Chapter 4

Approval for serially manufactured engines: Engine Family and Engine Group concepts

General

• • 1. To avoid certification testing of every engine for compliance with the NOx emission limits, one of two approval concepts may be adopted, namely the Engine Family or the Engine Group concept.
    2. The Engine Family concept may be applied to any series produced engines which, through their design are proven to have similar NOx emission characteristics, are used as produced, and, during installation on board, require no adjustments or modifications which could adversely affect the NOx emissions.
    3. The Engine Group concept may be applied to a smaller series of engines produced for similar engine application and which require minor adjustments and modifications during installation or in service on board.
    4. Initially the engine manufacturer may, at its discretion, determine whethe r engines should be covered by the Engine Family or Engine Group concept. In general, the type of application shall be based on whether the engines will be modified, and to what extent, after testing on a test bed.

Documentation

• • 1. All documentation for certification must be completed and suitably stamped by the duly authorized Authority as appropriate. This documentation shall also include all terms and conditions, including replacement of spare parts, to ensure that an engine is maintained in compliance with the applicable NOx emission limit.
    2. For an engine within an Engine Family or Engine Group, the required documentation for the Engine Parameter Check method is specified in 6.2.2.

Application of the Engine Family concept

• • 1. The Engine Family concept provides the possibility of reducing the number of engines which must be submitted for approval testing, while providing safeguards that all engines within the Engine Family comply with the approval requirements. In the Engine Family concept, engines with similar emission characteristics and design are represented by a Parent Engine.
    2. Engines that are series produced and not intended to be modified may be covered by the Engine Family concept.
    3. The selection procedure for the Parent Engine is such that the selected engine incorporates those features which will most adversely affect the NOx emission level. This engine, in general, shall have the highest NOx emission level among all of the engines in the Engine Family.
    4. On the basis of tests and engineering judgement, the manufacturer shall propose which engines belong to an Engine Family, which engine(s) produce the highest NOx emissions, and which engine(s) should be selected for certification testing.
    5. The Administration shall review for certification approval the selection of the Parent Engine within the Engine Family and shall have the option of selecting a different engine, either for approval or production conformity testing, in order to have confidence that all engines within the Engine Family comply with the applicable NOx emission limit.
    6. The Engine Family concept does allow minor adjustments to the engines through adjustable features. Marine diesel engines equipped with adjustable features must comply with all requirements for any adjustment within the physically available range. A feature is not considered adjustable if it is permanently sealed or otherwise not normally accessible. The Administration may require that adjustable features be set to any specification within its adjustable range for certification or in- use testing to determine compliance with the requirements.
    7. Before granting an Engine Family approval, the Administration shall take the necessary measures to verify that adequate arrangements have been made to ensure effective control of the conformity of production. This may include, but is not limited to:
       1. the connection between the NOx critical component part or identification numbers as proposed for the Engine Family and the drawing numbers (and revision status if applicable) defining those components;
       2. the means by which the Administration will be able, at the time of a survey, to verify that the drawings used for the production of the NOx critical components correspond to the drawings established as defining the Engine Family;
       3. drawing revision control arrangements. Where it is proposed by a manufacturer that revisions to the NOx critical component drawings defining an Engine Family may be undertaken through the life of an engine, then the conformity of production scheme would need to demonstrate the procedures to be adopted to cover the cases where revisions will, or will not, affect NOx emissions. These procedures shall cover drawing number allocation, effect on the identification markings on the NOx critical components and the provision for providing the revised drawings to the Administration responsible for the original Engine Family approval, where these revisions may affect the NOx emissions the means to be adopted to assess or verify performance against the Parent Engine performance are to be stated together with the subsequent actions to be taken regarding advising the Administration and, where necessary, the declaration of a new Parent Engine prior to the introduction of those modifications into service;
       4. the implemented procedures that ensure any NOx critical component spare parts supplied to a certified engine will be identified as given in the approved Technical File and hence will be produced in accordance wit h the drawings as defining the Engine Family; or
       5. equivalent arrangements as approved by the Administration.
    8. Guidance for the selection of an Engine Family
       1. The Engine Family shall be defined by ba

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          Chapter 4

          Approval for serially manufactured engines: Engine Family and Engine Group concepts

          • 1. General

          4.1.1 To avoid certification testing of every engine for compliance with the NOx emission limits, one of two approval concepts may be adopted, namely the Engine Family or the Engine Group concept.

          4.1.2 The Engine Family concept may be applied to any series produced engines which, through their design are proven to have similar NOx emission characteristics, are used as produced, and, during installation on board, require no adjustments or modifications which could adversely affect the NOx emissions.

          4.1.3 The Engine Group concept may be applied to a smaller series of engines produced for similar engine application and which require minor adjustments and modifications during installation or in service on board.

          4.1.4 Initially the engine manufacturer may, at its discretion, determine whethe r engines should be covered by the Engine Family or Engine Group concept. In general, the type of application shall be based on whether the engines will be modified, and to what extent, after testing on a test bed.

          4.2 Documentation

          4.2.1 All documentation for certification must be completed and suitably stamped by the duly authorized Authority as appropriate. This documentation shall also include all terms and conditions, including replacement of spare parts, to ensure that an engine is maintained in compliance with the applicable NOx emission limit.

          4.2.2 For an engine within an Engine Family or Engine Group, the required documentation for the Engine Parameter Check method is specified in 6.2.2.

          第四章

          连续制造发动机的批准：发动机系列和发动机组概念

          4.1 总则

          4.1.1为避免每台发动机符合NOx排放限值的认证测试，可采用两种认可概念之一，即发动机系列或发动机组概念。

          4.1.2发动机系列概念可适用于任何批量生产的发动机，通过其设计证明具有相似的NOx排放特性，并按生产使用，并且在船上安装时，不需要任何可能不利影响的调整或修改 NOx排放。

          4.1.3发动机组概念可应用于为类似发动机应用而生产的较小系列发动机，并且在安装或在船上使用期间需要进行微小的调整和修改。

          4.1.4最初，发动机制造商可以自行决定，发动机应由发动机系列还是发动机组概念涵盖。 一般来说，应用的类型应基于发动机是否将在试验台上进行测试后进行修改，以及在多大程度上。

          4.2文件

          4.2.1所有认证文件必须填写并由适当授权的机构适当盖章。 本文件还应包括所有条款和条件，包括更换备件，以确保发动机保持符合适用的NOx排放限值。

          4.2.2对于发动机系列或发动机组内的发动机，发动机参数检查方法所需的文件在6.2.2中规定。

          4.3 Application of the Engine Family concept

          4.3.1 The Engine Family concept provides the possibility of reducing the number of engines which must be submitted for approval testing, while providing safeguards that all engines within the Engine Family comply with the approval requirements. In the Engine Family concept, engines with similar emission characteristics and design are represented by a Parent Engine.

          4.3.2 Engines that are series produced and not intended to be modified may be covered by the Engine Family concept.

          4.3.3 The selection procedure for the Parent Engine is such that the selected engine incorporates those features which will most adversely affect the NOx emission level. This engine, in general, shall have the highest NOx emission level among all of the engines in the Engine Family.

          4.3.4 On the basis of tests and engineering judgement, the manufacturer shall propose which engines belong to an Engine Family, which engine(s) produce the highest NOx emissions, and which engine(s) should be selected for certification testing.

          4.3.5 The Administration shall review for certification approval the selection of the Parent Engine within the Engine Family and shall have the option of selecting a different engine, either for approval or production conformity testing, in order to have confidence that all engines within the Engine Family comply with the applicable NOx emission limit.

          4.3.6 The Engine Family concept does allow minor adjustments to the engines through adjustable features. Marine diesel engines equipped with adjustable features must comply with all requirements for any adjustment within the physically available range. A feature is not considered adjustable if it is permanently sealed or otherwise not normally accessible. The Administration may require that adjustable features be set to any specification within its adjustable

          4.3 发动机系列概念的应用

          4.3.1 发动机系列概念提供了减少必须提交用于认可测试的发动机数量的可能性，同时提供了保护发动机系列内的所有发动机符合批准要求的保护措施。 在发动机族概念，具有相似排放特点和设计的发动机是由原型机为代表。

          4.3.2 发动机系列产品且不打算修改的发动机可以由发动机系列概念涵盖。

          4.3.3 原型发动机的选择程序是这样的，即所选择的发动机包括将对NOx排放水平产生最不利影响的那些特征。 这种发动机通常在发动机系列的所有发动机中具有最高的NOx排放水平。

          4.3.4 测试和工程判断的基础上，制造商应提出其发动机属于一个发动机系列，该款发动机（S）产生最高的NOx排放，以及发动机（S）应选择认证测试。

          4.3.5 主管机关应审查发动机系列内的原发动机的选择，并应选择不同的发动机进行认证批准或选择生产一致性测试，以确保发动机内的所有发动机 家庭符合适用的NOx排放限值。

          4.3.6 发动机系列概念允许通过可调节的特征对发动机进行微调。 配备可调节特性的船用柴油发动机必须符合在物理可用范围内的任何调整的所有要求。 如果特征被永久密封或者不能正常访问，则不被认为是可调节的。 主管机关可能要求将可调特性设置为其可调范围内的任何规格，以进行认证或使用测试，以确定是否符合要求。

          range for certification or in- use testing to determine compliance with the requirements.

          4.3.7 Before granting an Engine Family approval, the Administration shall take the necessary measures to verify that adequate arrangements have been made to ensure effective control of the conformity of production. This may include, but is not limited to:

          .1 the connection between the NOx critical component part or identification numbers as proposed for the Engine Family and the drawing numbers (and revision status if applicable) defining those components;

          .2 the means by which the Administration will be able, at the time of a survey, to verify that the drawings used for the production of the NOx critical components correspond to the drawings established as defining the Engine Family;

          .3 drawing revision control arrangements. Where it is proposed by a manufacturer that revisions to the NOx critical component drawings defining an Engine Family may be undertaken through the life of an engine, then the conformity of production scheme would need to demons

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