The Road Vehicles (Approval) Regulations 2009

PART 3EC TYPE APPROVAL GRANTED BY THE SECRETARY OF STATE

EC type approvals

Applications for grant of EC type approval

12.—(1) A manufacturer requiring EC type approval in respect of—

(a)a relevant vehicle, or

(b)a system, component or separate technical unit for a relevant vehicle,

must apply to the approval authority.

(2) A manufacturer may not apply under paragraph (1) if an application has been made (whether by that manufacturer or another) in respect of that type of vehicle, system, component or separate technical unit for EC type approval, either under these Regulations or in another Member State, and the application has not been withdrawn.

(3) An application under paragraph (1) must be—

(a)in writing, and

(b)accompanied by the documentation required by Article 6 or, as the case may be, Article 7 of the Framework Directive (EC type approval procedures).

(4) A manufacturer applying under paragraph (1)—

(a)for an EC vehicle type approval must comply with any requirement made in pursuance of Article 6 of the Framework Directive, or

(b)for an EC system, component or separate technical unit type approval, must comply with any requirement made in pursuance of Article 7 of the Framework Directive.

(5) Paragraphs (3) and (4) are subject to regulation 20 (EC type approval of small series) in a case where that regulation applies.

Grant of EC type approval: obligations of approval authority

13.—(1) The approval authority must—

(a)make the decision whether to grant or refuse an EC type approval in accordance with Articles 8 to 11 of the Framework Directive (conduct of EC type approval procedures) and the requirements contained in any relevant regulatory acts (but subject to paragraph (2)), and

(b)not grant an EC type approval without first being satisfied that adequate arrangements have been made to ensure that production vehicles, systems, components or separate technical units conform to the approved type.

(2) The approval authority—

(a)may grant an EC type approval in respect of a system, component or separate technical unit which incorporates technologies or concepts which are incompatible with any regulatory act; but

(b)if the authority intends doing so, must comply with the requirements of Article 20 of the Framework Directive (exemption for new technologies or concepts).

(3) Where the approval authority decides to grant an EC type approval the authority must issue an EC type approval certificate in the form and manner specified in the Framework Directive, or (as the case may be) a relevant regulatory act, and without unjustified delay.

(4) The approval authority may grant an EC system, component or separate technical unit type approval subject to restrictions on the use, or conditions for the fitment, of the system, component or separate technical unit of the type to which the approval relates.

(5) The approval authority may refuse to grant an EC vehicle type approval if the authority is not satisfied that the applicant has made adequate arrangements to comply with the obligations imposed on an applicant by regulations 14 to 17 and 18(2), (3) and (4).

(6) The approval authority may refuse to grant an EC system, component or separate technical unit type approval if the authority is not satisfied that the applicant has made adequate arrangements to comply with the obligations imposed on an applicant by regulations 14 to 17 and 18(2), (3), (6) and (7).

(7) Where the approval authority decides to—

(a)not to grant an EC type approval, or

(b)to grant an EC type approval subject to restrictions or conditions of any kind,

notice of the decision must be given to the applicant unless paragraph (8) applies.

(8) This paragraph applies where the applicant has, before the approval authority makes the decision, agreed to accept the grant of type approval subject to the restrictions or conditions which are attached to the approval.

(9) Following the grant of an EC type approval the approval authority must comply with the requirements of Articles 8(5) to (8) (information for other member States) and 12(1) and (2) (verification of arrangements for conformity of production) of the Framework Directive.

Amendments to EC type approvals

14.—(1) The holder of an EC type approval certificate granted by the approval authority must notify the approval authority forthwith of any change in the particulars recorded in the information package relating to that approval.

(2) Following receipt of a notification under paragraph (1) and consultation with the certificate holder, the approval authority must determine whether an amendment is required to the type approval certificate and notify the certificate holder accordingly.

(3) An application for the approval to be amended must be—

(a)made in writing to the approval authority, and

(b)accompanied by such documents as the approval authority requests.

(4) Regulation 13 applies in respect of an application under this regulation as it applies in respect of an application for the first grant of an EC type approval under regulation 12.

(5) The approval authority must comply with the requirements imposed on the authority in Articles 14 to 16 (amendments to EC type approvals) of the Framework Directive and the holder of the EC type approval certificate must co-operate with the approval authority where co-operation is necessary to facilitate such compliance.

EC certificates of conformity and approval marks

15.—(1) The holder of an EC type approval granted by the approval authority must comply with the requirements of the following articles of the Framework Directive—

(a)in the case of a holder of an EC vehicle type approval Article 18 (certificates of conformity), and

(b)in the case of a holder of an EC system, component or separate technical unit type approval, Article 19 (EC type approval marks).

(2) The holder of an EC vehicle type approval granted by the approval authority must keep a record, in relation to each EC certificate of conformity issued by that holder, of—

(a)the serial number of the certificate,

(b)the vehicle identification (VIN) number of the vehicle in respect of which the certificate is issued, and

(c)the Community reference numbers of all regulatory acts with which the vehicle conforms,

and must retain all such records for 10 years commencing on the date of issue or for such lesser period as the approval authority may from time to time agree.

Tests and associated checks

16.  Where the holder of an EC type approval granted by the approval authority has given an undertaking to the approval authority as to the carrying out at specified intervals of tests or associated checks to verify conformity of production, the holder must, unless otherwise agreed by the approval authority—

(a)comply with the undertaking, and

(b)keep a record of the results obtained from such tests and associated checks and retain the records for 10 years commencing on the date of the test or check in question or for such lesser period as the approval authority may from time to time agree.

Duty to co-operate with approval authority

17.  The holder of an EC type approval granted by the approval authority must permit the approval authority to carry out the obligations of the United Kingdom under Article 12(1) and (2) of the Framework Directive in relation to the approval and must co-operate with any person acting on behalf of the approval authority in connection with those obligations.

Information for users and other manufacturers

18.—(1) A manufacturer must not supply to any person any technical information in respect of an EC type approval which relates to the particulars provided for in the Framework Directive or in any relevant regulatory act and which diverges from the particulars approved by the approval authority in giving that approval.

(2) Where a regulatory act so requires, a manufacturer must make available to users of vehicles, systems, components or separate technical units (as the case may be) all information relevant to the needs of users and necessary instructions describing any special conditions or restrictions attaching to the use of a vehicle, system, component or a separate technical unit.

(3) That information—

(a)must be made available in as many of the official languages of the Community as is necessary to achieve the purpose of the regulatory act, and

(b)must be provided in the owner’s manual, the maintenance book or another supporting document agreed with the approval authority.

(4) A vehicle manufacturer must (subject to paragraph (5)) make available to a manufacturer of any system, components or separate technical unit all those particulars (including any drawings specifically listed in an annex or appendix to a regulatory act) that are necessary for obtaining—

(a)an EC type approval of a component or separate technical unit, or

(b)an authorisation—

(i)granted by the approval authority under regulation 22, or

(ii)granted pursuant to Article 31 of the Framework Directive (sale of equipment capable of posing a significant risk to functioning of systems) by the authority in a member State other than the United Kingdom corresponding to the approval authority.

(5) A vehicle manufacturer may impose a binding agreement on a manufacturer of a system, component or separate technical unit to protect the confidentiality of any information that is not in the public domain, including what is related to intellectual property rights.

(6) The holder of an EC system, component or separate technical unit type approval which—

(a)has been granted by the approval authority, and

(b)is subject to restrictions on the use of the system, component or unit or any special conditions of fitment (or both together) under regulation 13(4),

must not supply that system, component or separate technical unit to a vehicle manufacturer unless it is accompanied by a document setting out those restrictions or conditions.

(7) Where a regulatory act so provides, the manufacturer of a component or separate technical unit must provide, with that component or separate technical unit, instructions regarding any restriction on its use or special conditions of fitment (or both together).

(8) Breach of an obligation imposed by paragraph (1), (2), (3), (4), (6) or (7) is actionable to the extent that damage is caused to any person.

Withdrawal or suspension of EC type approval

19.—(1) In this regulation a reference to a failure to conform to an approved type is to be construed in accordance with Article 30(2) of the Framework Directive.

(2) The approval authority may withdraw or suspend an EC vehicle type approval by notice to the holder of that approval where, following examination of vehicles associated with a single EC vehicle type approval granted by the authority, the authority is satisfied that two or more of those vehicles—

(a)are accompanied by certificates of conformity issued in respect of that approval, and

(b)fail to conform to the approved type.

(3) The approval authority may withdraw or suspend an EC system, component or separate technical unit type approval by notice to the holder of that approval where, following examination of systems, components or separate technical units associated with a single EC system, component or separate technical unit type approval granted by the authority, the authority is satisfied that two or more of those systems, components or separate technical units—

(a)bear an EC type approval mark issued in respect of that approval or, not being required by the relevant regulatory acts to bear a type approval mark, have been supplied for use in a vehicle on a road, and

(b)fail to conform to the approved type.

(4) If, as a result of the approval authority carrying out (with or without the co-operation of another member State) the obligations of the United Kingdom under Article 12(2) of the Framework Directive in respect of an EC type approval which the approval authority has issued, the authority is satisfied that—

(a)the arrangements made by the holder of the approval for ensuring that production vehicles, systems, components or separate technical units conform to the approved type no longer continue to be adequate, or

(b)the holder has otherwise failed to comply with a requirement imposed on the holder of an approval by or under regulations 12 and 14 to 17,

the approval authority may suspend the EC type approval by notice given to the holder.

(5) If the approval authority is considering withdrawing or suspending an EC type approval the authority must give the holder of the approval notice of that.

(6) Where the approval authority gives notice to the holder under paragraph (5)—

(a)the holder may, within the period of 28 days beginning with the day on which the notice is given, make representations concerning the proposed withdrawal or suspension,

(b)the approval authority must not make a decision on the withdrawal or suspension of the approval until that period has expired, and

(c)before deciding whether or not to withdraw or suspend the approval, the approval authority must take into account any representations made by the holder during that period.

(7) If the holder of an EC type approval which has been withdrawn or suspended under this regulation purports by virtue of that approval to—

(a)issue an EC certificate of conformity with respect to a vehicle, or

(b)affix an EC type approval mark to a system, component or separate technical unit,

the certificate or mark is invalid but a suspension does not affect the validity of any certificate of conformity issued before the approval was suspended.

(8) A suspension remains in force until it is revoked by the approval authority.

(9) The approval authority may, by notice under paragraph (5) or by subsequent notice given to the holder, exempt from paragraph (7) EC certificates of conformity or classes of EC certificates of conformity specified in the notice.

(10) If, following a request by the holder, the approval authority refuses to exercise powers under paragraphs (8) or (9) in respect of an EC type approval which has been suspended under this regulation, the authority must give notice of that decision to the holder.

(11) The approval authority must—

(a)inform other member States of measures the authority has taken under this regulation;

(b)comply with the obligations imposed on a member State (or the approval authority of that State) by paragraphs 1, 3, 4 and 5 of Article 30 of the Framework Directive (vehicles, etc, not in conformity with the approved type).

(12) For the purposes of this regulation—

(a)a vehicle is associated with an EC vehicle type approval if an EC certificate of conformity relating to that type approval has been issued in respect of that vehicle, and

(b)a system, component or separate technical unit is associated with an EC system, component or separate technical unit type approval if it bears an EC type approval mark which relates to that type approval.

EC type approval of small series

20.—(1) This regulation applies where a manufacturer of a relevant vehicle of a class in category M₁ other than a special purpose vehicle makes an application under regulation 12 requesting an EC type approval (small series).

(2) If the approval authority does not make the decision whether to grant or refuse EC type approval wholly in accordance with Articles 8 to 11 of the Framework Directive and the requirements contained in any relevant regulatory acts, the authority must not grant that approval without being satisfied that—

(a)the requirements of Article 22(1) (EC type approval of small series) of the Framework Directive have been met, and

(b)the requirements of Article 18(6) of that Directive (form of certificate of conformity) will be met.

(3) Upon granting that approval, the approval authority must issue to the manufacturer an EC type approval certificate which complies with Article 22(3) of the Framework Directive.

(4) The holder of an EC type approval (small series) must, during each year of production, issue certificates of conformity which comply with Article 18(6) of the Framework Directive.

(5) In this regulation “year” means the period from 1st January to 31st December.

Unsafe or harmful vehicles and vehicle parts

Powers of the approval authority where a vehicle is a serious risk to road safety, etc

21.—(1) Where the approval authority considers that vehicles with respect to which an EC type approval has effect are a serious risk to road safety or seriously harm the environment or public health, the authority may direct that for a specified period not exceeding six months all EC certificates of conformity issued under that EC type approval (whether before or after the giving of the direction) shall be invalid for the purposes of Part 2 of these Regulations.

(2) A direction under this regulation may be revoked by the approval authority.

(3) The approval authority must give notice of a direction under this regulation to the holder of the EC type approval.

(4) If, following a request by the holder, the approval authority refuses to exercise the powers under paragraph (2) in relation to a direction given under this regulation, the authority must give notice of that decision to the holder.

Parts and equipment which may pose a significant risk to the correct functioning of essential systems

22.—(1) A manufacturer of a part or equipment included in the list established under Article 31 of, and Annex XIII to, the Framework Directive (parts and equipment capable of posing a significant risk to the correct functioning of essential systems) must not permit that part or equipment to be sold or enter into service unless first authorised to do so by—

(a)the approval authority in accordance with this regulation, or

(b)the authority in a member State other than the United Kingdom corresponding to the approval authority.

(2) The manufacturer must send to the approval authority an application for approval and a test report drafted by a designated technical service which comply with Article 31(5) of the Framework Directive.

(3) The approval authority must issue a certificate of authorisation to the manufacturer as soon as reasonably possible authorising the sale or entry into service of those parts or equipment if the authority is satisfied that—

(a)the parts or equipment referred to in the application comply with the requirements established under Article 31(4) of the Framework Directive, and

(b)the manufacturer has in place suitable arrangements for ensuring effective control of the conformity of production of those parts or equipment.

(4) A manufacturer who holds a certificate of authorisation must—

(a)ensure that the part or equipment is produced under the conditions under which the certificate is issued,

(b)inform the approval authority without delay of any change in those conditions, and

(c)ensure that each part or piece of equipment which is sold or enters into service is marked in accordance with Article 31(6) of the Framework Directive.

(5) If the approval authority believes that a part or equipment no longer complies with the conditions under which the certificate of authorisation was issued the authority may—

(a)withdraw the certificate of authorisation, or

(b)require the manufacturer to bring the part or equipment back into conformity with those conditions.

(6) If required to do so by the approval authority under paragraph (5)(b), the manufacturer must take any necessary measures to ensure that the part or equipment in question is brought back into conformity with the conditions under which the certificate of authorisation was issued.

Recall of vehicles

23.—(1) A manufacturer must inform the approval authority immediately if Article 32(1) of the Framework Directive (recall of vehicles in application of a regulatory act or of Council Directive 2001/95/EC(1)) applies to that manufacturer.

(2) Where paragraph (1) applies, the manufacturer must propose to the approval authority a set of appropriate remedies in accordance with Article 32(2) of the Framework Directive.

(3) The approval authority may withdraw an EC vehicle type approval if, following an investigation, the authority is not satisfied that the manufacturer has proposed effective remedies or, having proposed them, is not implementing them effectively.

(4) Where the approval authority is considering withdrawal of the EC vehicle type approval under paragraph (4) of this regulation, paragraphs (5) and (6) of regulation 19 apply as if the approval authority were considering withdrawal of the approval under that regulation.

(5) This regulation also applies to vehicle parts that are not subject to any requirement under a regulatory act.