The Road Vehicles (Approval) Regulations 2009

PART 1 PRELIMINARY

Citation, commencement and extent

1.—(1) These Regulations may be cited as the Road Vehicles (Approval) Regulations 2009 and come into force on 29th April 2009.

(2) These Regulations extend to Northern Ireland.

Revocation

2.  The instruments listed in Schedule 1 are revoked.

Interpretation: general

3.—(1) In these Regulations—

“1981 Order” means the Road Traffic (Northern Ireland) Order 1981(1);

“1988 Act” means the Road Traffic Act 1988(2);

“1994 Act” means the Vehicle Excise and Registration Act 1994(3);

“1998 Regulations” means the Motor Vehicles (EC Type Approval) Regulations 1998(4);

“approval authority” means the Secretary of State;

“EC certificate of conformity”, except where otherwise provided, has the same meaning as “certificate of conformity” in Article 3(36) of the Framework Directive;

“EC type approval”, except where otherwise provided, means—

(a)

type approval for a vehicle pursuant to Article 9 or 22 of the Framework Directive, including any amendments to that approval (“EC vehicle type approval”), or

(b)

type approval for a system, component or separate technical unit pursuant to Article 10 of the Framework Directive, including any amendments to that approval (“EC system, component or separate technical unit type approval”);

“EC type approval (small series)” means EC vehicle type approval pursuant to Article 22 of the Framework Directive (vehicles to be registered, sold or put into service in any year within the quantitative limits set out in Section 1 of Part A of Annex XII);

“final supplier”, in relation to a trailer, means the person who carries on a business of supplying trailers to end-users;

“Framework Directive” means 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 systems, components and separate technical units intended for such vehicles(5);

“holder”, in relation to an EC or national small series type approval, includes a manufacturer;

“individual approval” means the process of certification that a particular vehicle, whether unique or not, satisfies the relevant administrative and technical requirements prescribed by these Regulations (and “individual approval certificate” means a certificate issued under regulation 27(10));

“manufacturer” has the meaning given by Article 3(27) of the Framework Directive, as read with Article 5, and includes a manufacturer’s representative;

“national small series type approval” means type approval for vehicles to be registered, sold or put into service in any year within the quantitative limits specified in Section 2 of Part A of Annex XII to the Framework Directive (and “national small series type approval certificate” means a certificate issued under regulation 25(3));

“national small series certificate of conformity” means a certificate issued under regulation 25(10);

“prescribed fee” means a fee prescribed under the Motor Vehicles (Type Approval and Approval Marks) (Fees) Regulations 1999(6) or the Road Vehicles (Individual Approval) (Fees) Regulations 2009(7);

“regulatory act” means (subject to paragraph (3))—

(a)

any Community instrument listed in a table in Part I of Annex IV or in Annex XI to the Framework Directive, and

(b)

any UNECE Regulation listed in the table in Part II of Annex IV to the Framework Directive;

“road” has the meaning given—

(a)

as respects Great Britain, in section 192(1) of the 1988 Act(8), and

(b)

as respects Northern Ireland, in article 2(2) of the 1981 Order;

“supply”, in relation to a system, component or separate technical unit or to a trailer, includes—

(a)

sale,

(b)

offer to sell or to supply, and

(c)

exposure for sale;

“type approval” means the process of certification that a type of vehicle, system, component or separate technical unit satisfies the relevant administrative and technical requirements imposed by, or pursuant to, the Framework Directive.

(2) The following expressions have the same meanings respectively as in Article 3 of the Framework Directive—

“component”,

“EC type approval certificate”,

“separate technical unit”, and

“system”.

(3) Any reference in these Regulations (however expressed) to a requirement contained in a regulatory act is to be construed as provided in Schedule 2.

Interpretation of expressions relating to vehicles

4.—(1) In these Regulations, the following expressions relating to vehicles have the following meanings—

“ambulance” has the same meaning as in paragraph 5.3 of Part A of Annex II to the Framework Directive;

“armoured vehicle” has the same meaning as in paragraph 5.2 of Part A of Annex II to the Framework Directive;

“complete vehicle”, “completed vehicle” and “incomplete vehicle” have the same meanings respectively as in Article 3 of the Framework Directive;

“converter dolly” means a trailer which is—

(a)

equipped with two or more wheels,

(b)

designed to be used in combination with a semi-trailer without any part of the weight of the semi-trailer being borne by the drawing vehicle, and

(c)

not in itself part of the semi-trailer or the drawing vehicle when being so used;

“hearse” has the same meaning as in paragraph 5.4 of Part A of Annex II to the Framework Directive;

“large trailer” means a trailer constructed or adapted for the carriage of goods and which is—

(a)

a semi-trailer of any weight, or

(b)

a trailer other than a semi trailer or converter dolly the unladen weight of which exceeds 1020 kilogrammes,

and which is not a vehicle of a description listed in Schedule 2 to the Goods Vehicles (Plating and Testing) Regulations 1988(9) or Schedule 2 to the Goods Vehicle (Testing) Regulations (Northern Ireland) 2003(10);

“mobile machinery” means any self-propelled vehicle which is designed and constructed specifically to perform work, which, because of its construction characteristics, is not suitable for carrying passengers or for transporting goods (but does not include machinery mounted on a motor vehicle chassis);

“motor caravan” has the same meaning as in paragraph 5.1 of Part A of Annex II to the Framework Directive;

“motor vehicle” means any power-driven vehicle designed and constructed for use on a road which—

(a)

is moved by its own means,

(b)

has at least four wheels,

(c)

has a maximum design speed exceeding 25 kilometres per hour, and

(d)

is an incomplete, complete or completed vehicle;

“other special purpose vehicle” means a special purpose vehicle other than a vehicle of a kind defined in paragraph 5 of Part A of Annex II to the Framework Directive;

“relevant vehicle” means—

(a)

a vehicle to which these Regulations apply, or

(b)

where a part only of these Regulations applies, a vehicle to which that part applies;

“semi-trailer” means a trailer which is constructed or adapted to form part of an articulated vehicle;

“special purpose vehicle” means a vehicle intended to perform a function which requires special body arrangements or equipment or both such arrangements or equipment (and includes a wheelchair accessible vehicle);

“small trailer” means a trailer which is not a large trailer;

“trailer” means a non-self-propelled vehicle on wheels which is designed and constructed to be towed by a motor vehicle; and

“vehicle” means a motor vehicle or a trailer;

“wheelchair accessible vehicle” has the meaning given in paragraph 5.5 of Part A of Annex II to the Framework Directive.

(2) In these Regulations expressions relating to vehicle categories are to be construed in accordance with Annex II to the Framework Directive.

Scope of the Regulations

5.—(1) These Regulations apply to—

(a) vehicles designed and constructed in one or more stages for use on a road,

(b) systems, components and separate technical units designed and constructed for those vehicles, and

(c) parts and equipment intended for those vehicles,

but subject to paragraphs (2) to (7).

(2) These Regulations do not apply to—

(a) agricultural or forestry tractors, as defined in Directive 2003/37/EC of the European Parliament and Council(11) and trailers and interchangeable towed machinery designed and constructed specifically to be towed by them (including their systems, components and separate technical units);

(b) quadricycles as defined in Directive 2002/24/EC of the European Parliament and Council(12);

(c) tracked vehicles;

(d) old vehicles (including systems, components and separate technical units designed and manufactured specifically for them).

(3) Where paragraph (4) applies, all regulations except regulations 6 to 11 apply to the following vehicles to the extent that they fall within the requirements of the Framework Directive and not within those of the Machinery Directive—

(a) vehicles designed and constructed for use principally on construction sites or in quarries, port or airport facilities;

(b) vehicles designed and constructed for use by the armed services, a fire and rescue authority, a person or body responsible for civil defence or the forces responsible for maintaining public order; and

(c) mobile machinery.

(4) This paragraph applies where—

(a) a person voluntarily makes an application under regulation 12, 24 or 27 in respect of an individual vehicle or type of vehicle described in paragraph (3), and

(b) in the case of an application under regulation 27, at the date of that application—

(i) the vehicle has not been registered under the 1994 Act, or

(ii) if the vehicle is not so registrable, no EC certificate of conformity or national small series certificate of conformity has effect with respect to the vehicle for the purposes of Part 2 and it has not been put into service on the road.

(5) Where paragraph (6) applies, these Regulations apply—

(a) with the exception of regulations 7 to 26, 28(1) and (3) and 29 to 32, to vehicles intended exclusively for racing on roads;

(b) with the exception of regulations 6 to 25 and 29 to 31, to prototypes of vehicles which have been specially designed and constructed for use on the road under the responsibility of a manufacturer for the purpose of performing a specific test programme.

(6) This paragraph applies where—

(a) a person voluntarily makes an application under regulation 27 in respect of a vehicle described in paragraph (5), and

(b) at the date of that application—

(i) the vehicle has not been registered under the 1994 Act, or

(ii) if the vehicle is not so registrable, no EC certificate of conformity or national small series certificate of conformity has effect with respect to the vehicle for the purposes of Part 2 and it has not been put into service on a road.

(7) Part 1 of Schedule 3 has effect for determining the date on which, and the circumstances in which, these Regulations have effect (or a specified part of them has effect) with respect to different categories of vehicle.

(8) In this regulation—

“armed services” means the naval, military or air forces of the Crown and includes the reserve forces;

“civil defence” means plans and arrangements for civil protection made under Part 1 of the Civil Contingencies Act 2004(13);

“fire and rescue authority”—

(a)

has the same meaning—

(i)

in England and Wales, as in section 1 of the Fire and Rescue Services Act 2004(14);

(ii)

in Scotland, as in section 1(1) of the Fire (Scotland) Act 2005(15); and

(b)

in Northern Ireland means the Northern Ireland Fire and Rescue Service Board established by the Fire and Rescue Services (Northern Ireland) Order 2006(16);

“Machinery Directive” means Directive 2006/42/EC of the European Parliament and of the Council of 17th May 2006 on machinery(17);

“old vehicle” means—

(a)

a vehicle of a class in category M₁ or N₁ the manufacture of which is completed more than 10 years before the date on which an application described in regulation 6(1) or (2) is made, and

(b)

a vehicle of a class in category N₂ or N₃ the manufacture of which is completed more than 25 years before the date on which an application described in regulation 6(1) or (2) is made.

PART 2 CONDITIONS FOR LICENSING OR ENTRY INTO SERVICE OF VEHICLES

Conditions relating to motor vehicles

Grant of first licence or registration of motor vehicles

6.—(1) Where a person makes an application under section 21 of the 1994 Act for—

(a) the issue of a first vehicle licence for a motor vehicle which is a relevant vehicle, or

(b) the issue of a first nil licence for a motor vehicle which is a relevant vehicle,

the licence must not be granted unless a relevant condition is satisfied or the temporary exemption applies.

(2) Where a person makes an application under section 21 of the 1994 Act for the registration, before the issue of a first licence, of a motor vehicle which is a relevant vehicle the vehicle must not be registered unless a relevant condition is satisfied, or the temporary exemption applies.

(3) A “relevant condition” is—

(a) one of the principal conditions, or

(b) where the alternative conditions may be satisfied, any of those conditions.

(4) The principal conditions are that—

(a) an appropriate EC certificate of conformity has effect with respect to the vehicle;

(b) an appropriate national small series certificate of conformity has effect with respect to the vehicle;

(c) an appropriate individual approval certificate has effect with respect to the vehicle.

(5) Part 2 of Schedule 3—

(a) specifies when the alternative conditions may be satisfied,

(b) prescribes those conditions, and

(c) specifies where the temporary exemption applies.

(6) Subject to paragraph (7), for the purposes of this Part a certificate of conformity of any kind has effect if—

(a) it is issued in respect of—

(i) a type approval which, at the appropriate date, is valid for the vehicle in question, or

(ii) an end-of-series vehicle, and

(b) it is not issued in contravention of Article 18(6) of the Framework Directive or regulation 25(10) (limitation on putting into service of vehicles covered by small series type approvals).

(7) An EC certificate of conformity also has effect for the purposes of this Part if—

(a) the vehicle to which it relates was first put into service in a member State other than the United Kingdom,

(b) it was issued in respect of an EC type approval which was valid on the date on which the vehicle was first put into service, and

(c) it shows that the vehicle was constructed for use in left-hand traffic and that it uses imperial units of measurement for the speedometer.

(8) In this regulation—

“appropriate date” means, as the case may be, the date of—

(a)

the application under section 21 of the 1994 Act for the registration or the issue of a first licence for a vehicle,

(b)

notification under regulation 7(1) or,

(c)

supply of a small trailer for use on a road;

“EC certificate of conformity” includes, as well as any certificate of conformity within the meaning of Article 3(36) of the Framework Directive—

(a)

a certificate of conformity issued in accordance with regulation 5 of the 1998 Regulations, and

(b)

a certificate of conformity issued under the law of a member State other than the United Kingdom in accordance with Council Directive 70/156/EEC of 6th February 1970 on the approximation of the laws of the member states relating to the type approval of motor vehicles and their trailers(18);

“end-of-series vehicle” means a vehicle which is an “end-of-series vehicle” for the purposes of regulation 31 or 32.

Conditions relating to trailers

Consent to supply of large trailers for use on a road

7.—(1) A final supplier who intends to supply for use on a road a large trailer which is a relevant vehicle must first—

(a) notify the approval authority of that intention,

(b) furnish the approval authority with pertinent information about the trailer, and

(c) obtain the consent of the approval authority to the supply of the trailer for such use.

(2) Paragraph (1) does not apply if the trailer has previously been supplied by a final supplier for use on a road.

(3) The approval authority must give consent if—

(a) the principal conditions are satisfied, or

(b) when the alternative conditions apply, those conditions are satisfied.

(4) The principal conditions are that—

(a) an appropriate approval or certificate of conformity has effect with respect to the trailer,

(b) where the application for consent is in consequence of the importation of the trailer from a place outside the United Kingdom, any value added tax or customs duty charged on or arising from its removal into the United Kingdom has been paid or remitted (or the approval authority is satisfied that it will be paid or remitted), and

(c) there is otherwise no lawful reason (whether or not arising from a breach of these Regulations) for refusing to give consent.

(5) Part 3 of Schedule 3—

(a) states when the alternative conditions apply, and

(b) prescribes those conditions.

(6) Before giving consent the approval authority may—

(a) undertake an inspection of the trailer (or arrange for such an inspection to be undertaken), and

(b) carry out such tests on the trailer as the authority thinks fit (or arrange for such tests to be carried out).

(7) Where the Secretary of State refuses to give consent under this regulation, the refusal must be accompanied by notice of that fact.

(8) In this regulation, “appropriate approval or certificate of conformity” means—

(a) an EC certificate of conformity,

(b) a national small series certificate of conformity, or

(c) an individual approval certificate,

which is appropriate to the vehicle.

Records of large trailers

8.  The approval authority must keep a record of—

(a) every consent given under regulation 7(3), and

(b) the pertinent information about the large trailer in respect of which that consent is given,

for a period of not less than 10 years from the date of the consent.

Records of small trailers

9.—(1) A final supplier who—

(a) has supplied for use on a road a small trailer which is a relevant vehicle, or

(b) puts such a trailer into service on a road for personal use (as the end-user),

must, as soon as reasonably possible after making that supply or putting the trailer into service, make a record of pertinent information about the trailer.

(2) Paragraph (1) does not apply if—

(a) the trailer has previously been used on a road, or

(b) it was manufactured more than 10 years before the date when it is first used on a road.

(3) The final supplier must keep, or ensure that there is kept, in a secure manner every record of pertinent information made under paragraph (1) for a period of not less than 10 years from the date on which that supplier supplies the trailer for use, or puts it into service, on a road.

Meaning of “pertinent information”

10.—(1) In this Part, “ pertinent information” means—

(a) the principal information, or

(b) when the alternative conditions apply, the alternative information.

(2) The principal information is—

(a) the name and address and (if any) the company registration number of the manufacturer,

(b) the manufacturer’s designation (make and model) of the trailer,

(c) the month and year when manufacture of the vehicle was completed,

(d) the vehicle identification (VIN) number,

(e) the number of—

(i) the type approval, or

(ii) the individual approval certificate,

(f) in the case of a large trailer, the date of any certificate of conformity issued in respect of the vehicle,

(g) in the case of a small trailer—

(i) , a copy of any certificate of conformity issued in respect of the vehicle,

(ii) the date of supply, and

(iii) the name and address of the purchaser.

(3) For the purposes of this regulation—

(a) “the alternative conditions” are the conditions applied by virtue of Part 3 of Schedule 3, and

(b) the alternative information is specified in Part 3 of Schedule 3.

Offences for breach of conditions

Trailers: offences

11.—(1) A person commits an offence if—

(a) he supplies a recordable trailer,

(b) the trailer is supplied for use on a road, and

(c) none of the conditions specified in paragraph (2) is met.

(2) The specified conditions are that—

(a) an EC certificate of conformity has effect with respect to the trailer;

(b) a national small series certificate of conformity has effect with respect to the trailer;

(c) an individual approval certificate has effect with respect to the trailer.

(3) A person commits an offence if he—

(a) supplies, for use on a road, a recordable trailer which is a large trailer,

(b) uses such a trailer on a road, or

(c) causes or permits such a trailer to be used on a road,

at a time when there is no relevant consent in effect with respect to that trailer.

(4) A person commits an offence if he contravenes paragraph (1) or (3) of regulation 9.

(5) A person guilty of an offence under paragraph (1) is liable on summary conviction—

(a) to a fine not exceeding level 5 on the standard scale if the offence is committed in respect of a large trailer, or

(b) to a fine not exceeding level 4 on the standard scale if the offence is committed in respect of a small trailer.

(6) A person guilty of an offence under paragraph (3) is liable on summary conviction to a fine not exceeding level 4 on the standard scale.

(7) A person guilty of an offence under paragraph (4) is liable on summary conviction to a fine not exceeding level 3 on the standard scale.

(8) It is a defence for a person charged with an offence under paragraph (3)(b) or (c) to show that—

(a) the trailer is an incomplete vehicle, is not carrying goods and is being towed to a place where a further stage of manufacture is to take place;

(b) the trailer is to be exported and is being towed to a place from where it is to be taken out of the United Kingdom;

(c) the trailer is being used solely for the purpose of—

(i) submitting it (by previous arrangement at a specified time) for a statutory inspection or test, or

(ii) bringing it away from any such inspection or test; or

(d) the trailer is operated from a base in a country outside the United Kingdom and either—

(i) the trailer is registered in that country, or

(ii) it is shown that the trailer has its principal base there.

(9) It is a defence for a person charged with an offence under paragraph (1) or (3)(a) to show that, at the time when the trailer was supplied, there was reasonable cause to believe that the trailer would not be used on a road otherwise than in circumstances specified in paragraph (8)(a), (b), or (c).

(10) For the purposes of this regulation, a trailer is a recordable trailer if—

(a) it is a relevant vehicle, and

(b) by virtue of Part 1 of Schedule 3, at the date when it is first supplied by a final supplier for use on a road (or put into service on a road for the final supplier’s own use), regulation 7 or 9 has effect with respect to it.

(11) In this regulation—

“relevant consent” means consent given under regulation 7(3);

“statutory inspection or test” means an inspection or test carried out under or pursuant to—

(a)

the Framework Directive,

(b)

these Regulations,

(c)

the Goods Vehicles (Plating and Testing) Regulations 1988(19), or

(d)

the Goods Vehicles (Testing) Regulations (Northern Ireland) 2003(20).

PART 3 EC 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(21)) 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.

PART 4 NATIONAL SMALL SERIES TYPE APPROVAL AND INDIVIDUAL APPROVAL

National small series type approvals

Applications for national small series type approval

24.—(1) A vehicle manufacturer requiring—

(a) a national small series type approval in respect of a relevant vehicle, or

(b) an amendment to a national small series type approval which the manufacturer holds,

must apply to the approval authority.

(2) An application under paragraph (1) may follow—

(a) the step-by-step type approval procedure,

(b) the single-step type approval procedure, or

(c) the mixed type approval procedure,

and, at the request of the applicant, the approval authority may, if it is thought appropriate, proceed by means of multi-stage type approval.

(3) An application under paragraph (1) must be in a form specified by the approval authority which—

(a) has been completed so as to provide all the information reasonably required by the authority in relation to the class of vehicle in respect of which the application is made, and

(b) is accompanied by—

(i) all the documents mentioned in the form as being required for the purposes of the application, and

(ii) the prescribed fee (if any).

(4) In this regulation, “mixed type approval”, “multi-stage type approval”, single-step type approval” and “step-by-step type approval” have the meanings given in Article 3 of the Framework Directive but as if, in that article, the words “type approval certificates under Article 23” were in each case substituted for “EC type-approval certificates”.

Grant of national small series type approval

25.—(1) The approval authority must—

(a) make the decision whether or not to grant a national small series type approval or an amendment to such an approval in accordance with Article 23 of the Framework Directive (national type approval of small series),

(b) not grant the approval without first being satisfied that adequate arrangements have been made to ensure that production vehicles conform to the approved type, and

(c) give notice of the decision to the applicant manufacturer.

(2) For the purposes of paragraph (1)(a), the alternative requirements required to be laid down under Article 23(1) are the technical or other requirements specified in Schedule 4.

(3) Where the approval authority decides to grant or amend a national small series type approval the authority must issue a type approval certificate which complies with regulation 28(1).

(4) If the holder of a national small series type approval so requests, the approval authority must send, by registered or electronic mail, a copy of the type approval certificate and any attachments relating to it to an authority in a member State other than the United Kingdom corresponding to the approval authority.

(5) Upon receiving a request from a person wishing to sell, register or put into service in a member State other than the United Kingdom a vehicle manufactured in conformity with a national small series type approval, the approval authority must supply—

(a) to that person, or

(b) to the authority in that member State corresponding to the approval authority,

a copy of the type approval certificate and any attachments relating to it.

(6) The approval authority may refuse to grant a national small series type approval if the authority is not satisfied that the applicant has made adequate arrangements to comply with the provisions specified in paragraph (7).

(7) Those provisions are regulations 15(2), 16, and 17, but with the modifications specified in paragraph (9)(b), (c) and (d).

(8) Regulation 19, in so far as it applies to vehicle type approvals, and regulation 21 apply to—

(a) the holder of a national small series type approval, and

(b) vehicles to which a national small series type approval relates,

but with the modifications specified in paragraph (9).

(9) The modifications are that—

(a) regulation 19(4)(b) is omitted,

(b) for each reference in a regulation to an EC type approval there is substituted a reference to a national small series type approval,

(c) for each reference in a regulation to an EC certificate of conformity there is substituted a reference to a national small series certificate of conformity, and

(d) where a regulation (or any part of a regulation) has effect by reference to a provision of the Framework Directive, for any reference in that provision to an EC type approval there is substituted a reference to a national small series type approval.

(10) The holder of a national small series type approval must—

(a) issue, in respect of each vehicle (whether incomplete, complete or completed) which is manufactured in conformity with that approval a certificate of conformity which complies with regulation 28(3) and is numbered sequentially between 1 and the maximum permitted number to denote, in respect of each year of production, the position of the vehicle within the production allocated for that year, and

(b) observe, in relation to the certificate of conformity, the requirements set out in paragraph (1), second sub-paragraph, and paragraphs (3) and (4) of Article 18 (certificates of conformity) of the Framework Directive.

(11) The Secretary of State must not—

(a) issue a first vehicle licence for a motor vehicle,

(b) issue a first nil licence for a motor vehicle,

(c) register a motor vehicle before the issue of a first licence, or

(d) give consent under regulation 7(3) to the supply of a large trailer for use on a road,

if it appears that doing so would cause the total number of vehicles registered or, as the case may be, put into service on roads in the United Kingdom in any year to exceed the maximum permitted number.

(12) In this regulation—

“maximum permitted number”, for any type of vehicle, means the number show in column (2) of Table 1 below in relation to the vehicle category to which that type belongs;

“year” means any period commencing on 1st January and ending on 31st December.

Table 1: maximum permitted numbers

(1) Vehicle category	(2) Maximum permitted number
M1	75
M2 or M3	250
N1	500
N2 or N3	250
O1 or O2	500
O3 or O4	250

Recognition of national type approvals of small series granted in other member States

26.—(1) A manufacturer may, pursuant to the provisions of Article 23(6) of the Framework Directive (national type approval of small series), apply to the approval authority for recognition of a small series type approval granted to that manufacturer under the law of a member State other than the United Kingdom (a “non-UK type approval”).

(2) An application may not be made under paragraph (1) if an application in respect of the same type of vehicle has been made under regulation 24 and not withdrawn (and may not be proceeded with if an application under that regulation is made later).

(3) Not later than 60 days after receiving from the competent authority in that member State the type approval certificate and its attachments (including a statement of the technical provisions against which the vehicle type was approved), the approval authority must decide whether or not to accept the non-UK type approval.

(4) The type approval must be accepted unless the approval authority has reasonable grounds to believe that the technical provisions under which the approval was granted are not equivalent to those applying in the United Kingdom.

(5) If the approval is accepted the approval authority must, as soon as practicable, notify—

(a) the applicant, and

(b) the competent authority in the member State which granted it.

(6) If the approval is accepted the approval authority must, as soon as practicable, issue a national small series type approval certificate.

(7) For the purposes of this regulation, the approval authority has reasonable grounds to believe that the technical provisions under which the approval was granted are not equivalent to those applying in the United Kingdom if (but not only if) the authority is not satisfied that—

(a) the applicant has made adequate arrangements (including for co-operating with the approval authority and the competent authority in the member State which granted the approval) to ensure that production vehicles, systems, components or separate technical units covered by the non-UK type approval conform to the approved type, or

(b) vehicles supplied in the United Kingdom are constructed for use in left-hand traffic and use imperial units of measurement for the speedometer.

Individual approval

Individual approval

27.—(1) A person requiring an individual approval of a relevant vehicle must—

(a) be a qualifying applicant, and

(b) make an application to the approval authority.

(2) An application under paragraph (1) must be in a form specified by the approval authority which—

(a) has been completed so as to provide all the information reasonably required by the authority in relation to the vehicle for which the application is made, and

(b) is accompanied by the documents mentioned in the form as being so required,

but the approval authority may waive all or any of these requirements in the case of a reapplication made not later than 6 months after an earlier refusal to grant an individual approval certificate for the vehicle.

(3) This paragraph applies where the vehicle for which an application under paragraph (1) is made is covered by a non-UK approval.

(4) Where paragraph (3) applies, the application must be accompanied by—

(a) a copy of the non-UK approval, and

(b) a copy of the attachments to the certificate of type approval (if applicable),

and, in the case of a vehicle which has the benefit of an individual approval granted pursuant to Article 24 of the Framework Directive (individual approvals), must include a statement from the member State which granted it of the technical provisions against which the vehicle was approved.

(5) The approval authority may, if reasonably necessary and after payment of any prescribed fee, carry out an examination of the vehicle and in that event must, as soon as reasonably practicable after receiving the application, give to the applicant notice of—

(a) the place at which the examination of the vehicle is to be carried out, and

(b) the date and time at which the examination is to begin.

(6) Where the approval authority gives notice to an applicant under paragraph (5) that an examination of a vehicle is to be carried out—

(a) the applicant must attend with the vehicle, or arrange for the vehicle to be produced, at the time and place specified in the notice unless otherwise agreed with the approval authority, and

(b) the approval authority may decline to proceed with the examination at that time and place if it is considered unsafe or otherwise unreasonable to do so.

(7) The approval authority must make the decision whether or not to grant an individual approval in accordance with Article 24 of the Framework Directive and give notice to the applicant accordingly.

(8) For the purposes of paragraph (7)—

(a) the alternative requirements required to be imposed under Article 24(1) are the technical or other requirements specified in Schedule 5;

(b) where paragraph (3) applies the approval authority must grant an individual approval unless there are reasonable grounds to believe that the technical provisions under which the non-UK approval covering the vehicle was granted are not equivalent to those applying in the United Kingdom.

(9) For the purposes of paragraph (8)(b), the approval authority has reasonable grounds to believe that the technical provisions under which an approval was granted are not equivalent to those applying in the United Kingdom if (but not only if) the authority is not satisfied that the vehicle for which the application is made—

(a) is constructed or adapted for use in left-hand traffic, and

(b) uses imperial units of measurement for the speedometer.

(10) Where the approval authority decides to grant an individual approval the authority must issue a certificate which complies with regulation 28(2).

(11) In this regulation—

“non-UK approval” means—

(a)

type approval granted, pursuant to Article 23 of the Framework Directive, under the law of a member State other than the United Kingdom,

(b)

an EC certificate of conformity issued in respect of a type approval (whether granted under the law of a member State or the United Kingdom) showing that the vehicle was not constructed or adapted for use in left-hand traffic or that it does not use imperial units of measurement for the speedometer, or

(c)

an individual approval granted, pursuant to Article 24 of the Framework Directive, under the law of a member State other than the United Kingdom.

“qualifying applicant” means—

(a)

the manufacturer of the vehicle,

(b)

the owner of the vehicle, or

(c)

a person established in a member State who is acting on behalf of the manufacturer or owner.

Forms of certificate

Forms of certificates: national type approval of small series and individual approval

28.—(1) A national small series type approval certificate must be in the form set out in Part 1 of Schedule 6 (or a form to the like effect).

(2) An individual approval certificate must be in the form set out in Part 2 of Schedule 6 which is appropriate to the category of vehicle in respect of which it is issued (or a form to the like effect).

(3) A national small series certificate of conformity must be in the same format as that prescribed in Annex IX to the Framework Directive for an EC certificate of conformity relating to a vehicle of the same category and class containing such particulars as are relevant to the vehicle in respect of which it is issued, save that—

(a) the certificate must carry the heading “National Small Series Certificate of Conformity (United Kingdom)”;

(b) for each reference to an EC type approval there must be substituted a reference to a national small series type approval, and

(c) for “EC type-approved”, in each place the expression occurs, there must be substituted “nationally type-approved”.

PART 5 VALIDITY OF APPROVALS AND END-OF SERIES VEHICLES

Validity of EC type approvals

29.—(1) Subject to paragraphs (2) and (3), an EC type approval ceases to be valid with respect to a vehicle for the purposes of Part 2 of these Regulations at the date when—

(a) a new requirement imposed by a regulatory act becomes a mandatory condition for the registration, sale or entry into service of the vehicle,

(b) production of the vehicle is voluntarily discontinued, or

(c) it expires by virtue of a special restriction to which it is subject.

(2) An EC type approval does not cease to be valid in relation to a class of vehicles by virtue of paragraph (1)(a) if, at the date on which the new requirement becomes a mandatory condition, it has been updated to ensure that that class of vehicles complies with the new requirement.

(3) An EC type approval which applies to vehicles of more than one class ceases to be valid only with respect to those classes of vehicle to which the circumstances described in paragraph (1)(a), (b) or (c) apply.

(4) Where an EC type approval granted by the approval authority is about to become invalid the holder must inform the approval authority of that fact without delay.

(5) Where the approval authority becomes aware that an EC type approval is about to become invalid the authority must inform the corresponding authorities in other member States of all the relevant details as soon as reasonably practicable.

(6) In this regulation “EC type approval” means a type approval granted by the approval authority under these Regulations or under regulation 4 of the 1998 Regulations.

Validity of national small series type approvals

30.—(1) Subject to paragraphs (2) and (3), a national small series type approval ceases to be valid with respect to a vehicle for the purposes of Part 2 of these Regulations at the date when—

(a) an amendment to the alternative requirements becomes a mandatory condition for the registration, sale or entry into service of the vehicle,

(b) production of the vehicle is voluntarily discontinued, or

(c) it expires by virtue of a special restriction to which it is subject.

(2) A national small series type approval does not cease to be valid by virtue of paragraph (1)(a) to the extent that it can be updated to ensure that any class of vehicles in respect of which it is granted complies with the amended alternative requirements.

(3) A national small series type approval which applies to vehicles of more than one class ceases to be valid only with respect to those classes of vehicle to which the circumstances described in paragraph (1)(a), (b) or (c) apply.

(4) Except as provided in regulation 32, a national small series certificate of conformity has no effect for the purposes of Part 2 of these Regulations if the type approval under which it is issued has ceased to be valid with respect to the vehicle for which it is issued.

(5) In this regulation, “alternative requirements” means the requirements specified in regulation 25(2).

End-of-series vehicles for EC type approval

31.—(1) This regulation applies where—

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

(b) the approval authority is satisfied that the type approval is going to cease to be valid by virtue of regulation 29(1)(a).

(2) At the request of the holder of an EC type approval to which this regulation applies, the approval authority may direct that an EC certificate of conformity issued under that approval in respect of an end-of-series vehicle has effect for the purposes of Part 2 of these Regulations for the relevant period.

(3) The holder of the approval must specify, in a request made under paragraph (2), the technical or economic reasons preventing that holder from complying with new technical requirements applying to the vehicles in question after the type approval ceases to be valid.

(4) The approval authority must—

(a) decide whether or not to give a direction not later than 3 months after receiving the request, and

(b) must, on deciding not to give a direction, give notice of that decision to the holder of the approval without delay.

(5) For the purposes of paragraph (2)—

(a) an “end-of-series vehicle” is a vehicle in relation to which the conditions in paragraph (6) are satisfied;

(b) the “relevant period” is—

(i) in the case of a complete vehicle, the period of 12 months commencing on the date on which the EC type approval ceases to be valid, and

(ii) in the case of an incomplete or a completed vehicle, the period of 18 months commencing on that date.

(6) The conditions are that—

(a) the vehicle is manufactured in conformity with a valid EC type approval,

(b) that type approval later ceases to be valid by virtue of regulation 29(1)(a), and

(c) the EC certificate of conformity issued in respect of the vehicle bears a date not less than 3 months earlier than the date on which the type approval ceases to be valid.

(7) In this regulation—

“EC type approval” means a type approval granted by the approval authority under these Regulations or under regulation 4 of the 1998 Regulations, and

“EC certificate of conformity” means a certificate of conformity issued in respect of an EC type approval.

End-of-series vehicles for national small series type approval

32.—(1) This regulation applies to a national small series type approval if the approval authority is satisfied that it is going to cease to be valid by virtue of regulation 30(1)(a).

(2) The approval authority may, at the request of a holder of a national small series type approval to which this regulation applies, direct that a certificate of conformity issued under that approval in respect of an end-of-series vehicle has effect for the purposes of Part 2 of these Regulations for the relevant period.

(3) The holder of the approval must specify, in a request made under paragraph (2), the technical or economic reasons preventing that holder from complying with amended requirements applying to the vehicles in question after the type approval ceases to be valid.

(4) The approval authority must—

(a) decide whether or not to give a direction not later than 3 months after receiving the request, and

(b) must, on deciding not to give a direction, give notice of that decision to the holder of the approval without delay.

(5) For the purposes of paragraph (2)—

(a) an “end-of-series vehicle” is a vehicle in relation to which the conditions in paragraph (6) are satisfied;

(b) the “relevant period” is—

(i) in the case of a complete vehicle, the period of 12 months commencing on the date on which the EC type approval ceases to be valid, and

(ii) in the case of an incomplete or a completed vehicle, the period of 18 months commencing on that date.

(6) The conditions are that—

(a) the vehicle is manufactured in conformity with a valid national small series type approval,

(b) that type approval later ceases to be valid by virtue of regulation 30(1)(a), and

(c) the national small series certificate of conformity issued in respect of the vehicle bears a date not less than 3 months earlier than the date on which the type approval ceases to be valid.

PART 6 MISCELLANEOUS

Enforcement

Forgery, false statements, etc

33.—(1) A person commits an offence if, with intent to deceive, that person—

(a) forges, alters or uses a document to which paragraph (2) applies, or

(b) lends to, or allows to be used by, any other person a document to which paragraph (2) applies, or

(c) makes, or has possession of, any document so closely resembling a document to which paragraph (2) applies as to be calculated to deceive.

(2) This paragraph applies to—

(a) an EC type approval certificate,

(b) an EC certificate of conformity,

(c) a national small series type approval,

(d) a national small series certificate of conformity, or

(e) an individual approval certificate.

(3) A person guilty of an offence under paragraph (1) is liable—

(a) on summary conviction, to a fine not exceeding the statutory maximum, or

(b) on conviction on indictment, to imprisonment for a term not exceeding 2 years, or to a fine, or to both.

(4) A person commits an offence if, in supplying information or producing a document for the purpose of these Regulations, that person—

(a) makes a statement which that person knows to be false in a material particular or recklessly makes a statement which is false in a material particular, or

(b) produces, provides, sends or otherwise makes use of a document which that person knows to be false in a material particular or recklessly produces, provides or sends or otherwise makes use of a document which is false in a material particular.

(5) A person who contravenes regulation 16, 22(1) or 23(1) commits an offence.

(6) A person guilty of an offence under paragraph (4) or (5) is liable—

(a) on summary conviction, to a fine not exceeding the statutory maximum, or

(b) on conviction on indictment, to a fine.

Powers of entry

34.—(1) A person authorised by the approval authority (an “authorised person”) may, on production of a document showing that person has authority to do so, enter at all reasonable hours on any land or premises (including production facilities and domestic premises) which are being used for any purpose connected with these Regulations for the purpose of ensuring that these Regulations are being complied with.

(2) Without prejudice to the generality of paragraph (1), an authorised person may—

(a) inspect any production facility, vehicle, system, component or separate technical unit found on the land or premises,

(b) carry out on the land or premises any check or test prescribed in a regulatory act,

(c) remove from the land or premises any vehicle, system, component or separate technical unit which the authorised person may reasonably require in order to carry out such a check or test,

(d) have access to, inspect, remove, retain and copy any record or other document (in whatever form it is held) which is required to be kept under these Regulations or which the authorised person may reasonably require to inspect or copy,

(e) have access to, inspect and check the operation of any computer and associated apparatus or material which is or has been used in connection with the keeping of records or the exercise of any other function connected with these Regulations (and for that purpose may require any person having charge of or concerned with the operation of that apparatus to assist with the inspection in any way the authorised person may reasonably request);

(f) make a copy of any data stored on a computer and retain and remove that copy data.

(3) An authorised person must, so far as it is reasonably practicable to do so, return any vehicle, document or other thing removed from the land or premises to the person from whose possession it was taken.

Reviews and appeals

Duty to give reasons etc

35.—(1) A relevant notice must be in writing and specify the reasons for the decision to which it relates, the right to request a review under these Regulations and the time limit for making such a request.

(2) In this regulation and regulations 36 and 37, a “relevant notice” means a notice given under any of the following provisions—

(a) regulation 13(7),

(b) regulation 14(2);

(c) regulation 19(2), (3), (4), (5) or (10),

(d) regulation 21(3) or (4),

(e) regulation 25(1)(c),

(f) regulation 27(7),

(g) regulation 31(4)(b), or

(h) regulation 32(4)(b).

Review of decisions on type approval applications

36.—(1) This regulation applies to all relevant notices except those given under regulation 27(7).

(2) Where the approval authority has given a person a relevant notice to which this regulation applies, that person may apply to the approval authority for a reconsideration of the decision to give that notice.

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

(a) be made within a period of 28 days beginning on the date when the relevant notice is received, and

(b) be in writing stating the reasons for making it and accompanied by such further evidence as may be reasonably necessary to support those reasons.

(4) The approval authority may—

(a) request further evidence in support of the application;

(b) after giving reasonable notice to the applicant, carry out a re-examination of one or more vehicles for the purpose of determining the issues raised by the application.

(5) The approval authority must as soon as reasonably practicable—

(a) give written notification to the applicant stating whether the original decision is confirmed, amended or reversed, and

(b) if the decision is reversed or amended, take the appropriate action in respect of the revised decision.

(6) An applicant aggrieved by the approval authority’s notification under paragraph (5) may by notice in writing request the approval authority to appoint an independent assessor or assessment panel to review the decision to which the relevant notice relates.

(7) A request under paragraph (6) must be—

(a) made not later than 28 days after receipt of the approval authority’s notification under paragraph (4),

(b) in writing stating the reasons for the request, and

(c) accompanied by the prescribed fee (if any).

(8) As soon as reasonably practicable after the date of receipt of the request under paragraph (6) for an independent review the approval authority must—

(a) appoint a person to act as assessor or , at the authority’s discretion, not more than three persons to act as an assessment panel, and

(b) notify the applicant of the appointment.

(9) The independent assessor or assessment panel may—

(a) request further evidence in support of the request for review;

(b) after giving reasonable notice to the applicant, carry out a re-examination of one or more vehicles for the purpose of determining the issues raised by the request for review.

Applications for individual approvals: appeals

37.—(1) This regulation applies where a relevant notice has been given to an applicant under regulation 27(7).

(2) A person aggrieved by a decision made pursuant to an application under regulation 27 may appeal to the Secretary of State not later than 14 days after the date of the relevant notice.

(3) An appeal under this regulation must—

(a) be made by notice in writing in a form approved by the approval authority,

(b) state the grounds on which it is made,

(c) be accompanied by such documents and further evidence as may be specified in the form and reasonably necessary to support the grounds of appeal, and

(d) be accompanied by the prescribed fee (if any).

(4) As soon as reasonably practicable after receiving the notice of appeal the Secretary of State must—

(a) send a notice to the appellant stating the time and place where a re-examination of the vehicle is to be carried out for the purpose of determining the issues raised by the appeal, and

(b) appoint a person (“the examiner”) to re-examine the vehicle.

(5) The appellant must attend with the vehicle, or arrange for the vehicle to be produced, at the time and place specified in the notice under paragraph (4) unless otherwise agreed with the Secretary of State.

(6) The examiner must determine whether or not the decision made under regulation 27(7) was a correct decision and the provisions of regulation 27(7) to (9) apply for the purposes of that determination as they applied for the purposes of the original decision.

(7) The examiner may—

(a) confirm the original decision, or

(b) make such other decision as the examiner thinks fit (including the reimbursement of any fee paid by the appellant),

and if it is decided that an individual approval should be granted the examiner must notify the approval authority accordingly.

Other miscellaneous provisions

Duplicate certificates

38.—(1) If an EC certificate of conformity, a national small series certificate of conformity or an individual approval certificate is lost or defaced, the owner or keeper of the vehicle to which the certificate relates may apply for a duplicate certificate—

(a) in the case of an EC or national small series certificate of conformity, to the manufacturer by whom the original was issued, and

(b) in the case of an individual approval certificate, to the approval authority.

(2) Where a certificate has been lost, the application for a duplicate must include—

(a) particulars of the vehicle or vehicle part to which the certificate related, and

(b) either the serial number of the original certificate or such other information concerning the original certificate as is available and is reasonably required for enabling the records relating to the original certificate to be searched and the particulars of the original traced.

(3) Where a certificate has been defaced, the application for a duplicate must be accompanied by—

(a) the defaced certificate, and

(b) (if the serial number of that certificate is no longer legible) by such other information concerning the original certificate as is available and is reasonably required for enabling the records relating to the original certificate to be searched and the particulars of the original traced.

(4) A duplicate certificate must be marked “Duplicate”.

(5) A manufacturer to whom an application for a duplicate certificate is made under paragraph (1)(a) may not unreasonably refuse to issue the duplicate but may charge a reasonable fee for so doing.

(6) Every application under paragraph (1)(b) for a duplicate certificate must be accompanied by the prescribed fee (if any).

(7) In this regulation, “EC certificate of conformity” includes, as well as any certificate of conformity within the meaning of Article 3(36) of the Framework Directive—

(a) a certificate of conformity issued in accordance with regulation 5 of the 1998 Regulations, and

(b) a certificate of conformity issued under the law of a member State other than the United Kingdom in accordance with Council Directive 70/156/EEC of 6th February 1970 on the approximation of the laws of the member States relating to the type approval of motor vehicles and their trailers (as amended).

Service of notices

39.—(1) Any document required or authorised by virtue of these Regulations to be given to any person by the approval authority may be given—

(a) by delivering it to that person or by leaving it at that person’s proper address,

(b) by sending it by registered or recorded delivery post to that person at that address, or

(c) if the person is a body corporate, by serving it in accordance with sub-paragraph (a) or (b) on the secretary, clerk or principal officer of that body,

(d) if the person is a partnership, by serving it in accordance with sub-paragraph (a) or (b) on a partner or a person having the control or management of the partnership business, or

(e) by means of any form of electronic communication agreed with the person to whom it is to be sent.

(2) For the purposes of paragraph (1), and of section 7 of the Interpretation Act 1978(22) (service of documents by post) in its application to this regulation, the proper address of a person is—

(a) in the case of an individual, that person’s last known address,

(b) in the case of the secretary, clerk or principal officer of a body corporate, the address of the registered office of the body or its principal office in the United Kingdom,

(c) in the case of a partner in, or a person having the control or management of, a partnership, it is the address of the principal office of the partnership in the United Kingdom,

but subject to paragraph (3).

(3) If a person to be served by virtue of these Regulations with any document by the approval authority has notified the approval authority of an address within the United Kingdom other than that person’s proper address at which that person, or another acting on that person’s behalf, will accept service of any document of that description, that address is the person’s proper address.

Provision of testing stations

40.  The approval authority may provide and maintain stations where examinations of vehicles and of components of such vehicles to which these Regulations apply may be carried out for the purposes of these Regulations and may provide and maintain apparatus for carrying out such examinations.

Designation of technical services

41.  Where the approval authority designates a technical service the authority must comply with the requirements of Articles 41 to 43 of the Framework Directive.

Saving for applications made under the 1998 Regulations

42.  An application for an EC type approval made under the 1998 Regulations before the coming into force of these Regulations has effect as if it had been made under these Regulations.

Signed by authority of the Secretary of State

Jim Fitzpatrick

Parliamentary Under Secretary of State

Department for Transport

24th March 2009