ANNEX IXSupplementary provisions
ANNEX IX Parameters for the definition of engine types and engine families, and their operation modes 1. Engine type The technical features of an engine type shall be those defined in its information document drafted in accordance with the template set out in Annex I. 1.1. Operating mode (speed operation) An engine type may be EU type-approved as a constant speed engine or as a variable speed engine, as defined in Articles 3(21) and 3(22) of Regulation (EU) 2016/1628. 1.1.1. Variable speed engines 1.1.1.1. In the case that, as allowed by Article 4(2) of Regulation (EU) 2016/1628, a variable-speed engine of a particular category is used in place of a constant-speed engine of the same category, the parent engine (for the purposes of EU type-approval) and all engine types within the engine family (for the purposes of conformity of production), shall be tested using the applicable variable speed NRSC and additionally, where required by Article 24(9) or Article 24(10) of Regulation (EU) 2016/1628, the applicable transient cycle. As set out in Article 24(5) of Regulation (EU) 2016/1628, except in the case of engines of category IWP, a variable speed engine of a particular category used in a constant speed operation of the same category need not be additionally tested using the applicable constant speed NRSC. 1.1.1.2. Variable speed engines of category IWP for use in one or more other inland waterway applications In the case that a variable speed engine of category IWP is to be placed on the market for use in one or more other inland waterway application as permitted by Article 4 (2) of Regulation (EU) 2016/1628 (constant speed IWP) and Article 4 (1)(5)(b) of Regulation (EU) 2016/1628 (variable or constant speed IWA) the requirements of this paragraph shall additionally be met. 1.1.1.2.1. In the case that the engine type is the parent engine, in order to comply with Articles 24(5), 24(7) and 24(8) of Regulation (EU) 2016/1628 the engine shall, in addition to meeting the applicable limit values when tested on the E3 NRSC, also meet the applicable limit values when tested on each additional applicable NRSC (E2/C1/D2). Separate test reports shall be produced and included in the information package for each NRSC. 1.1.1.2.2. In the case of all engine types within the engine family, when subject to a conformity of production emissions test the engine shall, in addition to meeting the applicable limit values when tested on the E3 NRSC, also meet the applicable limit values when tested on each applicable constant speed NRSC. 1.1.1.2.3. Entry 3.4.3 of Appendix 3 of Annex I shall indicate each NRSC applicable for the engine type, together with the corresponding engine speeds. 1.1.1.2.4. The instructions to the OEM set out in Annex XIV to Delegated Regulation (EU) 2017/654 shall set out each category and operating mode (speed operation) for which the engine may be installed. 1.1.2. Constant speed engines 1.1.2.1. The constant speed governor function shall be engaged during constant speed operation. The governors of constant speed engines may not be required to continuously maintain speed exactly constant. The speed may decrease below the speed at zero load, so that the minimum speed occurs near the engine's point of maximum power. This is typically in the region of 0,1 to 10 per cent. 1.1.2.2. In the case that the engine type is equipped with an idle speed for start-up and shut-down as permitted by Article 3(21) of Regulation (EU) 2016/1628 the engine shall be installed in a manner to ensure that the constant speed governor function is engaged prior to increasing the load-demand to the engine from the no-load setting. 1.1.2.3. Constant speed engine types equipped with alternative speeds A constant speed engine shall not be designed to operate with variable speed. In the case that the engine type is equipped with alternative speeds as permitted by Article 3(21) of Regulation (EU) 2016/1628 the requirements of this paragraph shall additionally be met. 1.1.2.3.1. In the case that the engine type is the parent engine, in order to comply with Articles 24(5) and 24(6) of Regulation (EU) 2016/1628 the engine shall meet the applicable limit values when tested using the applicable NRSC test cycle at each constant speed applicable to the engine type. Separate test reports shall be produced and included in the information package for each NRSC. 1.1.2.3.2. In the case of all engine types within the engine family, when subject to a conformity of production emissions test the engine shall meet the applicable limit values using the applicable NRSC test cycle at each constant speed applicable to the engine type. 1.1.2.3.3. Each constant speed applicable to the engine type that is permitted by the manufacturer shall be listed in Section 3.2.1 of Appendix 3 to Annex I. 1.1.2.3.4. The engine shall be installed in a manner to ensure that: (a) the engine is stopped prior to resetting the constant speed governor to an alternative speed; and, (b) the constant speed governor is only set to the alternative speeds permitted by the engine manufacturer. 1.1.2.3.5. The instructions to the OEM and end-users set out in Annexes XIV and XV to Delegated Regulation (EU) 2017/654 shall include information on the correct installation and operation of the engine according to the requirements of paragraphs 1.1.2.2 and 1.1.2.3. 1.1.2.4. Constant speed engines of category IWP for use in place of a constant speed engine of category IWA In the case that a constant speed engine of category IWP is to be placed on the market for use in place of a constant speed engine of category IWA as permitted by Article 4 (1)(5)(b) of Regulation (EU) 2016/1628 the requirements of this paragraph shall additionally be met. 1.1.2.4.1. In the case that the engine type is the parent engine, in order to comply with Articles 24(5) and 24(8) of Regulation (EU) 2016/1628 the engine shall, in addition to meeting the applicable limit values when tested on the E2 NRSC, also meet the applicable limit values when tested on the D2 NRSC. Separate test reports shall be produced and included in the information package for each NRSC. 1.1.2.4.2. In the case of all engine types within the engine family, when subject to a conformity of production emissions test the engine shall, in addition to meeting the applicable limit values when tested on the E2 NRSC, also meet the applicable limit values when tested on the D2 NRSC. 1.1.2.4.3. Section 3.4.3 of Appendix 3 to Annex I shall indicate each NRSC applicable for the engine type, together with the corresponding engine speeds. 1.1.2.4.4. The instructions to the OEMs set out in Annex XIV to Delegated Regulation (EU) 2017/654 shall set out each category and operating mode (speed operation) for which the engine may be installed. 2. Engine family criteria 2.1. General An engine family is characterised by design parameters. These shall be common to all engines within the engine family. The engine manufacturer may decide, which engines belong to an engine family, as long as the membership criteria listed in paragraph 2.4 are respected. The engine family shall be approved by the approval authority. The manufacturer shall provide to the approval authority the appropriate information relating to the emissions levels of the members of the engine family. 2.2. Engine categories, operating mode (speed operation) and power range 2.2.1. An engine family shall only comprise engine types within the same engine category as set out in Article 4 (1) of Regulation (EU) 2016/1628. 2.2.2. The engine family shall comprise only engine types of the same speed operation as set out in Annex I to Regulation (EU) 2016/1628. 2.2.3. Engine families covering more than one power range 2.2.3.1. An engine family may cover more than one power range for the same speed operation within the same engine (sub-)category. Consistent with Article 18(2) of Regulation (EU) 2016/1628, in this case the parent engine (for the purposes of EU type-approval) and all engine types within the same engine family (for the purposes of conformity of production) shall, with respect to the applicable power ranges: — meet the most stringent emissions limit values; — be tested using the test cycles that correspond to the most stringent emissions limit values; — be subject to the earliest applicable dates for EU type-approval and placing on the market set out in Annex III to Regulation (EU) 2016/1628. In order to maintain, when the engine is installed in the non-road mobile machinery, the principle of Article 18(2) of Regulation (EU) 2016/1628, the instructions for OEMs set out in Annex XIV to Delegated Regulation (EU) 2017/654 shall include the statement that the installation shall not permanently constrain an engine to only deliver power within the power range of a sub-category with a more stringent emissions limit than the sub-category in which the engine is type-approved. 2.2.3.2. For the purpose of allocating a EU type-approval sub-category to an engine family covering more than one power range the manufacturer and approval authority shall decide the sub-category that most closely reflects the criteria in paragraph 2.2.3.1. 2.3. Special cases 2.3.1. Interactions between parameters In some cases there may be interaction between parameters, which may cause emissions to change. This shall be taken into consideration to ensure that only engines with similar exhaust emissions characteristics are included within the same engine family. These cases shall be identified by the manufacturer and notified to the approval authority. It shall then be taken into account as a criterion for creating a new engine family. 2.3.2. Devices or features having a strong influence on emissions In case of devices or features, which are not listed in paragraph 2.4 and which have a strong influence on the level of emissions, this equipment shall be identified by the manufacturer using good engineering judgment, and shall be notified to the approval authority. It shall then be taken into account as a criterion for creating a new engine family. 2.3.3. Additional criteria In addition to the parameters listed in paragraph 2.4, the manufacturer may introduce additional criteria allowing the definition of families of more restricted size. These parameters are not necessarily parameters that have an influence on the level of emissions. 2.4. Parameters defining the engine family 2.4.1. Combustion cycle (a) 2-stroke cycle; (b) 4-stroke cycle; (c) Rotary engine; (d) Others. 2.4.2. Configuration of the cylinders 2.4.2.1. Position of the cylinders in the block (a) Single (b) V; (c) In-line; (d) Opposed; (e) Radial; (f) Others (F, W, etc.). 2.4.2.2. Relative position of the cylinders Engines with the same block may belong to the same engine family as long as their bore centre-to-centre dimensions are the same. 2.4.3. Main cooling medium (a) Air; (b) Water; (c) Oil. 2.4.4. Individual cylinder displacement 2.4.4.1. Engine with a unit cylinder displacement ≥ 0,75 dm 3 In order for engines with a unit cylinder displacement of ≥ 0,75 dm 3 to be considered to belong to the same engine family, the spread of their individual cylinder displacements shall not exceed 15 per cent of the largest individual cylinder displacement within the engine family. 2.4.4.2. Engine with a unit cylinder displacement < 0,75 dm 3 In order for engines with a unit cylinder displacement of < 0,75 dm 3 to be considered to belong to the same engine family, the spread of their individual cylinder displacements shall not exceed 30 per cent of the largest individual cylinder displacement within the engine family. 2.4.4.3. Engine with other unit cylinder displacement limits Engines with an individual cylinder displacement that exceeds the limits defined in paragraphs 2.3.4.1 and 2.3.4.2 may be considered to belong to the same engine family with the approval of the approval authority. The approval shall be based on technical elements (calculations, simulations, experimental results etc.) showing that exceeding the limits does not have a significant influence on the exhaust emissions. 2.4.5. Method of air aspiration (a) Naturally aspirated; (b) Pressure charged; (c) Pressure charged with charge cooler. 2.4.6. Fuel type (a) Diesel (non-road gas-oil); (b) Ethanol for dedicated compression ignition engines (ED95); (c) Petrol (E10); (d) Ethanol (E85). (e) Natural gas/Biomethane: (1) Universal fuel — high calorific fuel (H-gas) and low calorific fuel (L-gas); (2) Restricted fuel — high calorific fuel (H-gas); (3) Restricted fuel — low calorific fuel (L-gas); (4) Fuel specific (LNG); (f) Liquid Petroleum Gas (LPG); 2.4.7. Fuelling arrangement (a) Liquid-fuel only; (b) Gaseous-fuel only; (c) Dual-fuel type 1A; (d) Dual-fuel type 1B; (e) Dual-fuel type 2A; (f) Dual-fuel type 2B; (g) Dual-fuel type 3B. 2.4.8. Combustion chamber type/design (a) Open chamber; (b) Divided chamber; (c) Other types. 2.4.9. Ignition Type (a) Spark ignition; (b) Compression ignition. 2.4.10. Valves and porting (a) Configuration; (b) Number of valves per cylinder. 2.4.11. Fuel supply type (a) Pump, (high pressure) line and injector; (b) In-line pump or distributor pump; (c) Unit injector; (d) Common rail; (e) Carburettor; (f) Port injector; (g) Direct injector; (h) Mixing unit; (i) Other. 2.4.12. Miscellaneous devices (a) Exhaust gas recirculation (EGR); (b) Water injection; (c) Air injection; (d) Others. 2.4.13. Electronic control strategy The presence or absence of an ECU on the engine is regarded as a basic parameter of the engine family. In the case of electronically controlled engines, the manufacturer shall present the technical elements explaining the grouping of these engines in the same engine family, i.e. the reasons why these engines can be expected to satisfy the same emissions requirements. The electronic governing of speed does not need to be in a different engine family from those with mechanical governing. The need to separate electronic engines from mechanical engines should only apply to the fuel injection characteristics, such as timing, pressure, rate shape, etc. 2.4.14. Exhaust after-treatment systems The function and combination of the following devices are regarded as membership criteria for an engine family: (a) Oxidation catalyst; (b) DeNO x system with selective reduction of NO x (addition of reducing agent); (c) Other DeNO x systems; (d) Particulate after-treatment system with passive regeneration: (1) wall-flow, (2) non-wall-flow; (e) Particulate after-treatment system with active regeneration: (1) wall-flow, (2) non-wall-flow; (f) Other particulate after-treatment systems; (g) Other devices. When an engine has been certified without exhaust after-treatment system, whether as parent engine or as member of the engine family, then this engine, when equipped with an oxidation catalyst (not with particulate after-treatment system), may be included in the same engine family, if it does not require different fuel characteristics. If it requires specific fuel characteristics (e.g. particulate after-treatment systems requiring special additives in the fuel to ensure the regeneration process), the decision to include it in the same engine family shall be based on technical elements provided by the manufacturer. These elements shall indicate that the expected emissions level of the equipped engine complies with the same limit value as the non-equipped engine. When an engine has been certified with exhaust after-treatment system, whether as parent engine or as member of an engine family, whose parent engine is equipped with the same exhaust after-treatment system, then this engine, when equipped without exhaust after-treatment system, shall not be added to the same engine family. 2.4.15. Dual-fuel engines All engine types within a dual-fuel engine family shall belong to the same type of dual-fuel engines defined in section 2 (for example type 1A, type 2B, etc.), and operate with the same types of fuel or when appropriate with fuels declared according to this Regulation as being of the same range(s). In addition to belonging to the same dual fuel type, they shall have a maximum gas energy ratio on the applicable test cycle (GER cycle ) within the range 70 to 100 per cent of that of the engine type with the highest GER cycle . 2.4.16. Intake air temperature for engines of category NRS < 19 kW: (a) consisting of engine types to be used in snow throwers: engines shall be tested with intake air temperature between 0 °C and – 5 °C; (b) Not exclusively consisting of engine types to be used in snow throwers: engines shall be tested with intake temperature 25 ± 5 °C. 2.4.17. Emissions Durability Period (EDP) Category In case of engine categories in Table V-3 or V-4 of Annex V to Regulation (EU) 2016/1628 that have alternative values for EDP, the EDP category declared by the manufacturer: (a) Cat 1 (Consumer products); (b) Cat 2 (Semi-professional products); (c) Cat 3 (Professional products). 3. Choice of the parent engine 3.1. General 3.1.1. Once the engine family has been agreed by the approval authority, the parent engine of the engine family shall be selected using the primary criterion of the highest fuel delivery per stroke per cylinder at the declared maximum torque speed. In the event that two or more engines share this primary criterion, the parent engine shall be selected using the secondary criterion of highest fuel delivery per stroke at rated speed. 3.1.2. The approval authority may conclude that the worst-case emissions rate of the engine family can best be characterised by testing an alternative or an additional engine. In this case, the parties involved shall have the appropriate information to determine the engines within the engine family likely to have the highest emissions level. 3.1.3. If engines within the engine family incorporate other variable features which may be considered to affect exhaust emissions, these features shall also be identified and taken into account in the selection of the parent engine. 3.1.4. If engines within the engine family meet the same emissions values over different emissions durability periods, this shall be taken into account in the selection of the parent engine. 3.2. Special cases 3.2.1. In order to select the parent engine in the case of any variable speed engine family of category IWP containing one or more engine types to be placed on the market for other inland waterway applications in accordance with paragraph 1.1.1.2, the requirements of paragraph 3.1.1 shall be applied based upon the E3 NRSC. The evaluation of the requirements of paragraphs 3.1.2, 3.1.3 and 3.1.4 shall consider all NRSC for which an engine type is being type-approved. 3.2.2. In order to select the parent engine in the case of any constant speed engine family containing one or more engine types with alternative constant speeds as set out in paragraph 1.1.2.3, the evaluation of the requirements of paragraph 3.1 shall be applied to each constant speed of each engine type. 3.2.3. In order to select the parent engine in the case of any constant speed engine family of category IWP containing one or more engine types to be placed on the market for constant speed IWA applications in accordance with paragraph 1.1.2.4, the requirements of paragraph 3.1.1 shall be applied based upon the E2 NRSC. The evaluation of the requirements of paragraphs 3.1.2, 3.1.3 and 3.1.4 shall consider all NRSC for which an engine type is being type-approved.