Explanatory Memorandum to COM(2023)178 - Approval and market surveillance of non-road mobile machinery circulating on public roads - Main contents
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This page contains a limited version of this dossier in the EU Monitor.
| dossier | COM(2023)178 - Approval and market surveillance of non-road mobile machinery circulating on public roads. |
|---|---|
| source | COM(2023)178 |
| date | 30-03-2023 |
1. CONTEXT OF THE PROPOSAL
• Reasons for and objectives of the proposal
This proposal aims to fill a gap in EU legislation for non-road mobile machinery. Non-road mobile machinery is a broad category of machinery fitted with a means for its own propulsion. These machines are regularly used in certain sectors or for specific purposes, for example they are used as construction, agricultural, garden, municipal or material handling equipment. Many technical aspects of non-road mobile machinery are harmonised at EU level (e.g. machinery safety, electromagnetic compatibility, noise emissions while the machine is carrying out works, exhaust emissions, etc.). In addition, a number of those machines occasionally need to circulate on public roads, mostly to move from one working place to another and as a result they are placed on the Union market for that purpose, as well. However, laying down requirements, for example on safety, solely for the circulation of mobile machinery on public roads remains within the sole remit of the Member States.
The fact that there are currently different national regulatory regimes causes additional costs and administrative burdens for the non-road mobile machinery sector. A costs and benefits study carried out by the European Commission in 2019 indicated that laying down uniform requirements at EU level could help the sector save 18% to 22% in compliance costs. It is expected that over a period of 10 years this proposal could generate up to €846 million in savings for all stakeholders. Since the administrative cost is estimated at 4% of the total, the overall administrative saving is calculated as €3,38 million per year. In particular, the need to comply with various national requirements for road circulation when designing, testing and manufacturing these machines creates additional costs for manufacturers. The absence of harmonisation delays the introduction of new products in the EU and constitutes an entry barrier (particularly for small to medium-sized enterprises (SMEs)). It also hinders the circulation of mobile machinery across the EU. The current proposal aims to address this situation by laying down harmonised rules for non-road mobile machinery to strengthen the single market while ensuring a high level of road safety.
• Consistency with existing policy provisions in the policy area
For many years, various aspects of non-road mobile machinery have been harmonised at EU level, such as the health and safety essential requirements relating to the design and construction of machinery (Directive 2006/42/EC)1, pollutant emissions from non-road mobile machinery (Regulation (EU) 2016/1628)2, noise emissions from certain types of machinery (Directive 2000/14/EC)3, and electromagnetic disturbances generated by these machines (Directive 2014/30/EC)4.
The Machinery Directive 2006/42/EC is the main regulatory basis for the free movement of non-road mobile machinery in the single market. It requires that such mobile machinery placed on the single market meet the essential health and safety requirements laid down in its Annex I. These requirements cover aspects of the off-road travelling function of mobile machinery such as slowing down, stopping, braking, seating positions, restraint systems, etc. However, the essential health and safety requirements laid down by the Machinery Directive are only designed to address occupational safety (i.e. when machinery is at work), but do not cover the safety aspects related to the circulation of this machinery on public roads5.
Many aspects of the technical safety of vehicles, including the requirements for road circulation, are harmonised at EU level by vehicle type-approval legislation such as Regulation (EU) 2018/858 on the approval and market surveillance of motor vehicles and their trailers, or Regulation (EU) No 167/2013 on the approval and market surveillance of agricultural and forestry vehicles. These legislative acts do, however, not cover self-propelled non-road mobile machinery.
The proposal follows, to the extent possible, the approach and structure of the EU type-approval framework for motor vehicles (Regulation (EU) 2018/858)6 and agricultural and forestry vehicles (Regulation (EU) No 167/2013)7, to maximise consistency with existing vehicle legislation. As regards the technical requirements and administrative provisions, the proposal is closely based on Regulation (EU) 167/2013. On the other hand, regarding market surveillance, the proposal follows similar provisions as included in Regulation (EU) 2018/858 which are also based on the New Legislative Framework8. Further, it similarly introduces a Forum for Exchange of Information on Enforcement to aid national authorities in applying and enforcing the requirements of this Regulation in a uniform manner across the Union. This ensures a level playing field and avoids divergent practices being applied across the Union.
The proposal does not affect the applicability of other Union legislation applicable to non-road mobile machinery, and is complementary, i.a., to the Union legislation relating to:
(a) essential health and safety requirements relating to the design and construction of machinery, such as Directive 2006/42/EC;
(b) pollutant emissions by non-road machinery, such as Regulation (EU) 2016/1628;
(c) noise emissions, such as Directive 2000/14/EC;
(d) electromagnetic compatibility, such as Directive 2014/30/EU or Directive 2014/53/EU.
• Consistency with other EU policies
This initiative is consistent and complementary to existing legislative frameworks of EU harmonisation legislation, in particular the framework for the approval and market surveillance of vehicles and the New Legislative Framework, as mentioned above.
It also helps implement EU strategies on single market legislation and the EU industrial strategy. It will simplify the regulatory requirements for manufacturers of non-road mobile machinery in line with the Commission's communication Updating and simplifying the Community acquis9, which identified the type-approval system for motor vehicles as a priority area for simplification of Community legislation. Indeed, this initiative addresses one of the last remaining categories of vehicles for road circulation. The initiative is also part of the efforts to accelerate the green and digital transformation of the EU industry as encouraged by the May 2021 industrial strategy update10.
Finally, the proposal helps achieve the EU objective to make roads safer as outlined, in particular, in the Commission staff working document EU Road Safety Policy Framework 2021-2030 - Next steps towards “Vision Zero”11. The Commission adopted this staff working document as part of the Europe on the Move package in May 2018. It sets out how EU road safety policy is being translated into action.
2. LEGAL BASIS, SUBSIDIARITY AND PROPORTIONALITY
• Legal basis
The legal basis of the proposal is Article 114 of the Treaty on the Functioning of the European Union (TFEU).
• Subsidiarity
The proposal creates a harmonised regulatory framework for non-road mobile machinery to replace, after a transitional period, the different regulatory regimes that currently exist in the Member States. It aims to improve the functioning of the single market, while ensuring a high level of road safety. The different regulatory regimes in the Member States have created discrepancies in the single market, they are an economic and administrative burden and create barriers to the free circulation of non-road mobile machinery. Harmonising the safety rules for the road circulation of non-road mobile machinery and ensure its free movement for those aspects can only be done at EU level.
Without EU action, the single market will remain fragmented, leading to ever more diverging road circulation requirements for mobile machinery across the EU.
Creating an EU type-approval framework for mobile machinery and a corresponding market surveillance framework is the only means to achieve a fairer and deeper single market for the sector. These results could not be achieved to a comparable degree by national legislation. Indeed, the different approaches at national level create barriers to entry for manufacturers located in one Member State and wishing to export to other Member States. This means such manufacturers will have to tailor their products to the specific national requirements in each Member State and bear the associated regulatory costs.
• Proportionality
The proposal complies with the proportionality principle because it does not go beyond what is necessary to achieve the objectives of ensuring the proper functioning of the single market while at the same time providing a high level of public road safety.
The proposal follows the logic, with some adaptations, of the well-established type-approval framework for motor vehicles and agricultural and forestry vehicles, as mentioned above. This reference framework has proven its appropriateness to stimulate a single market for those vehicles. Maintaining a high level of similarity between the proposal and the EU type-approval framework for motor vehicles will reduce the administrative burden of implementing the act. Where possible and duly justified, the framework has been simplified to take into account that several safety aspects of these machines are already regulated by the essential health and safety requirements laid down in Annex I to the Machinery Directive.
• Choice of the instrument
The use of a regulation is considered appropriate and necessary because it gives assurances about the direct and harmonised application of the procedures and requirements laid down by this act. A directive with transposition requirements risks using considerable resources of national administrations without adding value in terms of road safety. The technical and detailed nature of harmonisation, and the frequent adaptation to technical progress limits the practical opportunities for national administrations to deviate from the provisions of this proposal.
The proposal continues to build on the split-level approach already introduced in the EU type-approval framework for motor vehicles. This approach provides for legislation in three steps:
- the fundamental provisions and the scope are laid down by the European Parliament and the Council in a regulation based on Article 114 TFEU in accordance with the ordinary legislative procedure;
- the detailed technical specifications based on the fundamental provisions will be laid down in delegated acts adopted by the Commission in accordance with Article 290 TFEU; and
- implementing acts setting out the administrative provisions, such as the template for the information document and the type-approval certificates, the certificate of conformity, etc. will be adopted by the Commission in accordance with Article 291 TFEU.
3. RESULTS OF EX POST EVALUATIONS, STAKEHOLDER CONSULTATIONS AND IMPACT ASSESSMENTS
• Stakeholder consultations
Numerous consultations over this file have been taking place over time, as follows:
In 2016, surveys to 35 stakeholders were carried out as input for a study on the EU harmonisation of the requirements for the road circulation of non-road mobile machinery 12;
In 2017, Feedback on the Inception Impact Assessment was received13 and a workshop was organised to collect views from the national authorities (ministries of transport) on the possible policy options forward;
In 2018, a workshop 2 was organised, for a more in-depth discussion on the preferred policy option and initiating a debate on technical requirements14;
In 2019, surveys to 90 stakeholders were carried out as input for a costs and benefit study15, a targeted consultation for Member States in 23 EU languages was carried out between May and September 2019 via EU survey16, and a workshop addressed to member state authorities, technical services, notified bodies and Europe-wide stakeholder organisations was organised in December 2019, to share the outcomes of the costs and benefits study and the targeted consultation, and to further discuss the policy options, scope and technical requirements17;
In 2020, a public consultation in 23 EU languages via EU survey was launched and open during 12 weeks from Nov. 2020 to Feb. 202118;
In 2021, a workshop was organised with all main stakeholders, to share the main findings of the public consultation process and make progress on policy options, scope and technical requirements19;
In 2022, a workshop was organised with all main stakeholders, to share and gather feedback on the main features of the legislative proposal for the road approval of non-road mobile machinery under preparation20.
In addition, several bilateral meetings with stakeholders were organised for a deeper analysis on certain aspects of the file.
A comparison of the stakeholder views on the policy options (majority of views) are summarised here below:
| Policy option | Member States road approval authorities | Manufacturers and distributors | Rental companies and end users | Technical services |
| PO 0: Baseline | - | - | - | - |
| PO 1a: Type-approval | - | - | - | Preferred |
| PO 1b: Simplified type -approval | Preferred | Preferred | Preferred | - |
| PO 2: CE marking | - | - | - | - |
| Directive | - | - | - | - |
| Regulation | Preferred | Preferred | Preferred | Preferred |
| Mandatory | Preferred optional at first, and mandatory later on | - | - | Preferred |
| Optional | Preferred | Preferred | - | |
| Self propelled and towed machinery in scope | - | Preferred | - | - |
| Only self propelled machinery in scope | Preferred | - | Preferred | - |
| No maximum design speed limit | Preferred | - | - | |
| Maximum design speed limit 40 Km/h | Preferred | - | Preferred | - |
• Impact assessment
This proposal is supported by an impact assessment. Related information can be found at: https://ec.europa.eu/info/law/better-regulation/have-your-say/initiatives/1198-Road-circulation-requirements-for-mobile-machinery_en.
The policy options considered are set out below.
• Option 0 – baseline. No action.
• Option 1 – EU approval of the entire mobile machine granted by Member State authorities (old approach). This policy option follows the principles of EU legislation on vehicles, where the technical specifications to comply with the general requirements are integrated into the legislation.
- 1.a – type approval. For most components, systems and separate technical units, the road approval would involve a third party.
- 1.b – simplified type approval. For components, systems and separate technical units that are more critical for road safety, the conformity assessment would involve a third party (independent authorised body). For components, systems and separate technical units that are less critical for road safety, the conformity assessment would be based on reports or self-certification by the manufacturer.
• Option 2 – CE marking of the entire mobile machine granted by the manufacturer (new approach). This policy option follows the principles of new EU legislation on the non-road use of mobile machinery (e.g. the Machinery Directive), where only the essential safety requirements are embedded in law, not the detailed technical specifications.
In principle, all options can be implemented by issuing either a directive or a regulation.
The following aspects of the legislation were also assessed: (i) making it mandatory (replacing the current 27 national rules) or optional (an alternative to the current 27 national rules); (ii) including (or not) towed equipment in the scope; and (iii) limiting (or not) the scope to non-road mobile machinery with a maximum design speed not exceeding 40 km/h.
The preferred policy option is 1.b (simplified type approval), mandatory (after a transitional period), covering self-propelled machinery only (not towed), with a maximum design speed limit of 40 km/h, in the form of a regulation.
The type-approval system that details technical specifications in the legislation is the widely accepted and trusted framework for road safety in EU. It should be simplified to be proportionate and to take account of the characteristics of non-road mobile machinery (low circulation frequency). A mandatory policy seems more adequate after a transitional period, during which manufacturers will have the choice whether to apply for the EU type-approval (and benefit from the free movement) or to apply for national legislation (valid for that country only).
The rules would only cover self-propelled machinery since the vast majority of towed equipment can already be type-approved under other vehicle categories. Machinery covered by the regulation would have a maximum design speed set at 40 km/h. A higher speed is not deemed necessary nor appropriate for this type of machinery. Indeed, manufacturers of faster vehicles can in principle opt for the currently available type-approval procedures for the other vehicle categories.
Given that noise emissions of most of the non-road mobile machinery at stake is already covered by the Directive 2000/14/EC21, that non-road mobile machinery represents a very small portion of the vehicles on EU roads, and that the maximum design speed in scope will be limited to 40 km/h, it does not appear necessary to foresee specific noise requirements in addition of those already existing.
Lastly, since the technical requirements will be highly detailed and will leave practically no room for discretion by the Member States when transposing them, a regulation is preferred.
A harmonised simplified type-approval policy for road circulation will have the following implications for the stakeholders involved.
- Manufacturers and distributors will: i) have an easier market entry; ii) eliminate delays linked to multiple EU countries’ approvals; iii) benefit from a reduction by a fifth of the compliance costs; iv) enhance their competitiveness in and outside the EU.
- Rental companies and end users will: i) benefit from a reduction by a fifth of the compliance costs; ii) easily use and re-sell machinery across intra-EU borders; iii) have more choice of non-road mobile machinery; iv) have access to more innovative designs.
- Member States authorities: will need to adapt to the new systems, however this is not seen as a problem or a significant burden by the affected authorities.
- Technical services: will need to adapt to the new system, and will see an increase on workload and revenue, although this may be mitigated by the fact that approvals will likely decrease in number since manufacturers will have to undergo them in one EU country only.
- Road users: will benefit from harmonised rules that ensure high road safety across the EU.
The total benefits for economic operators are as follows: estimated net savings of EUR 846 million over 10 years, of which EUR 502 million for manufacturers and distributors and EUR 344 million for rental companies and end users. The increased turnover for technical services is partially offset by a decrease in the total number of approvals.
The estimated costs for manufacturers, distributors, rental companies and end users are offset by far by the estimated savings. The net savings are estimated above.
In the non-road mobile machinery sector, 98% of companies are SMEs, which account for 18% of revenues and 30% of employment. Many SMEs are strong exporters and will benefit significantly from having simplified EU-wide rules. Others will be able to keep applying the national rules. The net savings for SMEs are estimated at €152 million over 10 years.
There are estimated societal benefit will be higher road safety across the EU.
The RSB (Regulatory Scrutiny Board) issued its opinion on 10/12/2021, following which this impact assessment was revised as follows:
4. BUDGETARY IMPLICATIONS
Member States will face some adaptation costs to adjust to the new regulation. However, since they already handle several type-approval frameworks for other vehicles, they have the structure and technical services in place to handle this additional regulation without it imposing a significant burden.
This initiative has no impact on the EU budget.
5. OTHER ELEMENTS
• Implementation plans and monitoring, evaluation and reporting arrangements
Once implemented, the actual impacts of the chosen policy option need to be monitored and compared to the objectives and the expected impacts. A Commission expert group will meet regularly and gather expertise from the mobile machinery sector, in order to analyse the applicability and implementation of this regulation in all EU countries.
At least the following indicators are proposed to collect the necessary information:
- number of EU approvals for new non-road mobile machinery granted in each Member State;
- number of national approvals for new mobile machinery granted in each Member State, compared to the average of the number of national approvals granted in the 5 last calendar years previous to the entry into application of the new regulation;
- reporting on road accidents with mobile machinery by Member States;
- direct costs of compliance for EU type-approval per each new type of machinery (this indicator can only be assessed by means of a survey‑based process, as carried out as part of the impact assessment study; carrying out such a survey again after full implementation of the new legislation would provide a comparative figure); and
- indirect cost savings with EU approval per each new type of machinery (market delays): by means of a survey-based process, after full implementation of the new legislation.
The new regulation should be evaluated within 5 years of its entry into application.
• Detailed explanation of the specific provisions of the proposal
To the extent possible, the proposal follows the structure of Regulation (EU) No 167/2013. The proposed act concerns a European Economic Area (EEA) matter and should therefore extend to the EEA.
Contents
This chapter sets out the purpose of the proposal, namely to:
- lay down the technical requirements for the road safety of non-road mobile machinery falling within the scope of the proposal, and the administrative provisions for the EU type approval of such machinery; and
- set the rules and procedures for the market surveillance of non-road mobile machinery that falls within the scope of EU type approval in accordance with this proposal.
In addition, it determines the scope, by stipulating that it applies to non-road mobile machinery that is placed on the EU market, and by listing specific exceptions. For example, this chapter provides that the proposal does not apply to individual approvals, any vehicle that falls within the scope of Regulation (EU) No 167/2013, Regulation (EU) No 168/2013 or Regulation (EU) 2018/858 or non-road machinery with a maximum design speed exceeding 40 km/h.
Lastly, in Article 3, it includes definitions of the terms used in the proposal.
This chapter set outs the obligations of Member States, approval authorities and economic operators (manufacturers, manufacturer’s representative, importers and distributors).
In particular, it obliges Members States:
- to permit the placing on the market, registration or entry into service of only non-road mobile machinery that satisfies the requirements set out in the proposal; and
- to organise and carry out market surveillance activities and checks of non-road mobile machinery entering the market in accordance with Chapters IV, V and VII of Regulation (EU) 2019/1020.
Manufacturers are obliged to ensure that only compliant non-road machinery is placed on the market.
It also lists the technical requirements for the road safety of non-road mobile machinery. The Commission is empowered to adopt delegated acts to specify the detailed technical requirements, procedures and tests.
Lastly, it includes a general provision, requiring that non-road mobile machinery is made available, put into service or registered only if it is in conformity.
These chapters include provisions on the EU type-approval procedure and related issues such as the EU type-approval certificate, the certificate of conformity and marking.
More specifically, there are provisions on: (i) the application and information folder that must be submitted; (ii) how and when the approval authority must grant type approval; (iii) the EU type-approval certificate and its amendment when it is necessary; (iv) the procedures for demonstrating conformity with the technical requirements; (v) the validity of EU type approvals; and (vi) the obligation to deliver a certificate of conformity and affix the statutory plate with the marking.
This chapter contains provisions on EU market surveillance, checks of non-road machinery entering the EU market, and EU safeguard procedures. It integrates provisions from Decision No 768/2008/EC and has cross references to the recent Market Surveillance Regulation (Regulation (EU) 2019/1020).
Under this chapter, the manufacturer is obliged to provide technical information that does not diverge from the particulars approved by the approval authority.
This chapter lays down the requirements relating to technical services and the procedures for designating such services.
This chapter includes details on the exercise of the Commission’s powers to adopt implementing and delegated acts pursuant to the proposal.
This chapter establishes a forum, amends Regulation (EU) 2019/1020, provides for penalties, and reporting and specifies the dates of entry into force and application.
In this chapter, there is a transitional provision allowing Member States, for a period of 8 years from the date of applicability of the Regulation, to apply any national regulations legislation on national type-approval of non-road mobile machinery for circulating on public roads. In the case where non-road machinery complies with that national legislation will not benefit from the free movement.