7

1

The requirements of regulation 3B shall not apply to replacement CI engines which comply with either—

a

regulation 7A; or

b

paragraph 7A.

2

An application may be made under regulation 8 for a type approval certificate for an engine type or engine family in any case where a type approval certificate issued under these Regulations is required for the purposes of regulation 7A or paragraph 7A.

7A

1

This paragraph applies to a replacement CI engine that—

a

meets the Stage IIIA limit values, where it is to replace an engine for a railcar or locomotive that—

i

does not meet the Stage IIIA standard; or

ii

meets the Stage IIIA standard but does not meet the Stage IIIB standard; or

b

meets the limit values no lower than the limit values met by engines fitted to existing railcars of the same type, where—

i

it is to replace an engine for a railcar without driving control and not capable of independent movement; and

ii

it does not meet the Stage IIIA standard; and

c

is type approved and conforms to the requirements of that type approval.

2

For the purposes of sub-paragraph (1), “standard” means the conditions for type approval to be granted for an engine of Stage IIIA or Stage IIIB (as the case may be) as specified in regulation 9 (approval of engines).

3

A replacement CI engine to which this paragraph applies may be placed on the market where—

a

the approval authority has granted an authorisation in accordance with sub-paragraph (4); and

b

the replacement engine has affixed to it a label bearing the text “REPLACEMENT ENGINE” together with a unique reference provided by or agreed with the approval authority identifying the engine as having been authorised to be placed on the market under the exemption provided by this paragraph.

4

The approval authority may grant an authorisation to place on the market in accordance with sub-paragraph (3) where the authority is satisfied that—

a

sub-paragraph (1) applies to the engine; and

b

the use of a replacement engine that meets the requirements of the latest applicable emissions stage in the railcar or locomotive in question will involve significant technical difficulties.

9

1

A flexibility scheme is a scheme for the placing on the market of—

a

eligible CI engines with a view to their use in a particular type of non-road mobile machinery as provided for in paragraphs 10 to 12 and 12D; or

b

eligible locomotive engines with a view to their use in the propulsion of locomotives as provided for in paragraphs 12A to 12D.

2

In this Part of this Schedule—

a

“eligible CI engine” means a CI engine falling within any of categories—

i

K to R in Table 1 of Schedule 8; and

ii

H to K in Table 2 of Schedule 8;

b

“eligible locomotive engine” means a CI engine falling within category RB in Table 4 of Schedule 8.

Eligible CI engines

10

1

An eligible CI engine may be placed on the market under a flexibility scheme, where approval has been given under paragraph 11(5)(a) and, notwithstanding that regulation 3B(2)(d) is not satisfied, the requirements of sub-paragraph (2) are complied with.

2

The requirements are that the eligible CI engine must—

a

be placed on the market by the OEM’s engine manufacturers;

b

not exceed, as to the number to be placed on the market, the maximum number determined in accordance with paragraph 12;

c

be intended for the exclusive use of the OEM;

d

meet the emissions standard that applied prior to the period during which it will be placed on the market; and

e

have affixed to it the labels provided for in paragraphs 12D and 13(1)(a).

11

1

An OEM may apply to the approval authority for approval under a flexibility scheme for eligible CI engines referred to in paragraph 9(1)(a).

2

An application under sub-paragraph (1) must provide information to show that the engine complies or will comply with the requirements in paragraph 10(2), including—

a

specifying the date or period intended for placing on the market in relation to paragraph 12(4)(a) or (b);

b

specifying which maximum number is to apply in—

i

paragraph 12(2)(a) or (b); or

ii

paragraph 12(3)(a) or (b).

3

An application under sub-paragraph (1) must include a sample of the labels referred to in paragraphs 12D and 13(1)(a).

4

The applicant shall supply such other information as the approval authority may request in order to enable it to determine whether or not to approve the application.

5

The approval authority—

a

may grant approval where satisfied that the requirements of paragraph 10(2) are or will be complied with; and

b

must notify the OEM of its decision whether or not to approve the application.

12

1

The number of eligible CI engines falling within each category that may be placed on the market under a flexibility scheme must not exceed the maximum number determined in accordance with this paragraph.

2

Where the engine is to be placed on the market on or after a date specified in sub-paragraph (4)(a) as applicable to the category of engine, the maximum number is—

a

20% of the relevant average of annual sales of the non-road mobile machinery in which engines falling within the category are installed; or

b

the number specified in column 2 of Table 1 applicable to the corresponding power output in column 1.

Table 1

Column 1 Power output (P) of engine category	Column 2 Maximum number of engines
19 kW ≤ P < 37 kW	200
37 kW ≤ P < 75 kW	150
75 kW ≤ P < 130 kW	100
130 kW ≤ P ≤ 560 kW	50

3

Where the engine comes within a category in sub-paragraph (4)(b) and is to be placed on the market during a period specified in that sub-paragraph as applicable to the relevant category, the maximum number is—

a

37.5% of the relevant average of annual sales of the non-road mobile machinery in which engines falling within the category are installed; or

b

the number specified in column 2 of Table 2 applicable to the corresponding power output in column 1.

Table 2

Column 1 Power output (P) of engine category	Column 2 Maximum number of engines
37 kW ≤ P < 56 kW	200
56 kW ≤ P < 75 kW	175
75 kW ≤ P < 130 kW	250
130 kW ≤ P ≤ 560 kW	125

4

The dates or periods specified are—

a

for sub-paragraph (2), in relation to engines in category—

i

K in Table 1 of Schedule 8, or H, I, J or K in Table 2 of Schedule 8, on or after 31st July 2013;

ii

P in Table 1 of Schedule 8, on or after 1st January 2016;

iii

Q in Table 1 of Schedule 8, on or after 1st January 2014;

iv

R in Table 1 of Schedule 8, on or after 1st October 2014;

b

for sub-paragraph (3), in relation to engines in category L, M, N or P in Table 1 of Schedule 8, a period within Stage IIIB beginning on 31st July 2013 and ending on—

i

for category L, 31st December 2013;

ii

for category M or N, 30th September 2014;

iii

for category P, 31st December 2015.

5

The relevant average is to be calculated—

a

as the arithmetic mean of the OEM’s annual sales on the European Economic Area market over the preceding 5 years; or

b

if equipment of the OEM has been marketed in the European Economic Area for a period of less than 5 years, on the basis of the period for which the OEM has marketed equipment in the European Economic Area.

Eligible locomotive engines

12A

1

An eligible locomotive engine may be placed on the market, where approval has been given under paragraph 12B(4)(a) and, notwithstanding that regulation 3B(2)(d) is not satisfied, the requirements of sub-paragraph (2) are complied with.

2

The requirements are that an eligible locomotive engine must—

a

be placed on the market by the OEM’s engine manufacturers during the period beginning on 31st July 2013 and ending on 31st December 2014;

b

not exceed, as to the number to be placed on the market, the maximum number determined in accordance with paragraph 12C;

c

be intended for the exclusive use of the OEM;

d

meet the emissions standard that applied prior to the period during which it will be placed on the market; and

e

have affixed to it the labels provided for in paragraphs 12D and 13(1)(a).

12B

1

An OEM of the locomotives into which an eligible locomotive engine is, or is to be, installed may apply to the approval authority for approval under a flexibility scheme for eligible locomotive engines referred to in paragraph 9(1)(b) for placing on the market in accordance with paragraph 12A(2).

2

An application under sub-paragraph (1) must provide information to show that the engine meets the requirements in paragraph 12A(2) including—

a

specifying the maximum number which is to apply for the purposes of paragraph 12C, namely the number in—

i

paragraph 12C(a) or (b); or

ii

paragraph 12C(a) and (b);

b

where the maximum number in paragraph 12C(b) applies, providing information to show that the requirements of paragraph 12C(b) are or will be complied with;

c

providing a sample of the labels referred to in paragraphs 12D and 13(1)(a); and

d

providing an explanation of the technical grounds for not being able to comply with the Stage IIIB limit values.

3

The applicant shall supply such other information as the approval authority may request in order to enable it to determine whether or not to approve the application.

4

The approval authority—

a

may grant approval where satisfied that—

i

the requirements of paragraph 12A(2) are or will be complied with; and

ii

there are technical grounds for not being able to comply with the Stage IIIB limit values; and

b

must notify the OEM of its decision whether or not to approve the application.

12C

For the purposes of paragraph 12A(2)(b) the maximum number is—

a

16 engines; and

b

10 additional engines where such engines—

i

have a rated power greater than 1800kW; and

ii

are to be installed in locomotives that are designed exclusively for use on the United Kingdom network, such that they have, or are able to be issued with, a safety certificate for operation on the United Kingdom network.

General provisions applying to both eligible CI engines and eligible locomotive engines

12D

In relation to an eligible CI engine or an eligible locomotive engine placed on the market under a flexibility scheme, the text “ENGINE PLACED ON MARKET UNDER THE FLEXIBILITY SCHEME” must appear on a label attached to the engine.