Explanatory Memorandum to COM(2016)31 - Approval and market surveillance of motor vehicles and their trailers, and of systems, components and separate technical units intended for such vehicles - Main contents
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| dossier | COM(2016)31 - Approval and market surveillance of motor vehicles and their trailers, and of systems, components and separate technical ... |
|---|---|
| source | COM(2016)31  |
| date | 27-01-2016 |
1. CONTEXT OF THE PROPOSAL
1.1.Grounds for and objectives of the proposal
The legal framework for the type-approval of automotive products covers three categories of vehicles: motor vehicles and their trailers, motorcycles, and tractors. The objective of this proposal is to revise the legal framework for the type-approval of motor vehicles and their trailers. The legal framework for the two other vehicle categories has already been the subject of a major revision in 2013.
Type-approval requirements for motor vehicles and their trailers are currently set out in Directive 2007/46/EC of the European Parliament and of the Council (the ‘Framework Directive’) 1 . This framework aims at facilitating the free movement of motor vehicles and trailers in the internal market by laying down harmonised requirements designed to achieve common environmental and safety objectives. Directive 2007/46/EC covers motor vehicles for the carriage of passengers (category M) and of goods (category N), and their trailers (category O), as well as their systems and components. It provides a framework under which separate regulatory acts with specific safety and environmental requirements are operating. These regulatory acts deal with a multitude of detailed technical requirements for different types of vehicles, systems and components.
As part of the commitments the Commission made in its CARS2020 Action Plan for a strong, competitive and sustainable European car industry 2 , the EU type-approval framework for motor vehicles has been the subject of a comprehensive fitness check in 2013. It confirmed that the EU type-approval legal framework is appropriate for achieving the main goals of harmonisation, effective operation of the internal market and fair competition. However, it was also recognised that differences in interpretation and strictness in application of the requirements across Member States are reducing the effectiveness of the framework. The Commission Staff Working document on this Fitness Check therefore acknowledged room for improvement and singled out the review of Directive 2007/46/EC as a matter of priority, with the need to focus on the following aspects:
– introduction of market surveillance provisions to complement the type-approval requirements;
– clarification of the recall and safeguard procedures, as well as the conditions for granting extensions to approvals for existing types of vehicle;
– improving the enforcement of the type-approval framework by harmonising and enhancing the type-approval and conformity of production procedures applied by Member State authorities and technical services;
– clarification of the roles and responsibilities of economic operators in the supply chain, and of the authorities and parties involved in the enforcement of the framework; and
– improving the suitability of alternative type-approval schemes (national small series and individual approvals) and of the multi-stage type-approval process to provide appropriate flexibility for niche markets and SMEs, without however distorting the level playing field.
Although the fitness check confirmed that the existing regulatory framework has its merits in meeting policy objectives, it has come under harsh criticism after the discovery that a German manufacturer (VW) had for several years used software to manipulate the emission performance of its cars. Within a week of the outbreak of the scandal, the Commission announced that it would reinforce the type-approval system, in particular by ensuring adequate supervisory mechanisms to ensure a correct and harmonised application of the type-approval procedures. In an internal market with 28 Member States and in a sector subject to constant technological and scientific progress, substantial divergences in the interpretation and application of the rules entail the risk of undermining the effectiveness of the system and therefore the main policy objectives of ensuring the safety and health of citizens and the protection of the environment. Many stakeholders openly called for such a revision in the aftermath of the VW scandal.
This revision aims to overcome these flaws and gaps and to restore the citizen's trust in the capability of the regulatory system to ensure an adequate level of protection of health and the environment.
1.2.Existing provisions in the area of the proposal
– Directive 2007/46/EC of the European Parliament and of the Council establishing a framework for the approval of motor vehicles and their trailers, and of systems, components and technical units intended for such vehicles.
– Regulation 765/2008/EC on accreditation and market surveillance, containing rules for the European policy on accreditation 3 (control of the competence of laboratories and certification/inspection bodies delivering certificates in the EU) and for the policy in the field of market surveillance and controls of products from third countries (for safe products whatever their origin).
– Decision 768/2008/EC establishing a common framework for the marketing of products 4 , containing standard provisions to be used in EU internal market legislation for products (e.g. definitions, obligations of economic operators, safeguard clause, etc.).
2. RESULTS OF CONSULTATIONS WITH THE INTERESTED PARTIES AND IMPACT ASSESSMENTS
The European Commission launched a public consultation in 2010 5 , seeking to gather the views of interested parties on its intention to revise the framework directive. The aim of this public consultation was to verify whether the areas identified by the Commission services as having a potential for improving the enforcement of EU type-approval legislation for motor vehicles would provide the right scope and focus for the envisaged review of Framework Directive 2007/46/EC.
Forty relevant responses were received which, overall, indicated a strong support for the aims of the initiative. Whilst 74% of the respondents concurred that the current type-approval framework was already of fairly high quality, 57.6% of them considered that nonetheless more could be done to emphasise and properly focus the legal application of market surveillance principles, with 47% of respondents saying that existing market surveillance provisions are ineffective, while just 2.9% agreed it was effective. This outcome clearly demonstrated that stakeholders share the view that more can and should be done to complement the ex-ante controls offered by the type-approval framework with ex-post market surveillance provisions.
The Commission services also commissioned a number of external studies to accompany and feed in to the Impact Assessment process. An ex-post evaluation study 6 on the framework directive was carried out in the first half of 2011, followed by an impact assessment (IA) study 7 in the second half of 2011. This study assessed the impact of the possible options developed for each of the needs identified by the Commission services and which were confirmed to be relevant by the public consultation. Based on the results of the public consultation and the IA study, a preferred combination of policy options for addressing these needs has been identified.
Further work on the preparation of the impact assessment and the review of the Framework Directive was undertaken in 2012/2013 by means of a fitness check pilot project. A study contract has been awarded for that purpose which was finalised in March 2013. A Commission Staff working document reporting on the outcome of the fitness check pilot project was published in November 2013 8 , highlighting the priorities for the envisaged revision of Directive 2007/46/EC (See point 1.1 above).
High level involvement of stakeholders has taken place in the context of the CARS 21 High Level Group, resulting in a number of recommendations in relation to the type-approval framework that have been taken up by the Commission in its CARS 2020 Action Plan adopted in November 2012.
Finally, and in line with the commitments the European Commission made in its CARS 2020 Action Plan, a competitiveness proofing study has been carried out in the second half of 2013 to complement the above mentioned actions. The need for mitigating measures for SMEs has been considered in the context of this study, which demonstrated that for the combination of policy options retained there would not be any significant impacts for the SMEs in the sector to the extent that they would require mitigating measures.
In addition, specific exchanges with Member States' authorities have taken place during the entire impact assessment process at meetings of the Technical Committee Motor Vehicles (TCMV) and the Type-Approval Authorities Experts Group (TAAEG). Exchange of views with industry and user associations about the initiative have taken place in the framework for the Motor Vehicles Working Group (MVWG). All interested stakeholders have also been consulted by the external study contractors for the collection of data and views.
Triggered by the outburst of the VW emissions scandal, the European Parliament adopted on 5 October 2015 a Resolution on emission measurements in the automotive sector, calling on the Commission for significantly strengthening the current EU type approval regime including more EU oversight, in particular with regard to market surveillance, coordination and follow up regime for vehicles sold in the Union.
3. LEGAL ELEMENTS OF THE PROPOSAL
3.1.Legal basis
The legal basis of the proposal is Article 114 of the Treaty on the Functioning of the European Union (TFEU).
3.2.Subsidiarity principle
The framework legislation for the type-approval of motor vehicles contributes to the implementation of the internal market for goods. This proposal envisages at rendering the implementation and enforcement of this legislation more effective as part of the overall policy objective to deepen the internal market strategy.
Although Member States are responsible for the implementation of the legislation in their territory, ensuring a harmonised and co-ordinated approach based on commonly applicable criteria and uniformly applied by Member States is essential for maintaining a level playing field across the EU by means of a harmonised interpretation, implementation and enforcement of the type-approval requirements, and backed-up by harmonised provisions on market surveillance to provide Member States with adequate means for post-market controls and for taking effective and common remedial action against the presence of non-compliant and unsafe products on the market.
The differences in the national organisation of type-approval and market surveillance in the Member States may give rise to a non-harmonised enforcement when viewed in the framework of the Union's Internal Market which no longer has internal borders and where controls at national borders have practically disappeared. To avoid that non-compliant products are placed on their territory, Member States also depend to a large extent on the effectiveness of the enforcement policy of their neighbours. Consequently, weaknesses in enforcement by one single Member State can seriously undermine the efforts taken by other Member States to prevent non-compliant products from entering their market. This interdependence is reinforced by the fact that the competence of enforcement authorities is limited to the national territory. Where remedial action is needed beyond the border, these authorities must rely on their colleagues in other Member States.
This is due to fact that the type-approval framework is based on the principle that all new vehicles produced in conformity with a type of vehicle approved by one Member State benefit from the right of being freely marketed and registered in the other Member States. This right applies to all such vehicles, irrespective of their origin of production. This means that also vehicles produced outside the EU can be freely imported within the EU provided they the manufacturer has certified that they have been produced in compliance with a type of vehicle approved in one of the EU Member States. In view of the global nature of automotive sector, with substantial imports of automotive products from outside the EU, this important cross-border dimension calls for co-ordinated action at EU level to ensure a level playing field.
If actions were to be taken individually by Member States at national level to address market problems, this may entail the risk of creating obstacles to the free movement of motor vehicles ensured by the framework legislation. Hence it is justified to take action at EU level.
3.3.Proportionality principle
The proposal complies with the proportionality principle because it does not go beyond what is necessary in order to achieve the objectives of ensuring the proper functioning of the internal market while at the same time providing for a high level of public safety and environmental protection.
The measures proposed to reinforce and further harmonise the implementation of the type-approval procedures are based on the agreed principles laid down in the common framework for the marketing of products, and on the reference provisions for Union harmonisation legislation for products as laid down in Annex I of Decision No 768/2008/EC. Where necessary and justified, these provisions have been adapted to the specificities of the automotive sector, in particular with the view to recognise the existence of an already well-established type-approval framework and to ensure full coherence with this framework. This has in particular the case for the provisions on the information exchange and co-operation between market surveillance authorities on the one hand and the type-approval authorities and their designated technical services on the other.
3.4.Choice of instruments
The use of a Regulation is considered to be appropriate in that it provides the required assurance for direct and harmonised application and enforcement while not requiring transposition into Member States’ legislation.
The proposal continues to build on the ‘split-level approach’ already introduced in the EU type-approval framework for motor vehicles. This approach provides for legislation in three steps:
– the fundamental provisions and scope are laid down by the European Parliament and the Council in a Regulation based on Article 114 TFEU in accordance with the ordinary legislative procedure.
– the detailed technical specifications associated with the fundamental provisions will be laid down in delegated acts adopted by the Commission in accordance with Article 290 of the Treaty on the Functioning of the European Union.
– implementing acts setting out the administrative provisions, such as the template for the information document and the type-approval certificates, the certificate of conformity, etc. will be adopted by the Commission in accordance with Article 291 of the Treaty on the Functioning of the European Union.
4. BUDGETARY IMPLICATION
• Commission staff to organise and participate in joint assessments of technical services;
• Costs for national assessors participating in joint assessments of technical services in accordance with the Commission's rules on the reimbursement of expenses incurred by experts;
• Commission staff to provide scientific, technical and logistic support to the peer review system (joint audits of technical services)and to the coordination of Member States' market surveillance activities in the field of automotive products;
• Commission staff to manage and further develop the EU regulatory framework for the type-approval and market-surveillance of motor vehicles and their trailers, and of systems, components and separate technical units intended for such vehicles (functioning of this Regulation and preparation of delegated/implementing acts) and to support and monitor Member States in ensuring its effective and efficient implementation;
• Costs for organising meetings of the Enforcement Forum laid down in Article 10, including reimbursement of the travel expenses of the Member States;
• Costs for the establishment and management of the supervisory mechanism in respect of conformity assessments carried out by technical services;
• Costs for running compliance and conformity testing of motor vehicles by the Commission and
• Costs for participation in international regulatory cooperation, in particular in UNECE;
Details of the costs are set out in the legislative financial statement.
In view of the constraints of the Multiannual Financial Framework 2014-2020 the implementation of the legislative proposal will have to be built on existing resources and to be designed in such a manner that additional financial resources under the EU budget are not needed. Actions foreseen in this draft proposal for a Regulation will have no budgetary impact on EU budget over and beyond the appropriations already foreseen in the official financial programming of the Commission as any requirements for financial resources would have to be met through assigned revenues and internal redeployment.
For the period following 31 December 2020, the amount shall be subject to the multiannual financial framework in force for the period commencing in 2021, in accordance with Article 312 of the Treaty on the Functioning of the European Union.
5. OPTIONAL ELEMENTS
5.1.European Economic Area
The proposed act concerns matters relating to the European Economic Area (EEA) and should therefore be extended to the EEA.
5.2.Repeal of existing legislation
The adoption of the proposal will lead to the repeal of existing legislation.