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【最新版】 2006 42 EC.pdf
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DIRECTIVE 2006/42/EC OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL
of 17 May 2006
on machinery, and amending Directive 95/16/EC (recast)
(Text with EEA relevance)
THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EURO-
PEAN UNION,
Having regard to the Treaty establishing the European Com-
munity, and in particular Article 95 thereof,
Having regard to the proposal from the Commission (
1
),
Having regard to the opinion of the European Economic and
Social Committee (
2
),
Acting in accordance with the procedure laid down in
Article 251 of the Treaty (
3
),
Whereas:
(1) Directive 98/37/EC of the European Parliament and of
the Council of 22 June 1998 on the approximation of
the laws of the Member States relating to machinery (
4
)
codified Directive 89/392/EEC (
5
). Now that new
substantial amendments are being made to Directive 98/
37/EC, it is desirable, in order to clarify matters, that
that Directive should be recast.
(2) The machinery sector is an important part of the engi-
neering industry and is one of the industrial mainstays
of the Community economy. The social cost of the large
number of accidents caused directly by the use of
machinery can be reduced by inherently safe design and
construction of machinery and by proper installation
and maintenance.
(3) Member States are responsible for ensuring the health
and safety on their territory of persons, in particular of
workers and consumers and, where appropriate, of
domestic animals and goods, notably in relation to the
risks arising out of the use of machinery.
(4) In order to ensure legal certainty for users, the scope of
this Directive and the concepts relating to its application
should be defined as precisely as possible.
(5) The Member States' mandatory provisions governing
construction site hoists intended for lifting persons or
persons and goods, which are often supplemented by de
facto compulsory technical specifications and/or by
voluntary standards, do not necessarily lead to different
levels of health and safety but, because of their dispari-
ties, do nevertheless constitute barriers to trade within
the Community. Moreover, the national systems for the
conformity assessment and certification of these
machines diverge considerably. It is therefore desirable
not to exclude from the scope of this Directive construc-
tion site hoists intended for lifting persons or persons
and goods.
(6) It is appropriate to exclude from the scope of this Direc-
tive weapons, including firearms, that are subject to
Council Directive 91/477/EEC of 18 June 1991 on
control of the acquisition and possession of weapons (
6
);
the exclusion of firearms should not apply to portable
cartridge-operated fixing and other impact machinery
designed for industrial or technical purposes only. It is
necessary to provide for transitional arrangements
enabling Member States to authorise the placing on the
market and putting into service of such machinery
manufactured in accordance with national provisions in
force upon adoption of this Directive, including those
implementing the Convention of 1 July 1969 on the
Reciprocal Recognition of Proofmarks on Small Arms.
Such transitional arrangements will also enable the Euro-
pean standardisation organisations to draft standards
ensuring the safety level based on the state of the art.
(7) This Directive does not apply to the lifting of persons by
means of machines not designed for the lifting of
persons. However, this does not affect the right of
Member States to take national measures, in accordance
with the Treaty, with respect to such machines, with a
view to implementing Council Directive 89/655/EEC of
30 November 1989 concerning the minimum safety and
health requirements for the use of work equipment by
workers at work (second individual Directive within the
meaning of Article 16(1) of Directive 89/391/EEC) (
7
).
9.6.2006L 157/24 Official Journal of the European Union
EN
(
1
) OJ C 154 E, 29.5.2001, p. 164.
(
2
) OJ C 311, 7.11.2001, p. 1.
(
3
) Opinion of the European Parliament of 4 July 2002 (OJ C 271 E,
12.11.2003, p. 491), Council Common Position of 18 July 2005
(OJ C 251 E, 11.10.2005, p. 1) and Position of the European Parlia-
ment of 15 December 2005 (not yet published in the Official
Journal). Council Decision of 25 April 2006.
(
4
) OJ L 207, 23.7.1998, p. 1. Directive as amended by Directive
98/79/EC (OJ L 331, 7.12.1998, p. 1).
(
5
) Council Directive 89/392/EEC of 14 June 1989 on the approxima-
tion of the laws of the Member States relating to machinery (OJ
L 183, 29.6.1989, p. 9).
(
6
) OJ L 256, 13.9.1991, p. 51.
(
7
) OJ L 393, 30.12.1989, p. 13. Directive as last amended by Direc-
tive 2001/45/EC of the European Parliament and of the Council (OJ
L 195, 19.7.2001, p. 46).
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(8) In relation to agricultural and forestry tractors, the provi-
sions of this Directive concerning the risks currently not
covered by Directive 2003/37/EC of the European Parlia-
ment and of the Council of 26 May 2003 on type-
approval of agricultural or forestry tractors, their trailers
and interchangeable towed machinery, together with
their systems, components and separate technical
units (
1
) should no longer apply when such risks are
covered by Directive 2003/37/EC.
(9) Market surveillance is an essential instrument inasmuch
as it ensures the proper and uniform application of
Directives. It is therefore appropriate to put in place the
legal framework within which market surveillance can
proceed harmoniously.
(10) Member States are responsible for ensuring that this
Directive is effectively enforced on their territory and
that the safety of the machinery concerned is, as far as
possible, improved in accordance with its provisions.
Member States should ensure their capacity to carry out
effective market surveillance, taking account of guide-
lines developed by the Commission, in order to achieve
the proper and uniform application of this Directive.
(11) In the context of market surveillance, a clear distinction
should be established between the disputing of a harmo-
nised standard conferring a presumption of conformity
on machinery and the safeguard clause relating to
machinery.
(12) The putting into service of machinery within the
meaning of this Directive can relate only to the use of
the machinery itself for its intended purpose or for a
purpose which can reasonably be foreseen. This does
not preclude the laying down of conditions of use
external to the machinery, provided that it is not thereby
modified in a way not specified in this Directive.
(13) It is also necessary to provide for an adequate
mechanism allowing for the adoption of specific
measures at Community level requiring Member States
to prohibit or restrict the placing on the market of
certain types of machinery presenting the same risks to
the health and safety of persons either due to shortcom-
ings in the relevant harmonised standard(s) or by virtue
of their technical characteristics, or to make such
machinery subject to special conditions. In order to
ensure the appropriate assessment of the need for such
measures, they should be taken by the Commission,
assisted by a committee, in the light of consultations
with the Member States and other interested parties.
Since such measures are not directly applicable to
economic operators, Member States should take all
necessary measures for their implementation.
(14) The essential health and safety requirements should be
satisfied in order to ensure that machinery is safe; these
requirements should be applied with discernment to take
account of the state of the art at the time of construction
and of technical and economic requirements.
(15) Where the machinery may be used by a consumer, that
is to say, a non-professional operator, the manufacturer
should take account of this in the design and construc-
tion. The same applies where a machine is normally
used to provide a service to a consumer.
(16) Although the requirements of this Directive do not
apply to partly completed machinery in their entirety, it
is nevertheless important that the free movement of
such machinery be guaranteed by means of a specific
procedure.
(17) For trade fairs, exhibitions and such like, it should be
possible to exhibit machinery which does not satisfy the
requirements of this Directive. However, interested
parties should be properly informed that the machinery
does not conform and cannot be purchased in that
condition.
(18) This Directive defines only the essential health and safety
requirements of general application, supplemented by a
number of more specific requirements for certain cate-
gories of machinery. In order to help manufacturers to
prove conformity to these essential requirements, and to
allow inspection of conformity to the essential require-
ments, it is desirable to have standards that are harmo-
nised at Community level for the prevention of risks
arising out of the design and construction of machinery.
These standards are drawn up by private-law bodies and
should retain their non-binding status.
(19) In view of the nature of the risks involved in the use of
machinery covered by this Directive, procedures for
assessing conformity to the essential health and safety
requirements should be established. These procedures
should be devised in the light of the extent of the danger
inherent in such machinery. Consequently, each category
of machinery should have its appropriate procedure in
conformity with Council Decision 93/465/EEC of 22 July
1993 concerning the modules for the various phases of
the conformity assessment procedures and the rules for
the affixing and use of the CE conformity marking,
which are intended to be used in the technical harmoni-
sation directives (
2
), taking account of the nature of the
verification required for such machinery.
9.6.2006 L 157/25Official Journal of the European Union
EN
(
1
) OJ L 171, 9.7.2003, p. 1. Directive as last amended by Commission
Directive 2005/67/EC (OJ L 273, 19.10.2005, p. 17).
(
2
) OJ L 220, 30.8.1993, p. 23.
Copyright European Union/Commission Legislative Documents
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(20) Manufacturers should retain full responsibility for certi-
fying the conformity of their machinery to the provi-
sions of this Directive. Nevertheless, for certain types of
machinery having a higher risk factor, a stricter certifica-
tion procedure is desirable.
(21) The CE marking should be fully recognised as being the
only marking which guarantees that machinery
conforms to the requirements of this Directive. All other
markings which are likely to mislead third parties as to
the meaning or the form of the CE marking, or both,
should be prohibited.
(22) In order to ensure the same quality for the CE marking
and the manufacturer's mark, it is important that they be
affixed according to the same techniques. In order to
avoid confusion between any CE markings which might
appear on certain components and the CE marking
corresponding to the machinery, it is important that the
latter marking be affixed alongside the name of the
person who has taken responsibility for it, namely the
manufacturer or his authorised representative.
(23) The manufacturer or his authorised representative
should also ensure that a risk assessment is carried out
for the machinery which he wishes to place on the
market. For this purpose, he should determine which are
the essential health and safety requirements applicable to
his machinery and in respect of which he must take
measures.
(24) It is essential that, before drawing up the EC declaration
of conformity, the manufacturer or his authorised repre-
sentative established in the Community should prepare a
technical construction file. However, it is not essential
that all documentation should be permanently available
in material form, but it must be possible to make it
available on request. It need not include detailed plans of
subassemblies used for the manufacture of machinery,
unless knowledge of such plans is essential in order to
ascertain conformity with the essential health and safety
requirements.
(25) The addressees of any decision taken under this Directive
should be informed of the reasons for such a decision
and of the legal remedies open to them.
(26) Member States should provide for penalties applicable to
infringements of the provisions of this Directive. Those
penalties should be effective, proportionate
and dissuasive.
(27) The application of this Directive to a number of
machines intended for lifting persons requires a better
delimitation of the products covered by this Directive
with respect to those covered by Directive 95/16/EC of
the European Parliament and of the Council of 29 June
1995 on the approximation of the laws of the Member
States relating to lifts (
1
). A redefinition of the scope of
the latter Directive is thus deemed necessary. Direc-
tive 95/16/EC should therefore be amended accordingly.
(28) Since the objective of this Directive, namely, to lay
down the essential health and safety requirements in
relation to design and manufacture in order to improve
the safety of machinery placed on the market, cannot be
sufficiently achieved by the Member States and can be
better achieved at Community level, the Community
may adopt measures, in accordance with the principle of
subsidiarity as set out in Article 5 of the Treaty. In
accordance with the principle of proportionality, as set
out in that Article, this Directive does not go beyond
what is necessary in order to achieve that objective.
(29) In accordance with point 34 of the Interinstitutional
Agreement on better law-making (
2
), Member States are
encouraged to draw up, for themselves and in the inter-
ests of the Community, their own tables illustrating, as
far as possible, the correlation between this Directive
and the transposition measures, and to make them
public.
(30) The measures necessary for the implementation of this
Directive should be adopted in accordance with Council
Decision 1999/468/EC of 28 June 1999 laying down
the procedures for the exercise of implementing powers
conferred on the Commission (
3
),
HAS ADOPTED THIS DIRECTIVE:
Article 1
Scope
1. This Directive applies to the following products:
(a) machinery;
(b) interchangeable equipment;
(c) safety components;
(d) lifting accessories;
(e) chains, ropes and webbing;
(f) removable mechanical transmission devices;
(g) partly completed machinery.
9.6.2006L 157/26 Official Journal of the European Union
EN
(
1
) OJ L 213, 7.9.1995, p. 1. Directive as amended by Regulation (EC)
No 1882/2003 (OJ L 284, 31.10.2003, p. 1).
(
2
) OJ C 321, 31.12.2003, p. 1.
(
3
) OJ L 184, 17.7.1999, p. 23.
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2. The following are excluded from the scope of this Direc-
tive:
(a) safety components intended to be used as spare parts to
replace identical components and supplied by the manufac-
turer of the original machinery;
(b) specific equipment for use in fairgrounds and/or amuse-
ment parks;
(c) machinery specially designed or put into service for nuclear
purposes which, in the event of failure, may result in an
emission of radioactivity;
(d) weapons, including firearms;
(e) the following means of transport:
— agricultural and forestry tractors for the risks covered
by Directive 2003/37/EC, with the exclusion of
machinery mounted on these vehicles,
— motor vehicles and their trailers covered by Council
Directive 70/156/EEC of 6 February 1970 on the
approximation of the laws of the Member States
relating to the type-approval of motor vehicles and
their trailers (
1
), with the exclusion of machinery
mounted on these vehicles,
— vehicles covered by Directive 2002/24/EC of the Euro-
pean Parliament and of the Council of 18 March 2002
relating to the type-approval of two or three-wheel
motor vehicles (
2
), with the exclusion of machinery
mounted on these vehicles,
— motor vehicles exclusively intended for competition,
and
— means of transport by air, on water and on rail
networks with the exclusion of machinery mounted on
these means of transport;
(f) seagoing vessels and mobile offshore units and machinery
installed on board such vessels and/or units;
(g) machinery specially designed and constructed for military
or police purposes;
(h) machinery specially designed and constructed for research
purposes for temporary use in laboratories;
(i) mine winding gear;
(j) machinery intended to move performers during artistic
performances;
(k) electrical and electronic products falling within the
following areas, insofar as they are covered by Council
Directive 73/23/EEC of 19 February 1973 on the harmoni-
sation of the laws of Member States relating to electrical
equipment designed for use within certain voltage limits (
3
):
— household appliances intended for domestic use,
— audio and video equipment,
— information technology equipment,
— ordinary office machinery,
— low-voltage switchgear and control gear,
— electric motors;
(l) the following types of high-voltage electrical equipment:
— switch gear and control gear,
— transformers.
Article 2
Definitions
For the purposes of this Directive, ‘machinery’ designates the
products listed in Article 1(1)(a) to (f).
The following definitions shall apply:
(a) ‘machinery’ means:
— an assembly, fitted with or intended to be fitted with a
drive system other than directly applied human or
animal effort, consisting of linked parts or components,
at least one of which moves, and which are joined
together for a specific application,
— an assembly referred to in the first indent, missing only
the components to connect it on site or to sources of
energy and motion,
— an assembly referred to in the first and second indents,
ready to be installed and able to function as it stands
only if mounted on a means of transport, or installed in
a building or a structure,
— assemblies of machinery referred to in the first, second
and third indents or partly completed machinery
referred to in point (g) which, in order to achieve the
same end, are arranged and controlled so that they
function as an integral whole,
— an assembly of linked parts or components, at least one
of which moves and which are joined together,
intended for lifting loads and whose only power source
is directly applied human effort;
9.6.2006 L 157/27Official Journal of the European Union
EN
(
1
) OJ L 42, 23.2.1970, p. 1. Directive as last amended by Commission
Directive 2006/28/EC (OJ L 65, 7.3.2006, p. 27).
(
2
) OJ L 124, 9.5.2002, p. 1. Directive as last amended by Commission
Directive 2005/30/EC (OJ L 106, 27.4.2005, p. 17).
(
3
) OJ L 77, 26.3.1973, p. 29. Directive as amended by Directive 93/
68/EEC (OJ L 220, 30.8.1993, p. 1).
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(b) ‘interchangeable equipment’ means a device which, after
the putting into service of machinery or of a tractor, is
assembled with that machinery or tractor by the operator
himself in order to change its function or attribute a new
function, in so far as this equipment is not a tool;
(c) ‘safety component’ means a component:
— which serves to fulfil a safety function,
— which is independently placed on the market,
— the failure and/or malfunction of which endangers the
safety of persons, and
— which is not necessary in order for the machinery to
function, or for which normal components may be
substituted in order for the machinery to function.
An indicative list of safety components is set out in
Annex V, which may be updated in accordance with
Article 8(1)(a);
(d) ‘lifting accessory’ means a component or equipment not
attached to the lifting machinery, allowing the load to be
held, which is placed between the machinery and the load
or on the load itself, or which is intended to constitute an
integral part of the load and which is independently placed
on the market; slings and their components are also
regarded as lifting accessories;
(e) ‘chains, ropes and webbing’ means chains, ropes and
webbing designed and constructed for lifting purposes as
part of lifting machinery or lifting accessories;
(f) ‘removable mechanical transmission device’ means a remo-
vable component for transmitting power between self-
propelled machinery or a tractor and another machine by
joining them at the first fixed bearing. When it is placed on
the market with the guard it shall be regarded as one
product;
(g) ‘partly completed machinery’ means an assembly which is
almost machinery but which cannot in itself perform a
specific application. A drive system is partly completed
machinery. Partly completed machinery is only intended to
be incorporated into or assembled with other machinery or
other partly completed machinery or equipment, thereby
forming machinery to which this Directive applies;
(h) ‘placing on the market’ means making available for the first
time in the Community machinery or partly completed
machinery with a view to distribution or use, whether for
reward or free of charge;
(i) ‘manufacturer’ means any natural or legal person who
designs and/or manufactures machinery or partly
completed machinery covered by this Directive and is
responsible for the conformity of the machinery or the
partly completed machinery with this Directive with a view
to its being placed on the market, under his own name or
trademark or for his own use. In the absence of a manufac-
turer as defined above, any natural or legal person who
places on the market or puts into service machinery or
partly completed machinery covered by this Directive shall
be considered a manufacturer;
(j) ‘authorised representative’ means any natural or legal
person established in the Community who has received a
written mandate from the manufacturer to perform on his
behalf all or part of the obligations and formalities
connected with this Directive;
(k) ‘putting into service’ means the first use, for its intended
purpose, in the Community, of machinery covered by this
Directive;
(l) ‘harmonised standard’ means a non-binding technical speci-
fication adopted by a standardisation body, namely the
European Committee for Standardisation (CEN), the Euro-
pean Committee for Electrotechnical Standardisation
(CENELEC) or the European Telecommunications Standards
Institute (ETSI), on the basis of a remit issued by the
Commission in accordance with the procedures laid down
in Directive 98/34/EC of the European Parliament and of
the Council of 22 June 1998 laying down a procedure for
the provision of information in the field of technical stan-
dards and regulations and of rules on Information Society
services (
1
).
Article 3
Specific Directives
Where, for machinery, the hazards referred to in Annex I are
wholly or partly covered more specifically by other Community
Directives, this Directive shall not apply, or shall cease to
apply, to that machinery in respect of such hazards from the
date of implementation of those other Directives.
Article 4
Market surveillance
1. Member States shall take all appropriate measures to
ensure that machinery may be placed on the market and/or put
into service only if it satisfies the relevant provisions of this
Directive and does not endanger the health and safety of
persons and, where appropriate, domestic animals or property,
when properly installed and maintained and used for its
intended purpose or under conditions which can reasonably be
foreseen.
9.6.2006L 157/28 Official Journal of the European Union
EN
(
1
) OJ L 204, 21.7.1998, p. 37. Directive as last amended by the 2003
Act of Accession.
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Provided by IHS under license with EC
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