessel shall mean a vessel intended for use on inland waterways having a length of 20 metres or more and having a volume of 100 m3 or more according to the formula defined in Annex I, Section 2, point 2.8a, or tugs or pusher craft having been built to tow or to push or to move alongside vessels of 20 metres or more,
This definition does not include:
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vessels intended for passenger transport carrying no more that 12 people in addition to the crew,
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recreational craft with a length of less than 24 metres (as defined in Article 1(2) of Directive 94/25/EC of the European Parliament and of the Council of 16 June 1994 on the approximation of the laws, regulations and administrative provisions of the Member States relating to recreational craft(8),
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service craft belonging to supervisory authorities,
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fire-service vessels,
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naval vessels,
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fishing vessels on the fishing vessels register of the Community,
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sea-going vessels, including sea-going tugs and pusher craft operating or based on tidal waters or temporarily on inland waterways, provided that they carry a valid navigation or safety certificate as defined in Annex I, Section 2, point 2.8b,
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original equipment manufacturer (OEM) shall mean a manufacturer of a type of non-road mobile machine,
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flexibility scheme shall mean the procedure allowing an engine manufacturer to place on the market, during the period between two successive stages of limit values, a limited number of engines, to be installed in non-road mobile machinery, that only comply with the previous stage of emission limit values.
Article 3 Application for type-approval
1.
Application for engine or engine family type-approval shall be submitted by the manufacturer to the approval authority of a Member State. An application shall be accompanied by an information folder, the contents of which are given in the information document in Annex II. An engine conforming to the engine type characteristics described in Annex II, Appendix 1, shall be submitted to the technical service responsible for conducting the approval tests.
2.
In the case of an application for type-approval of an engine family, if the approval authority determines that, with regard to the selected parent engine, the submitted application does not fully represent the engine family described in Annex II, Appendix 2, an alternative and, if necessary, an additional parent engine which is determined by the approval authority shall be provided for approval according to paragraph 1.
3.
No application in respect of one engine type or engine family may be submitted to more than one Member State. A separate application shall be submitted for each engine type or engine family to be approved.
Article 4 Type-approval procedure
1.
The Member State receiving the application shall grant type-approval to all engine types or engine families which conform to the particulars in the information folder and which meet the requirements of this Directive.
2.
The Member State shall complete all applicable sections of the type-approval certificate, the model being given in Annex VII, for each engine type or engine family which it approves and shall compile or verify the contents of the index to the information package. Type-approval certificates shall be numbered in accordance with the method described in Annex VIII. The completed type-approval certificate and its attachments shall be delivered to the applicant.The Commission shall amend Annex VIII. Those measures, designed to amend non-essential elements of this Directive, shall be adopted in accordance with the regulatory procedure with scrutiny referred to in Article 15(2).
3.
Where the engine to be approved fulfils its function or offers a specific feature only in conjunction with other parts of the non-road mobile machinery, and for this reason compliance with one or more requirements can be verified only when the engine to be approved operates in conjunction with other machinery parts, whether real or simulated, the scope of the type-approval of the engine(s) must be restricted accordingly. The type-approval certificate for an engine type or engine family shall then include any restrictions on its use and shall indicate any conditions for fitting it.
4.
The approval authority of each Member State shall:
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send monthly to the approval authorities of the other Member States a list (containing the particulars shown in Annex IX) of the engine and engine family type-approvals it has granted, refused to grant or withdrawn during that month;
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on receiving a request from the approval authority of another Member State, send forthwith:
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a copy of the engine or engine family type-approval certificate with/without information package for each engine type or engine family which it has approved or refused to approve or withdrawn, and/or
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the list of engines produced according to type-approvals granted, as described in Article 6(3), containing the particulars shown in Annex X, and/or
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a copy of the declaration described in Article 6(4).
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5.
The approval authority of each Member State shall yearly, or in addition on receiving a corresponding application, send the Commission a copy of the data sheet as shown in Annex XI related to the engines approved since the last notification was made.
6.
Compression ignition engines for use other than in propulsion of locomotives, railcars and inland waterway vessels may be placed on the market under a flexible scheme in accordance with the procedure referred to in Annex XIII in addition to paragraphs 1 to 5.