International Convention for the Prevention of Pollution from Ships, 1973:Annex VI Regulations for the Prevention of Air Pollution from Ships

International Convention for the Prevention of Pollution from Ships, 1973

Annex VI Regulations for the Prevention of Air Pollution from Ships

Geldend

Documentgegevens:

Geldend van 01-05-2024 tot 01-08-2025

Redactionele toelichting: Deze bijlage is nog niet voor alle partijen in werking getreden. Zie voor de partijgegevens het Protocol van 26-09-1997, Trb. 2002, 192. De aanhangsels zijn niet opgenomen. Aanhangsels V en IX zijn gewijzigd.
Bronpublicatie:: 16-12-2022, Trb. 2023, 101 (uitgifte: 24-08-2023, regelingnummer: MEPC.361(79)); 16-12-2022, Trb. 2023, 101 (uitgifte: 24-08-2023, regelingnummer: MEPC.362(79))
Inwerkingtreding: 01-05-2024
Bronpublicatie inwerkingtreding:: 10-05-2024, Trb. 2024, 53 (uitgifte: 10-05-2024, kamerstukken/regelingnummer: -); 10-05-2024, Trb. 2024, 53 (uitgifte: 10-05-2024, kamerstukken/regelingnummer: -)
Vakgebied(en): Waterrecht (V)
Vervoersrecht / Zeevervoer

Chapter 1. General

Regulation 1. Application

The provisions of this Annex shall apply to all ships, except where expressly provided otherwise.

Regulation 2. Definitions

1.

For the purpose of this Annex:

1.

Annex means Annex VI to the International Convention for the Prevention of Pollution from Ships, 1973 (MARPOL), as modified by the Protocol of 1978 relating thereto, and as modified by the Protocol of 1997, as amended by the Organization, provided that such amendments are adopted and brought into force in accordance with the provisions of Article 16 of the present Convention.

2.

A similar stage of construction means the stage at which:

1.: construction identifiable with a specific ship begins; and
2.: assembly of that ship has commenced comprising at least 50 tonnes or one per cent of the estimated mass of all structural material, whichever is less.

3.

Anniversary date means the day and the month of each year that will correspond to the date of expiry of the International Air Pollution Prevention Certificate.

4.

Audit means a systematic, independent and documented process for obtaining audit evidence and evaluating it objectively to determine the extent to which audit criteria are fulfilled.

5.

Audit Scheme means the IMO Member State Audit Scheme established by the Organization and taking into account the guidelines developed by the Organization.

6.

Audit Standard means the Code for Implementation.

7.

Auxiliary control device means a system, function or control strategy installed on a marine diesel engine that is used to protect the engine and/or its ancillary equipment against operating conditions that could result in damage or failure, or that is used to facilitate the starting of the engine. An auxiliary control device may also be a strategy or measure that has been satisfactorily demonstrated not to be a defeat device.

8.

Code for Implementation means the IMO Instruments Implementation Code (III Code) adopted by the Organization by resolution A.1070(28).

9.

Continuous feeding is defined as the process whereby waste is fed into a combustion chamber without human assistance while the incinerator is in normal operating conditions with the combustion chamber operative temperature between 850°C and 1,200°C.

10.

Defeat device means a device that measures, senses or responds to operating variables (e.g. engine speed, temperature, intake pressure or any other parameter) for the purpose of activating, modulating, delaying or deactivating the operation of any component or the function of the emission control system such that the effectiveness of the emission control system is reduced under conditions encountered during normal operation, unless the use of such a device is substantially included in the applied emission certification test procedures.

11.

Electronic Record Book means a device or system, approved by the Administration, used to electronically record the required entries for discharges, transfers and other operations as required under this Annex in lieu of a hard copy record book.

12.

Emission means any release of substances, subject to control by this Annex, from ships into the atmosphere or sea.

13.

Emission control area means an area where the adoption of special mandatory measures for emissions from ships is required to prevent, reduce and control air pollution from NO_x or SO_x and particulate matter or all three types of emissions and their attendant adverse impacts on human health and the environment. Emission control areas shall include those listed in, or designated under, regulations 13 and 14 of this Annex.

14.

Fuel oil means any fuel delivered to and intended for combustion purposes for propulsion or operation on board a ship, including gas, distillate and residual fuels.

15.

Gross tonnage means the gross tonnage calculated in accordance with the tonnage measurement regulations contained in Annex I to the International Convention on Tonnage Measurements of Ships, 1969, or any successor Convention.

16.

In-use sample means a sample of fuel oil in use on a ship.

17.

Installations in relation to regulation 12 of this Annex means the installation of systems, equipment, including portable fire-extinguishing units, insulation, or other material on a ship, but excludes the repair or recharge of previously installed systems, equipment, insulation or other material, or the recharge of portable fire-extinguishing units.

18.

Installed means a marine diesel engine that is or is intended to be fitted on a ship, including a portable auxiliary marine diesel engine, only if its fuelling, cooling or exhaust system is an integral part of the ship. A fuelling system is considered integral to the ship only if it is permanently affixed to the ship. This definition includes a marine diesel engine that is used to supplement or augment the installed power capacity of the ship and is intended to be an integral part of the ship.

19.

Irrational emission control strategy means any strategy or measure that, when the ship is operated under normal conditions of use, reduces the effectiveness of an emission control system to a level below that expected on the applicable emission test procedures.

20.

Low-flashpoint fuel means gaseous or liquid fuel oil having a flashpoint lower than otherwise permitted under paragraph 2.1.1 of regulation 4 of chapter II-2 of the International Convention for the Safety of Life at Sea (SOLAS), 1974, as amended.

21.

Marine diesel engine means any reciprocating internal combustion engine operating on liquid or dual fuel, to which regulation 13 of this Annex applies, including booster/compound systems if applied. In addition, a gas-fuelled engine installed on a ship constructed on or after 1 March 2016 or a gas-fuelled additional or non-identical replacement engine installed on or after that date is also considered as a marine diesel engine.

22.

MARPOL delivered sample means the sample of fuel oil delivered in accordance with regulation 18.8.1 of this Annex.

23.

NO_x Technical Code means the Technical Code on Control of Emission of Nitrogen Oxides from Marine Diesel Engines adopted by resolution 2 of the 1997 MARPOL Conference, as amended by the Organization, provided that such amendments are adopted and brought into force in accordance with the provisions of Article 16 of the present Convention.

24.

Onboard sample means a sample of fuel oil intended to be used or carried for use on board that ship.

25.

Ozone-depleting substances means controlled substances defined in paragraph (4) of Article 1 of the Montreal Protocol on Substances that Deplete the Ozone Layer, 1987, listed in Annexes A, B, C or E to the said Protocol in force at the time of application or interpretation of this Annex. Ozone-depleting substances that may be found on board ship include, but are not limited to:

Halon 1211	Bromochlorodifluoromethane
Halon 1301	Bromotrifluoromethane
Halon 2402	1,2-Dibromo-1,1,2,2-tetraflouroethane (also known as Halon 114B2)
CFC-11	Trichlorofluoromethane
CFC-12	Dichlorodifluoromethane
CFC-113	1,1,2-Trichloro-1,2,2-trifluoroethane
CFC-114	1,2-Dichloro-1,1,2,2-tetrafluoroethane
CFC-115	Chloropentafluoroethane

26.

Shipboard incineration means the incineration of wastes or other matter on board a ship, if such wastes or other matter were generated during the normal operation of that ship.

27.

Shipboard incinerator means a shipboard facility designed for the primary purpose of incineration.

28.

Ships constructed means ships the keels of which are laid or that are at a similar stage of construction.

29.

Sludge oil means sludge from the fuel oil or lubricating oil separators, waste lubricating oil from main or auxiliary machinery, or waste oil from bilge water separators, oil filtering equipment or drip trays.

30.

Sulphur content of fuel oil means the concentration of sulphur in a fuel oil, measured in % m/m as tested in accordance with a standard acceptable to the Organization.

31.

Tanker in relation to regulation 15 of this Annex means an oil tanker as defined in regulation 1 of Annex I of the present Convention or a chemical tanker as defined in regulation 1 of Annex II of the present Convention.

32.

Unmanned non-self-propelled (UNSP) barge means a barge that:

1.: is not propelled by mechanical means;
2.: has no system, equipment and/or machinery fitted that may generate emissions regulated by this Annex; and
3.: has neither persons nor living animals on board.

2.

For the purpose of chapter 4:

1.

A ship delivered on or after 1 September 2019 means a ship:

1.: for which the building contract is placed on or after 1 September 2015; or
2.: in the absence of a building contract, the keel of which is laid, or which is at a similar stage of construction, on or after 1 March 2016; or
3.: the delivery of which is on or after 1 September 2019.

2.

Attained annual operational CII is the operational carbon intensity indicator value achieved by an individual ship in accordance with regulations 26 and 28 of this Annex.

3.

Attained EEDI is the EEDI value achieved by an individual ship in accordance with regulation 22 of this Annex.

4.

Attained EEXI is the EEXI value achieved by an individual ship in accordance with regulation 23 of this Annex.

5.

Bulk carrier means a ship which is intended primarily to carry dry cargo in bulk, including such types as ore carriers as defined in regulation 1 of chapter XII of the International Convention for the Safety of Life at Sea (SOLAS), 1974, (as amended) but excluding combination carriers.

6.

Calendar year means the period from 1 January until 31 December inclusive.

7.

Combination carrier means a ship designed to load 100% deadweight with both liquid and dry cargo in bulk.

8.

Company means the owner of the ship or any other organization or person such as the manager, or the bareboat charterer, who has assumed the responsibility for operation of the ship from the owner of the ship and who on assuming such responsibility has agreed to take over all the duties and responsibilities imposed by the International Management Code for the Safe Operation of Ships and for Pollution Prevention, as amended.

9.

Containership means a ship designed exclusively for the carriage of containers in holds and on deck.

10.

Conventional propulsion means a method of propulsion where a main reciprocating internal combustion engine(s) is the prime mover and coupled to a propulsion shaft either directly or through a gear box.

11.

Cruise passenger ship means a passenger ship not having a cargo deck, designed exclusively for commercial transportation of passengers in overnight accommodations on a sea voyage.

12.

Distance travelled means distance travelled over ground.

13.

Existing ship means a ship which is not a new ship.

14.

Gas carrier means a cargo ship, other than an LNG carrier as defined in paragraph 2.16 of this regulation, constructed or adapted and used for the carriage in bulk of any liquefied gas.

15.

General cargo ship means a ship with a multi-deck or single deck hull designed primarily for the carriage of general cargo. This definition excludes specialized dry cargo ships, which are not included in the calculation of reference lines for general cargo ships, namely livestock carrier, barge carrier, heavy load carrier, yacht carrier, nuclear fuel carrier.

16.

LNG carrier means a cargo ship constructed or adapted and used for the carriage in bulk of liquefied natural gas (LNG).

17.

Major conversion means a conversion of a ship:

1.: which substantially alters the dimensions, carrying capacity or engine power of the ship; or
2.: which changes the type of the ship; or
3.: the intent of which in the opinion of the Administration is substantially to prolong the life of the ship; or
4.: which otherwise so alters the ship that, if it were a new ship, it would become subject to relevant provisions of the present Convention not applicable to it as an existing ship; or
5.: which substantially alters the energy efficiency of the ship and includes any modifications that could cause the ship to exceed the applicable required EEDI as set out in regulation 24 of this Annex or the applicable required EEXI as set out in regulation 25 of this Annex.

18.

New ship means a ship:

1.: for which the building contract is placed on or after 1 January 2013; or
2.: in the absence of a building contract, the keel of which is laid or which is at a similar stage of construction on or after 1 July 2013; or
3.: the delivery of which is on or after 1 July 2015.

19.

Non-conventional propulsion means a method of propulsion, other than conventional propulsion, including diesel-electric propulsion, turbine propulsion, and hybrid propulsion systems.

20.

Passenger ship means a ship which carries more than 12 passengers.

21.

Polar Code means the International Code for Ships Operating in Polar Waters, consisting of an introduction, parts I-A and II-A and parts I-B and II-B, as adopted by resolutions MSC.385(94) and MEPC.264(68), as may be amended, provided that:

1.: amendments to the environment-related provisions of the introduction and chapter 1 of part II-A of the Polar Code are adopted, brought into force and take effect in accordance with the provisions of Article 16 of the present Convention concerning the amendment procedures applicable to an appendix to an annex; and
2.: amendments to part II-B of the Polar Code are adopted by the Marine Environment Protection Committee in accordance with its Rules of Procedure.

22.

Refrigerated cargo carrier means a ship designed exclusively for the carriage of refrigerated cargoes in holds.

23.

Required annual operational CII is the target value of attained annual operational CII in accordance with regulations 26 and 28 of this Annex for the specific ship type and size.

24.

Required EEDI is the maximum value of attained EEDI that is allowed by regulation 24 of this Annex for the specific ship type and size.

25.

Required EEXI is the maximum value of attained EEXI that is allowed by regulation 25 of this Annex for the specific ship type and size.

26.

Ro-ro cargo ship means a ship designed for the carriage of roll-on-roll-off cargo transportation units.

27.

Ro-ro cargo ship (vehicle carrier) means a multi-deck roll-on-roll-off cargo ship designed for the carriage of empty cars and trucks.

28.

Ro-ro passenger ship means a passenger ship with roll-on-roll-off cargo spaces.

29.

Tanker means an oil tanker as defined in regulation 1 of Annex I of the present Convention or a chemical tanker or an NLS tanker as defined in regulation 1 of Annex II of the present Convention.

Regulation 3. Exceptions and exemptions

General

1.

Regulations of this Annex shall not apply to:

1.

any emission necessary for the purpose of securing the safety of a ship or saving life at sea; or

2.

any emission resulting from damage to a ship or its equipment:

2.1.: provided that all reasonable precautions have been taken after the occurrence of the damage or discovery of the emission for the purpose of preventing or minimizing the emission; and
2.2.: except if the owner or the master acted either with intent to cause damage, or recklessly and with knowledge that damage would probably result.

Trials for ship emission reduction and control technology research

2.

The Administration of a Party may, in cooperation with other Administrations as appropriate, issue an exemption from specific provisions of this Annex for a ship to conduct trials for the development of ship emission reduction and control technologies and engine design programmes. Such an exemption shall only be provided if the applications of specific provisions of the Annex or the revised NO_x Technical Code 2008 could impede research into the development of such technologies or programmes. A permit issued under this regulation shall not exempt a ship from the reporting requirement under regulation 27 and shall not alter the type and scope of data required to be reported under regulation 27. A permit for such an exemption shall only be provided to the minimum number of ships necessary and be subject to the following provisions:

1.: for marine diesel engines with a per cylinder displacement up to 30 L, the duration of the sea trial shall not exceed 18 months. If additional time is required, a permitting Administration or Administrations may permit a renewal for one additional 18-month period; or
2.: for marine diesel engines with a per cylinder displacement at or above 30 L, the duration of the ship trial shall not exceed five years and shall require a progress review by the permitting Administration or Administrations at each intermediate survey. A permit may be withdrawn based on this review if the testing has not adhered to the conditions of the permit or if it is determined that the technology or programme is not likely to produce effective results in the reduction and control of ship emissions. If the reviewing Administration or Administrations determine that additional time is required to conduct a test of a particular technology or programme, a permit may be renewed for an additional time period not to exceed five years.

Emissions from seabed mineral activities

3.1.

Emissions directly arising from the exploration, exploitation and associated offshore processing of seabed mineral resources are, consistent with Article 2(3)(b)(ii) of the present Convention, exempt from the provisions of this Annex. Such emissions include the following:

1.: emissions resulting from the incineration of substances that are solely and directly the result of exploration, exploitation and associated offshore processing of seabed mineral resources, including but not limited to the flaring of hydrocarbons and the burning of cuttings, muds, and/or stimulation fluids during well completion and testing operations, and flaring arising from upset conditions;
2.: the release of gases and volatile compounds entrained in drilling fluids and cuttings;
3.: emissions associated solely and directly with the treatment, handling or storage of seabed minerals; and
4.: emissions from marine diesel engines that are solely dedicated to the exploration, exploitation and associated offshore processing of seabed mineral resources.

3.2.

The requirements of regulation 18 of this Annex shall not apply to the use of hydrocarbons that are produced and subsequently used on site as fuel, when approved by the Administration.

Unmanned non-self-propelled barges

4.: The Administration may exempt an unmanned non-self-propelled (UNSP) barge from the requirements of regulations 5.1 and 6.1 of this Annex by means of an International Air Pollution Prevention Exemption Certificate for Unmanned Non-self-propelled (UNSP) Barges, for a period not exceeding five years provided that the barge has undergone a survey to confirm that conditions referred to in regulations 2.1.32.1 to 2.1.32.3 of this Annex are met.

Regulation 4. Equivalents

1.: The Administration of a Party may allow any fitting, material, appliance or apparatus to be fitted in a ship or other procedures, alternative fuel oils, or compliance methods used as an alternative to those required by this Annex if such fitting, material, appliance or apparatus or other procedures, alternative fuel oils, or compliance methods are at least as effective in terms of emissions reductions as those required by this Annex, including any of the standards set forth in regulations 13 and 14.
2.: The Administration of a Party that allows a fitting, material, appliance or apparatus or other procedures, alternative fuel oils, or compliance methods used as an alternative to those required by this Annex shall communicate to the Organization for circulation to the Parties particulars thereof, for their information and appropriate action, if any.
3.: The Administration of a Party should take into account any relevant guidelines developed by the Organization pertaining to the equivalents provided for in this regulation.
4.: The Administration of a Party that allows the use of an equivalent as set forth in paragraph 1 of this regulation shall endeavour not to impair or damage its environment, human health, property or resources or those of other States.

Chapter 2. Survey, certification and means of control

Regulation 5. Surveys

1.

Every ship of 400 gross tonnage and above and every fixed and floating drilling rig or other platform shall, to ensure compliance with the requirements of chapter 3 of this Annex, be subject to the surveys specified below:

1.: An initial survey before the ship is put into service or before the certificate required under regulation 6 of this Annex is issued for the first time. This survey shall be such as to ensure that the equipment, systems, fittings, arrangements and material fully comply with the applicable requirements of chapter 3 of this Annex;
2.: A renewal survey at intervals specified by the Administration, but not exceeding five years, except where regulation 9.2, 9.5, 9.6 or 9.7 of this Annex is applicable. The renewal survey shall be such as to ensure that the equipment, systems, fittings, arrangements and material fully comply with applicable requirements of chapter 3 of this Annex;
3.: An intermediate survey within three months before or after the second anniversary date or within three months before or after the third anniversary date of the certificate which shall take the place of one of the annual surveys specified in paragraph 1.4 of this regulation. The intermediate survey shall be such as to ensure that the equipment and arrangements fully comply with the applicable requirements of chapter 3 of this Annex and are in good working order. Such intermediate surveys shall be endorsed on the IAPP Certificate issued under regulation 6 or 7 of this Annex;
4.: An annual survey within three months before or after each anniversary date of the certificate, including a general inspection of the equipment, systems, fittings, arrangements and material referred to in paragraph 1.1 of this regulation to ensure that they have been maintained in accordance with paragraph 5 of this regulation and that they remain satisfactory for the service for which the ship is intended. Such annual surveys shall be endorsed on the IAPP Certificate issued under regulation 6 or 7 of this Annex; and
5.: An additional survey either general or partial, according to the circumstances, shall be made whenever any important repairs or renewals are made as prescribed in paragraph 5 of this regulation or after a repair resulting from investigations prescribed in paragraph 6 of this regulation. The survey shall be such as to ensure that the necessary repairs or renewals have been effectively made, that the material and workmanship of such repairs or renewals are in all respects satisfactory and that the ship complies in all respects with the requirements of chapter 3 of this Annex.

2.

In the case of ships of less than 400 gross tonnage, the Administration may establish appropriate measures in order to ensure that the applicable provisions of chapter 3 of this Annex are complied with.

3.

Surveys of ships as regards the enforcement of the provisions of this Annex shall be carried out by officers of the Administration.

1.: The Administration may, however, entrust the surveys either to surveyors nominated for the purpose or to organizations recognized by it. Such organizations shall comply with the guidelines adopted by the Organization;
2.: The survey of marine diesel engines and equipment for compliance with regulation 13 of this Annex shall be conducted in accordance with the revised NO_x Technical Code 2008;
3.: When a nominated surveyor or recognized organization determines that the condition of the equipment does not correspond substantially with the particulars of the certificate, it shall ensure that corrective action is taken and shall in due course notify the Administration. If such corrective action is not taken, the certificate shall be withdrawn by the Administration. If the ship is in a port of another Party, the appropriate authorities of the port State shall also be notified immediately. When an officer of the Administration, a nominated surveyor or recognized organization has notified the appropriate authorities of the port State, the Government of the port State concerned shall give such officer, surveyor or organization any necessary assistance to carry out their obligations under this regulation; and
4.: In every case, the Administration concerned shall fully guarantee the completeness and efficiency of the survey and shall undertake to ensure the necessary arrangements to satisfy this obligation.

4.

Ships to which chapter 4 of this Annex applies shall also be subject to the surveys specified below, taking into account the guidelines adopted by the Organization:

1.: An initial survey carried out before a new ship is put in service and before the International Energy Efficiency Certificate is issued. The survey shall verify that the ship's attained EEDI is in accordance with the requirements in chapter 4 of this Annex, and that the SEEMP required by regulation 26 of this Annex is on board;
2.: A general or partial survey, according to the circumstances, carried out after a major conversion of a new ship to which this regulation applies. The survey shall ensure that the attained EEDI is recalculated as necessary and meets the requirement of regulation 24 of this Annex, with the reduction factor applicable to the ship type and size of the converted ship in the phase corresponding to the date of contract or keel laying or delivery determined for the original ship in accordance with regulation 2.2.18 of this Annex;
3.: In cases where the major conversion of a new or existing ship is so extensive that the ship is regarded by the Administration as a newly constructed ship, the Administration shall determine the necessity of an initial survey on attained EEDI. Such a survey, if determined necessary, shall ensure that the attained EEDI is calculated and meets the requirement of regulation 24 of this Annex, with the reduction factor applicable corresponding to the ship type and size of the converted ship at the date of the contract of the conversion, or in the absence of a contract, the commencement date of the conversion. The survey shall also verify that the SEEMP required by regulation 26 of this Annex is on board and, for a ship to which regulation 27 applies, has been revised appropriately to reflect a major conversion in those cases where the major conversion affects data collection methodology and/or reporting processes;
4.: For existing ships, the verification of the requirement to have a SEEMP on board according to regulation 26 of this Annex shall take place at the first intermediate or renewal survey identified in paragraph 1 of this regulation, whichever is the first, on or after 1 January 2013;
5.: The Administration shall ensure that for each ship to which regulation 27 applies, the SEEMP complies with regulation 26.2 of this Annex. This shall be done prior to collecting data under regulation 27 of this Annex in order to ensure the methodology and processes are in place prior to the beginning of the ship's first reporting period. Confirmation of compliance shall be provided to and retained on board the ship;
6.: The Administration shall ensure that, for each ship to which regulation 28 applies, the SEEMP complies with regulation 26.3.1 of this Annex. This shall be done prior to 1 January 2023. Confirmation of compliance shall be provided to, and retained on board, the ship;
7.: The verification that the ship's attained EEXI is in accordance with the requirements in regulations 23 and 25 of this Annex shall take place at the first annual, intermediate or renewal survey identified in paragraph 1 of this regulation or the initial survey identified in paragraphs 4.1 and 4.3 of this regulation, whichever is the first, on or after 1 January 2023; and
8.: Notwithstanding paragraph 4.7 of this regulation, a general or partial survey, according to the circumstances, carried out after a major conversion of a ship to which regulation 23 of this Annex applies. The survey shall ensure that the attained EEXI is recalculated as necessary and meets the requirement of regulation 25 of this Annex.
5.: The equipment shall be maintained to conform with the provisions of this Annex and no changes shall be made in the equipment, systems, fittings, arrangements or material covered by the survey, without the express approval of the Administration. The direct replacement of such equipment and fittings with equipment and fittings that conform with the provisions of this Annex is permitted.
6.: Whenever an accident occurs to a ship or a defect is discovered that substantially affects the efficiency or completeness of its equipment covered by this Annex, the master or owner of the ship shall report at the earliest opportunity to the Administration, a nominated surveyor or recognized organization responsible for issuing the relevant certificate.

Regulation 6. Issue or endorsement of Certificates and Statements of Compliance related to fuel oil consumption reporting and operational carbon intensity rating

International Air Pollution Prevention Certificate

1.

An International Air Pollution Prevention (IAPP) Certificate shall be issued, after an initial or renewal survey in accordance with the provisions of regulation 5 of this Annex, to:

1.: any ship of 400 gross tonnage and above engaged in voyages to ports or offshore terminals under the jurisdiction of other Parties; and
2.: platforms and drilling rigs engaged in voyages to waters under the sovereignty or jurisdiction of other Parties.

2.

A ship constructed before the date this Annex enters into force for that particular ship's Administration, shall be issued with an IAPP Certificate in accordance with paragraph 1 of this regulation no later than the first scheduled dry-docking after the date of such entry into force, but in no case later than three years after this date.

3.

Such certificate shall be issued or endorsed either by the Administration or by any person or organization duly authorized by it. In every case, the Administration assumes full responsibility for the certificate.

International Energy Efficiency Certificate

4.: An International Energy Efficiency Certificate for the ship shall be issued after a survey in accordance with the provisions of regulation 5.4 of this Annex to any ship of 400 gross tonnage and above before that ship may engage in voyages to ports or offshore terminals under the jurisdiction of other Parties.
5.: The certificate shall be issued or endorsed either by the Administration or any organization duly authorized by it. In every case, the Administration assumes full responsibility for the certificate.

Statement of Compliance related to fuel oil consumption reporting and operational carbon intensity rating

6.

Upon receipt of reported data pursuant to regulation 27.3 of this Annex and attained annual operational CII pursuant to regulation 28.2 of this Annex, the Administration or any organization duly authorized by it shall:

1.: determine whether the data has been reported in accordance with regulation 27 of this Annex;
2.: verify that the attained annual operational CII reported is based on the data submitted in accordance with regulation 27 of this Annex;
3.: based on the verified attained annual operational CII, determine the operational carbon intensity rating of the ship in accordance with regulation 28.6 of this Annex; and
4.: issue a Statement of Compliance related to fuel oil consumption reporting and operational carbon intensity rating to the ship no later than five months from the beginning of the calendar year, upon determination and verification pursuant to regulations 6.6.1 to 6.6.3 of this Annex. In every case, the Administration assumes full responsibility for this Statement of Compliance.

7.

Upon receipt of reported data pursuant to regulations 27.4, 27.5 or 27.6 of this Annex, the Administration or any organization duly authorized by it shall promptly determine whether the data has been reported in accordance with regulation 27 and, if so, issue a Statement of Compliance to the ship. In every case, the Administration assumes full responsibility for this Statement of Compliance.

8.

Notwithstanding paragraph 6 of this regulation, a ship rated as D for three consecutive years or rated as E in accordance with regulation 28 of this Annex shall not be issued a Statement of Compliance unless a plan of corrective actions is duly developed and reflected in the SEEMP and verified by the Administration or any organization duly authorized by it in accordance with regulations 28.7 and 28.8 of this Annex.

Regulation 7. Issue of a Certificate by another Party

1.: A Party may, at the request of the Administration, cause a ship to be surveyed and, if satisfied that the provisions of this Annex are complied with, shall issue or authorize the issue of an IAPP Certificate or an International Energy Efficiency Certificate to the ship, and where appropriate, endorse or authorize the endorsement of such certificates on the ship, in accordance with this Annex.
2.: A copy of the certificate and a copy of the survey report shall be transmitted as soon as possible to the requesting Administration.
3.: A certificate so issued shall contain a statement to the effect that it has been issued at the request of the Administration and it shall have the same force and receive the same recognition as a certificate issued under regulation 6 of this Annex.
4.: No IAPP Certificate, International Energy Efficiency Certificate or UNSP Exemption Certificate shall be issued to a ship which is entitled to fly the flag of a State which is not a Party.

Regulation 8. Form of Certificates and Statements of Compliance related to fuel oil consumption reporting and operational carbon intensity rating

International Air Pollution Prevention Certificate

1.: The IAPP Certificate shall be drawn up in a form corresponding to the model given in appendix I to this Annex and shall be at least in English, French or Spanish. If an official language of the issuing country is also used, this shall prevail in case of a dispute or discrepancy.

International Energy Efficiency Certificate

2.: The International Energy Efficiency Certificate shall be drawn up in a form corresponding to the model given in appendix VIII to this Annex and shall be at least in English, French or Spanish. If an official language of the issuing Party is also used, this shall prevail in case of a dispute or discrepancy.

Statement of Compliance related to fuel oil consumption reporting and operational carbon intensity rating

3.: The Statement of Compliance pursuant to regulations 6.6 and 6.7 of this Annex shall be drawn up in a form corresponding to the model given in appendix X to this Annex and shall be at least in English, French or Spanish. If an official language of the issuing Party is also used, this shall prevail in case of a dispute or discrepancy.

International Air Pollution Prevention Exemption Certificate for Unmanned Non-self-propelled Barges

4.: In accordance with regulation 3.4 of this Annex, the International Air Pollution Prevention Exemption Certificate for Unmanned Non-self-propelled Barges shall be drawn up in the form corresponding to the model given in appendix XI to this Annex and shall be at least in English, French or Spanish. If an official language of the issuing country is also used, this shall prevail in the event of a dispute or discrepancy.

Regulation 9. Duration and validity of Certificates and Statements of Compliance related to fuel oil consumption reporting and operational carbon intensity rating

International Air Pollution Prevention Certificate

1.

An IAPP Certificate shall be issued for a period specified by the Administration, which shall not exceed five years.

2.

Notwithstanding the requirements of paragraph 1 of this regulation:

1.: when the renewal survey is completed within three months before the expiry date of the existing certificate, the new certificate shall be valid from the date of completion of the renewal survey to a date not exceeding five years from the date of expiry of the existing certificate;
2.: when the renewal survey is completed after the expiry date of the existing certificate, the new certificate shall be valid from the date of completion of the renewal survey to a date not exceeding five years from the date of expiry of the existing certificate; and
3.: when the renewal survey is completed more than three months before the expiry date of the existing certificate, the new certificate shall be valid from the date of completion of the renewal survey to a date not exceeding five years from the date of completion of the renewal survey.

3.

If a certificate is issued for a period of less than five years, the Administration may extend the validity of the certificate beyond the expiry date to the maximum period specified in paragraph 1 of this regulation, provided that the surveys referred to in regulations 5.1.3 and 5.1.4 of this Annex applicable when a certificate is issued for a period of five years are carried out as appropriate.

4.

If a renewal survey has been completed and a new certificate cannot be issued or placed on board the ship before the expiry date of the existing certificate, the person or organization authorized by the Administration may endorse the existing certificate and such a certificate shall be accepted as valid for a further period that shall not exceed five months from the expiry date.

5.

If a ship, at the time when a certificate expires, is not in a port in which it is to be surveyed, the Administration may extend the period of validity of the certificate, but this extension shall be granted only for the purpose of allowing the ship to complete its voyage to the port in which it is to be surveyed, and then only in cases where it appears proper and reasonable to do so. No certificate shall be extended for a period longer than three months, and a ship to which an extension is granted shall not, on its arrival in the port in which it is to be surveyed, be entitled by virtue of such extension to leave that port without having a new certificate. When the renewal survey is completed, the new certificate shall be valid to a date not exceeding five years from the date of expiry of the existing certificate before the extension was granted.

6.

A certificate issued to a ship engaged on short voyages that has not been extended under the foregoing provisions of this regulation may be extended by the Administration for a period of grace of up to one month from the date of expiry stated on it. When the renewal survey is completed, the new certificate shall be valid to a date not exceeding five years from the date of expiry of the existing certificate before the extension was granted.

7.

In special circumstances, as determined by the Administration, a new certificate need not be dated from the date of expiry of the existing certificate as required by paragraph 2.1, 5 or 6 of this regulation. In these special circumstances, the new certificate shall be valid to a date not exceeding five years from the date of completion of the renewal survey.

8.

If an annual or intermediate survey is completed before the period specified in regulation 5 of this Annex, then:

1.: the anniversary date shown on the certificate shall be amended by endorsement to a date that shall not be more than three months later than the date on which the survey was completed;
2.: the subsequent annual or intermediate survey required by regulation 5 of this Annex shall be completed at the intervals prescribed by that regulation using the new anniversary date; and
3.: the expiry date may remain unchanged, provided one or more annual or intermediate surveys, as appropriate, are carried out so that the maximum intervals between the surveys prescribed by regulation 5 of this Annex are not exceeded.

9.

A certificate issued under regulation 6 or 7 of this Annex shall cease to be valid in any of the following cases:

1.: if the relevant surveys are not completed within the periods specified under regulation 5.1 of this Annex;
2.: if the certificate is not endorsed in accordance with regulation 5.1.3 or 5.1.4 of this Annex; and
3.: upon transfer of the ship to the flag of another State. A new certificate shall only be issued when the Government issuing the new certificate is fully satisfied that the ship is in compliance with the requirements of regulation 5.4 of this Annex. In the case of a transfer between Parties, if requested within three months after the transfer has taken place, the Government of the Party whose flag the ship was formerly entitled to fly shall, as soon as possible, transmit to the Administration copies of the certificate carried by the ship before the transfer and, if available, copies of the relevant survey reports.

International Energy Efficiency Certificate

10.

The International Energy Efficiency Certificate shall be valid throughout the life of the ship subject to the provisions of paragraph 11 below.

11.

An International Energy Efficiency Certificate issued under this Annex shall cease to be valid in any of the following cases:

1.: if the ship is withdrawn from service or if a new certificate is issued following major conversion of the ship; or
2.: upon transfer of the ship to the flag of another State. A new certificate shall only be issued when the Government issuing the new certificate is fully satisfied that the ship is in compliance with the requirements of chapter 4 of this Annex. In the case of a transfer between Parties, if requested within three months after the transfer has taken place, the Government of the Party whose flag the ship was formerly entitled to fly shall, as soon as possible, transmit to the Administration copies of the certificate carried by the ship before the transfer and, if available, copies of the relevant survey reports; or
3.: if the ship's equipment, systems, fittings, arrangements, or material covered by the survey were changed without the express approval of the Administration, as provided for in regulation 5.5 of this Annex, unless regulation 3 of this Annex applies.

Statement of Compliance related to fuel oil consumption reporting and operational carbon intensity rating

12.: The Statement of Compliance issued pursuant to regulation 6.6 of this Annex shall be valid for the calendar year in which it is issued and for the first five months of the following calendar year. The Statement of Compliance issued pursuant to regulation 6.7 of this Annex shall be valid for the calendar year in which it is issued, for the following calendar year, and for the first five months of the subsequent calendar year. All Statements of Compliance shall be kept on board for at least five years.

Regulation 10. Port State control on operational requirements

1.: A ship, when in a port or an offshore terminal under the jurisdiction of another Party, is subject to inspection by officers duly authorized by such Party concerning operational requirements under this Annex, where there are clear grounds for believing that the master or crew are not familiar with essential shipboard procedures relating to the prevention of air pollution from ships.
2.: In the circumstances given in paragraph 1 of this regulation, the Party shall take steps to ensure that the ship shall not sail until the situation has been brought to order in accordance with the requirements of this Annex.
3.: Procedures relating to the port State control prescribed in Article 5 of the present Convention shall apply to this regulation.
4.: Nothing in this regulation shall be construed to limit the rights and obligations of a Party carrying out control over operational requirements specifically provided for in the present Convention.
5.: In relation to chapter 4 of this Annex, any port State inspection may verify, when appropriate, that there is a valid Statement of Compliance related to fuel oil consumption reporting and operational carbon intensity rating, an International Energy Efficiency Certificate and a Ship Energy Efficiency Management Plan on board, in accordance with Article 5 of the present Convention.
6.: Notwithstanding the requirements in paragraph 5 of this regulation, any port State inspection may inspect whether the Ship Energy Efficiency Management Plan is duly implemented by the ship in accordance with regulation 28 of this Annex.

Regulation 11. Detection of violations and enforcement

1.: Parties shall cooperate in the detection of violations and the enforcement of the provisions of this Annex, using all appropriate and practicable measures of detection and environmental monitoring, and adequate procedures for reporting and accumulation of evidence.
2.: A ship to which this Annex applies may, in any port or offshore terminal of a Party, be subject to inspection by officers appointed or authorized by that Party for the purpose of verifying whether the ship has emitted any of the substances covered by this Annex in violation of the provision of this Annex. If an inspection indicates a violation of this Annex, a report shall be forwarded to the Administration for any appropriate action.
3.: Any Party shall furnish to the Administration evidence, if any, that the ship has emitted any of the substances covered by this Annex in violation of the provisions of this Annex. If it is practicable to do so, the competent authority of the former Party shall notify the master of the ship of the alleged violation.
4.: Upon receiving such evidence, the Administration shall investigate the matter and may request the other Party to furnish further or better evidence of the alleged contravention. If the Administration is satisfied that sufficient evidence is available to enable proceedings to be brought in respect of the alleged violation, it shall cause such proceedings to be taken in accordance with its law as soon as possible. The Administration shall promptly inform the Party that has reported the alleged violation, as well as the Organization, of the action taken.
5.: A Party may also inspect a ship to which this Annex applies when it enters the ports or offshore terminals under its jurisdiction, if a request for an investigation is received from any Party together with sufficient evidence that the ship has emitted any of the substances covered by the Annex in any place in violation of this Annex. The report of such investigation shall be sent to the Party requesting it and to the Administration so that the appropriate action may be taken under the present Convention.
6.: The international law concerning the prevention, reduction and control of pollution of the marine environment from ships, including that law relating to enforcement and safeguards, in force at the time of application or interpretation of this Annex, applies, mutatis mutandis, to the rules and standards set forth in this Annex.

Chapter 3. Requirements for control of emissions from ships

Regulation 12. Ozone-depleting substances

1.

This regulation does not apply to permanently sealed equipment where there are no refrigerant charging connections or potentially removable components containing ozone- depleting substances.

2.

Subject to the provisions of regulation 3.1, any deliberate emissions of ozone-depleting substances shall be prohibited. Deliberate emissions include emissions occurring in the course of maintaining, servicing, repairing or disposing of systems or equipment, except that deliberate emissions do not include minimal releases associated with the recapture or recycling of an ozone-depleting substance. Emissions arising from leaks of an ozone-depleting substance, whether or not the leaks are deliberate, may be regulated by Parties.

3.1.

Installations that contain ozone-depleting substances, other than hydrochlorofluorocarbons, shall be prohibited:

1.: on ships constructed on or after 19 May 2005; or
2.: in the case of ships constructed before 19 May 2005 which have a contractual delivery date of the equipment to the ship on or after 19 May 2005 or, in the absence of a contractual delivery date, the actual delivery of the equipment to the ship on or after 19 May 2005.

3.2.

Installations that contain hydrochlorofluorocarbons shall be prohibited:

1.: on ships constructed on or after 1 January 2020; or
2.: in the case of ships constructed before 1 January 2020 which have a contractual delivery date of the equipment to the ship on or after 1 January 2020 or, in the absence of a contractual delivery date, the actual delivery of the equipment to the ship on or after 1 January 2020.

4.

The substances referred to in this regulation, and equipment containing such substances, shall be delivered to appropriate reception facilities when removed from ships.

5.

Each ship subject to regulation 6.1 shall maintain a list of equipment containing ozone-depleting substances.

6.

Each ship subject to regulation 6.1 that has rechargeable systems that contain ozone-depleting substances shall maintain an ozone-depleting substances record book. This record book may form part of an existing logbook or electronic record book as approved by the Administration. An electronic recording system referred to in regulation 12.6, as adopted by resolution MEPC.176(58), shall be considered an electronic record book, provided the electronic recording system is approved by the Administration on or before the first IAPP Certificate renewal survey carried out on or after 1 October 2020, but not later than 1 October 2025, taking into account the guidelines developed by the Organization.

7.

Entries in the ozone-depleting substances record book shall be recorded in terms of mass (kg) of substance and shall be completed without delay on each occasion, in respect of the following:

1.

recharge, full or partial, of equipment containing ozone-depleting substances;

2.

repair or maintenance of equipment containing ozone-depleting substances;

3.

discharge of ozone-depleting substances to the atmosphere:

3.1.: deliberate; and
3.2.: non-deliberate;

4.

discharge of ozone-depleting substances to land-based reception facilities; and

5.

supply of ozone-depleting substances to the ship.

Regulation 13. Nitrogen oxides (NO_x)

Application

1.1.

This regulation shall apply to:

1.: each marine diesel engine with a power output of more than 130 kW installed on a ship; and
2.: each marine diesel engine with a power output of more than 130 kW that undergoes a major conversion on or after 1 January 2000 except when demonstrated to the satisfaction of the Administration that such engine is an identical replacement to the engine that it is replacing and is otherwise not covered under paragraph 1.1.1 of this regulation.

1.2.

This regulation does not apply to:

1.: a marine diesel engine intended to be used solely for emergencies or solely to power any device or equipment intended to be used solely for emergencies on the ship on which it is installed, or a marine diesel engine installed in lifeboats intended to be used solely for emergencies; and
2.: a marine diesel engine installed on a ship solely engaged in voyages within waters subject to the sovereignty or jurisdiction of the State the flag of which the ship is entitled to fly, provided that such engine is subject to an alternative NO_x control measure established by the Administration.

1.3.

Notwithstanding the provisions of paragraph 1.1 of this regulation, the Administration may provide an exclusion from the application of this regulation for any marine diesel engine that is installed on a ship constructed, or for any marine diesel engine that undergoes a major conversion, before 19 May 2005, provided that the ship on which the engine is installed is solely engaged in voyages to ports or offshore terminals within the State the flag of which the ship is entitled to fly.

Major conversion

2.1.

For the purpose of this regulation, major conversion means a modification on or after 1 January 2000 of a marine diesel engine that has not already been certified to the standards set forth in paragraph 3, 4, or 5.1.1 of this regulation where:

1.: the engine is replaced by a marine diesel engine or an additional marine diesel engine is installed, or
2.: any substantial modification, as defined in the revised NO_x Technical Code 2008, is made to the engine, or
3.: the maximum continuous rating of the engine is increased by more than 10% compared to the maximum continuous rating of the original certification of the engine.

2.2.

For a major conversion involving the replacement of a marine diesel engine with a non- identical marine diesel engine, or the installation of an additional marine diesel engine, the standards in this regulation at the time of the replacement or addition of the engine shall apply. In the case of replacement engines only, if it is not possible for such a replacement engine to meet the standards set forth in paragraph 5.1.1 of this regulation (Tier III, as applicable), then that replacement engine shall meet the standards set forth in paragraph 4 of this regulation (Tier II), taking into account the guidelines developed by the Organization.

2.3.

A marine diesel engine referred to in paragraph 2.1.2 or 2.1.3 of this regulation shall meet the following standards:

1.: for ships constructed prior to 1 January 2000, the standards set forth in paragraph 3 of this regulation shall apply; and
2.: for ships constructed on or after 1 January 2000, the standards in force at the time the ship was constructed shall apply.

Tier I

3.

Subject to regulation 3 of this Annex, the operation of a marine diesel engine that is installed on a ship constructed on or after 1 January 2000 and prior to 1 January 2011 is prohibited, except when the emission of nitrogen oxides (calculated as the total weighted emission of NO₂) from the engine is within the following limits, where n = rated engine speed (crankshaft revolutions per minute):

1.: 17.0 g/kWh when n is less than 130 rpm;
2.: 45 • n(—0.2) g/kWh when n is 130 or more but less than 2,000 rpm;
3.: 9.8 g/kWh when n is 2,000 rpm or more.

Tier II

4.

Subject to regulation 3 of this Annex, the operation of a marine diesel engine that is installed on a ship constructed on or after 1 January 2011 is prohibited, except when the emission of nitrogen oxides (calculated as the total weighted emission of NO₂) from the engine is within the following limits, where n = rated engine speed (crankshaft revolutions per minute):

1.: 14.4 g/kWh when n is less than 130 rpm;
2.: 44 • n(—0.23) g/kWh when n is 130 or more but less than 2,000 rpm;
3.: 7.7 g/kWh when n is 2,000 rpm or more.

Tier III

5.1.

Subject to regulation 3 of this Annex, in an emission control area designated for Tier III NO_x control under paragraph 6 of this regulation (NO_x Tier III emission control area), the operation of a marine diesel engine that is installed on a ship is prohibited:

1.

except when the emission of nitrogen oxides (calculated as the total weighted emission of NO₂) from the engine is within the following limits, where n = rated engine speed (crankshaft revolutions per minute):

1.: 3.4 g/kWh when n is less than 130 rpm;
2.: 9 • n(—0.2) g/kWh when n is 130 or more but less than 2,000 rpm;
3.: 2.0 g/kWh when n is 2,000 rpm or more;

when

2.

that ship is constructed on or after:

1.: 1 January 2016 and is operating in the North American Emission Control Area or the United States Caribbean Sea Emission Control Area;
2.: 1 January 2021 and is operating in the Baltic Sea Emission Control Area or the North Sea Emission Control Area;

3.

that ship is operating in a NO_x Tier III emission control area other than an emission control area described in paragraph 5.1.2 of this regulation, and is constructed on or after the date of adoption of such an emission control area, or a later date as may be specified in the amendment designating the NO_x Tier III emission control area, whichever is later.

5.2.

The standards set forth in paragraph 5.1.1 of this regulation shall not apply to:

1.: a marine diesel engine installed on a ship with a length (L), as defined in regulation 1.19 of Annex I to the present Convention, of less than 24 metres when it has been specifically designed, and is used solely, for recreational purposes; or
2.: a marine diesel engine installed on a ship with a combined nameplate diesel engine propulsion power of less than 750 kW if it is demonstrated, to the satisfaction of the Administration, that the ship cannot comply with the standards set forth in paragraph 5.1.1 of this regulation because of design or construction limitations of the ship; or
3.: a marine diesel engine installed on a ship constructed prior to 1 January 2021 of less than 500 gross tonnage, with a length (L), as defined in regulation 1.19 of Annex I to the present Convention, of 24 metres or over when it has been specifically designed, and is used solely, for recreational purposes.

5.3.

The tier and on/off status of marine diesel engines installed on board a ship to which paragraph 5.1 of this regulation applies which are certified to both Tier II and Tier III or which are certified to Tier II only shall be recorded in such logbook or electronic record book as prescribed by the Administration at entry into and exit from a NO_x Tier III emission control area, or when the on/off status changes within such an area, together with the date, time and position of the ship.

5.4.

Emissions of nitrogen oxides from a marine diesel engine subject to paragraph 5.1 of this regulation that occur immediately following building and sea trials of a newly constructed ship, or before and following converting, repairing, and/or maintaining the ship, or maintenance or repair of a Tier II engine or a dual fuel engine when the ship is required to not have gas fuel or gas cargo on board due to safety requirements, for which activities take place in a shipyard or other repair facility located in a NO_x Tier III emission control area are temporarily exempted provided the following conditions are met:

1.: the engine meets the Tier II NO_x limits; and
2.: the ship sails directly to or from the shipyard or other repair facility, does not load or unload cargo during the duration of the exemption, and follows any additional specific routeing requirements indicated by the port State in which the shipyard or other repair facility is located, if applicable.

5.5.

The exemption described in paragraph 5.4 of this regulation applies only for the following period:

1.: for a newly constructed ship, the period beginning at the time the ship is delivered from the shipyard, including sea trials, and ending at the time the ship directly exits the NO_x Tier III emission control area(s) or, with regard to a ship fitted with a dual fuel engine, the ship directly exits the NO_x Tier III emission control area(s) or proceeds directly to the nearest gas fuel bunkering facility appropriate to the ship located in the NO_x Tier III emission control area(s);
2.: for a ship with a Tier II engine undergoing conversion, maintenance or repair, the period beginning at the time the ship enters the NO_x Tier III emission control area(s) and proceeds directly to the shipyard or other repair facility, and ending at the time the ship is released from the shipyard or other repair facility and directly exits the NO_x Tier III emission control area (s) after performing sea trials, if applicable; or
3.: for a ship with a dual fuel engine undergoing conversion, maintenance or repair, when the ship is required to not have gas fuel or gas cargo on board due to safety requirements, the period beginning at the time the ship enters the NO_x Tier III emission control area(s) or when it is degassed in the NO_x Tier III emission control area(s) and proceeds directly to the shipyard or other repair facility, and ending at the time when the ship is released from the shipyard or other repair facility and directly exits the NO_x Tier III emission control area(s) or proceeds directly to the nearest gas fuel bunkering facility appropriate to the ship located in the NO_x Tier III emission control area(s).

Emission control area

6.

For the purposes of this regulation, a NO_x Tier III emission control area shall be any sea area, including any port area, designated by the Organization in accordance with the criteria and procedures set forth in appendix III to this Annex. The NO_x Tier III emission control areas are:

1.: the North American Emission Control Area, which means the area described by the coordinates provided in appendix VII to this Annex;
2.: the United States Caribbean Sea Emission Control Area, which means the area described by the coordinates provided in appendix VII to this Annex;
3.: the Baltic Sea area as defined in regulation 1.11.2 of Annex I of the present Convention; and
4.: the North Sea area as defined in regulation 1.14.6 of Annex V of the present Convention.

Marine diesel engines installed on a ship constructed prior to 1 January 2000

7.1.

Notwithstanding paragraph 1.1.1 of this regulation, a marine diesel engine with a power output of more than 5,000 kW and a per cylinder displacement at or above 90 L installed on a ship constructed on or after 1 January 1990 but prior to 1 January 2000 shall comply with the emission limits set forth in paragraph 7.4 of this regulation, provided that an approved method for that engine has been certified by an Administration of a Party and notification of such certification has been submitted to the Organization by the certifying Administration. Compliance with this paragraph shall be demonstrated through one of the following:

1.: installation of the certified approved method, as confirmed by a survey using the verification procedure specified in the approved method file, including appropriate notation on the ship's IAPP Certificate of the presence of the approved method; or
2.: certification of the engine confirming that it operates within the limits set forth in paragraph 3, 4, or 5.1.1 of this regulation and an appropriate notation of the engine certification on the ship's IAPP Certificate.

7.2.

Paragraph 7.1 of this regulation shall apply no later than the first renewal survey that occurs 12 months or more after deposit of the notification in paragraph 7.1. If a shipowner of a ship on which an approved method is to be installed can demonstrate to the satisfaction of the Administration that the approved method was not commercially available despite best efforts to obtain it, then that approved method shall be installed on the ship no later than the next annual survey of that ship that falls after the approved method is commercially available.

7.3.

With regard to a marine diesel engine with a power output of more than 5,000 kW and a per cylinder displacement at or above 90 L installed on a ship constructed on or after 1 January 1990, but prior to 1 January 2000, the IAPP Certificate shall, for a marine diesel engine to which paragraph 7.1 of this regulation applies, indicate one of the following:

1.: an approved method has been applied pursuant to paragraph 7.1.1 of this regulation;
2.: the engine has been certified pursuant to paragraph 7.1.2 of this regulation;
3.: an approved method is not yet commercially available as described in paragraph 7.2 of this regulation; or
4.: an approved method is not applicable.

7.4.

Subject to regulation 3 of this Annex, the operation of a marine diesel engine described in paragraph 7.1 of this regulation is prohibited, except when the emission of nitrogen oxides (calculated as the total weighted emission of NO₂) from the engine is within the following limits,

where n = rated engine speed (crankshaft revolutions per minute):

1.: 17.0 g/kWh when n is less than 130 rpm;
2.: 45 • n(—0.2) g/kWh when n is 130 or more but less than 2,000 rpm; and
3.: 9.8 g/kWh when n is 2,000 rpm or more.

7.5.

Certification of an approved method shall be in accordance with chapter 7 of the revised NO_x Technical Code 2008 and shall include verification:

1.: by the designer of the base marine diesel engine to which the approved method applies that the calculated effect of the approved method will not decrease engine rating by more than 1.0%, increase fuel consumption by more than 2.0% as measured according to the appropriate test cycle set forth in the revised NO_x Technical Code 2008, or adversely affect engine durability or reliability; and
2.: that the cost of the approved method is not excessive, which is determined by a comparison of the amount of NO_x reduced by the approved method to achieve the standard set forth in paragraph 7.4 of this regulation and the cost of purchasing and installing such approved method.

Certification

8.: The revised NO_x Technical Code 2008 shall be applied in the certification, testing and measurement procedures for the standards set forth in this regulation.
9.: The procedures for determining NO_x emissions set out in the revised NO_x Technical Code 2008 are intended to be representative of the normal operation of the engine. Defeat devices and irrational emission control strategies undermine this intention and shall not be allowed. This regulation shall not prevent the use of auxiliary control devices that are used to protect the engine and/or its ancillary equipment against operating conditions that could result in damage or failure or that are used to facilitate the starting of the engine.

Regulation 14. Sulphur oxides (SO_x) and particulate matter

General requirements

1.: The sulphur content of fuel oil used or carried for use on board a ship shall not exceed 0.50% m/m.
2.: The worldwide average sulphur content of residual fuel oil supplied for use on board ships shall be monitored taking into account the guidelines developed by the Organization.

Requirements within emission control areas

3.

For the purpose of this regulation, an emission control area shall be any sea area, including any port area, designated by the Organization in accordance with the criteria and procedures set forth in appendix III to this Annex. The emission control areas under this regulation are:

1.: the Baltic Sea area as defined in regulation 1.11.2 of Annex I of the present Convention;
2.: the North Sea area as defined in regulation 1.14.6 of Annex V of the present Convention;
3.: the North American Emission Control Area, which means the area described by the coordinates provided in appendix VII to this Annex;
4.: the United States Caribbean Sea Emission Control Area, which means the area described by the coordinates provided in appendix VII to this Annex; and
5.: the Mediterranean Sea Emission Control Area, which means the area described by the coordinates provided in appendix VII to this annex.

4.

While a ship is operating within an emission control area, the sulphur content of fuel oil used on board that ship shall not exceed 0.10% m/m.

5.

The sulphur content of fuel oil referred to in paragraph 1 and paragraph 4 of this regulation shall be documented by its supplier as required by regulation 18 of this Annex.

6.

Those ships using separate fuel oils to comply with paragraph 4 of this regulation and entering or leaving an emission control area set forth in paragraph 3 of this regulation shall carry a written procedure showing how the fuel oil changeover is to be done, allowing sufficient time for the fuel oil service system to be fully flushed of all fuel oils exceeding the applicable sulphur content specified in paragraph 4 of this regulation prior to entry into an emission control area. The volume of low sulphur fuel oils in each tank as well as the date, time and position of the ship when any fuel oil changeover operation is completed prior to the entry into an emission control area or commenced after exit from such an area shall be recorded in such logbook or electronic record book as prescribed by the Administration.

7.

During the first 12 months immediately following entry into force of an amendment designating a specific emission control area under paragraph 3 of this regulation, ships operating in that emission control area are exempt from the requirements in paragraphs 4 and 6 of this regulation and from the requirements of paragraph 5 of this regulation insofar as they relate to paragraph 4 of this regulation.

In-use and onboard fuel oil sampling and testing

8.: If the competent authority of a Party requires the in-use or onboard sample to be analysed, it shall be done in accordance with the verification procedure set forth in appendix VI to this Annex to determine whether the fuel oil being used or carried for use on board meets the requirements in paragraph 1 or paragraph 4 of this regulation. The in-use sample shall be drawn taking into account the guidelines developed by the Organization. The onboard sample shall be drawn taking into account the guidelines developed by the Organization.
9.: The sample shall be sealed by the representative of the competent authority with a unique means of identification installed in the presence of the ship's representative. The ship shall be given the option of retaining a duplicate sample.

In-use fuel oil sampling point

10.: For each ship subject to regulations 5 and 6 of this Annex, sampling point(s) shall be fitted or designated for the purpose of taking representative samples of the fuel oil being used on board the ship taking into account the guidelines developed by the Organization.
11.: For a ship constructed before 1 April 2022, the sampling point(s) referred to in paragraph 10 shall be fitted or designated not later than the first renewal survey as identified in regulation 5.1.2 of this Annex on or after 1 April 2023.
12.: The requirements of paragraphs 10 and 11 above are not applicable to a fuel oil service system for a low-flashpoint fuel for combustion purposes for propulsion or operation on board the ship.
13.: The competent authority of a Party shall, as appropriate, utilize the sampling point(s) which is(are) fitted or designated for the purpose of taking representative sample(s) of the fuel oil being used on board in order to verify that the fuel oil complies with this regulation. Taking fuel oil samples by the competent authority of the Party shall be performed as expeditiously as possible without causing the ship to be unduly delayed.

Regulation 15. Volatile organic compounds

1.

If the emissions of volatile organic compounds (VOCs) from a tanker are to be regulated in a port or ports or a terminal or terminals under the jurisdiction of a Party, they shall be regulated in accordance with the provisions of this regulation.

2.

A Party regulating tankers for VOC emissions shall submit a notification to the Organization. This notification shall include information on the size of tankers to be controlled, the cargoes requiring vapour emission control systems and the effective date of such control. The notification shall be submitted at least six months before the effective date.

3.

A Party that designates ports or terminals at which VOC emissions from tankers are to be regulated shall ensure that vapour emission control systems, approved by that Party taking into account the safety standards for such systems developed by the Organization, are provided in any designated port and terminal and are operated safely and in a manner so as to avoid undue delay to a ship.

4.

The Organization shall circulate a list of the ports and terminals designated by Parties to other Parties and Member States of the Organization for their information.

5.

A tanker to which paragraph 1 of this regulation applies shall be provided with a vapour emission collection system approved by the Administration taking into account the safety standards for such systems developed by the Organization, and shall use this system during the loading of relevant cargoes. A port or terminal that has installed vapour emission control systems in accordance with this regulation may accept tankers that are not fitted with vapour collection systems for a period of three years after the effective date identified in paragraph 2 of this regulation.

6.

A tanker carrying crude oil shall have on board and implement a VOC management plan approved by the Administration. Such a plan shall be prepared taking into account the guidelines developed by the Organization. The plan shall be specific to each ship and shall at least:

1.: provide written procedures for minimizing VOC emissions during the loading, sea passage and discharge of cargo;
2.: give consideration to the additional VOC generated by crude oil washing;
3.: identify a person responsible for implementing the plan; and
4.: for ships on international voyages, be written in the working language of the master and officers and, if the working language of the master and officers is not English, French or Spanish, include a translation into one of these languages.

7.

This regulation shall also apply to gas carriers only if the types of loading and containment systems allow safe retention of non-methane VOCs on board or their safe return ashore.

Regulation 16. Shipboard incineration

1.

Except as provided in paragraph 4 of this regulation, shipboard incineration shall be allowed only in a shipboard incinerator.

2.

Shipboard incineration of the following substances shall be prohibited:

1.: residues of cargoes subject to Annex I, II or III or related contaminated packing materials;
2.: polychlorinated biphenyls (PCBs);
3.: garbage, as defined by Annex V, containing more than traces of heavy metals;
4.: refined petroleum products containing halogen compounds;
5.: sewage sludge and sludge oil neither of which is generated on board the ship; and
6.: exhaust gas cleaning system residues.

3.

Shipboard incineration of polyvinyl chlorides (PVCs) shall be prohibited, except in shipboard incinerators for which IMO Type Approval Certificates have been issued.

4.

Shipboard incineration of sewage sludge and sludge oil generated during normal operation of a ship may also take place in the main or auxiliary power plant or boilers, but in those cases, shall not take place inside ports, harbours or estuaries.

5.

Nothing in this regulation either:

1.: affects the incineration at sea prohibitions of the Convention on the Prevention of Marine Pollution by Dumping of Wastes and Other Matter, 1972, as amended, and the 1996 Protocol thereto, or other requirements thereof, or
2.: precludes the development, installation and operation of alternative design shipboard thermal waste treatment devices that meet or exceed the requirements of this regulation.

6.1.

Except as provided in paragraph 6.2 of this regulation, each incinerator on a ship constructed on or after 1 January 2000 or incinerator that is installed on board a ship on or after 1 January 2000 shall meet the requirements contained in appendix IV to this Annex. Each incinerator subject to this paragraph shall be approved by the Administration taking into account the standard specification for shipboard incinerators developed by the Organization;

6.2.

The Administration may allow exclusion from the application of paragraph 6.1 of this regulation to any incinerator installed on board a ship before 19 May 2005, provided that the ship is solely engaged in voyages within waters subject to the sovereignty or jurisdiction of the State the flag of which the ship is entitled to fly.

7.

Incinerators installed in accordance with the requirements of paragraph 6.1 of this regulation shall be provided with a manufacturer's operating manual, which is to be retained with the unit and which shall specify how to operate the incinerator within the limits described in paragraph 2 of appendix IV of this Annex.

8.

Personnel responsible for the operation of an incinerator installed in accordance with the requirements of paragraph 6.1 of this regulation shall be trained to implement the guidance provided in the manufacturer's operating manual as required by paragraph 7 of this regulation.

9.

For incinerators installed in accordance with the requirements of paragraph 6.1 of this regulation the combustion chamber gas outlet temperature shall be monitored at all times the unit is in operation. Where that incinerator is of the continuous-feed type, waste shall not be fed into the unit when the combustion chamber gas outlet temperature is below 850°C. Where that incinerator is of the batch-loaded type, the unit shall be designed so that the combustion chamber gas outlet temperature shall reach 600°C within five minutes after start-up and will thereafter stabilize at a temperature not less than 850°C.

Regulation 17. Reception facilities

1.

Each Party undertakes to ensure the provision of facilities adequate to meet the:

1.: needs of ships using its repair ports for the reception of ozone-depleting substances and equipment containing such substances when removed from ships;
2.: needs of ships using its ports, terminals or repair ports for the reception of exhaust gas cleaning residues from an exhaust gas cleaning system; without causing undue delay to ships, and
3.: needs in ship-breaking facilities for the reception of ozone-depleting substances and equipment containing such substances when removed from ships.

2.

The following States may satisfy the requirements in paragraph 1 of this regulation through regional arrangements when, because of ‘those States’ unique’ circumstances, such arrangements are the only practical means to satisfy these requirements:

.1.: small island developing States; and
.2.: States the coastline of which borders on Arctic waters, provided that regional arrangements shall cover only ports within Arctic waters of those States.

Parties participating in a regional arrangement shall develop a Regional Reception Facilities Plan, taking into account the guidelines developed by the Organization.

The Government of each Party participating in the arrangement shall consult with the Organization, for circulation to the Parties of the present Convention on:

.1.: how the Regional Reception Facilities Plan takes into account the guidelines developed by the Organization;
.2.: particulars of the identified Regional Ships Waste Reception Centres taking into account the guidelines developed by the Organization; and
.3.: particulars of those ports with only limited facilities.

3.

If a particular port or terminal of a Party is, taking into account the guidelines to be developed by the Organization, remotely located from, or lacking in, the industrial infrastructure necessary to manage and process those substances referred to in paragraph 1 of this regulation and therefore cannot accept such substances, then the Party shall inform the Organization of any such port or terminal so that this information may be circulated to all Parties and Member States of the Organization for their information and any appropriate action. Each Party that has provided the Organization with such information shall also notify the Organization of its ports and terminals where reception facilities are available to manage and process such substances.

4.

Each Party shall notify the Organization for circulation to the Members of the Organization of all cases where the facilities provided under this regulation are unavailable or alleged to be inadequate.

Regulation 18. Fuel oil availability and quality

Fuel oil availability

1.

Each Party shall take all reasonable steps to promote the availability of fuel oils that comply with this Annex and inform the Organization of the availability of compliant fuel oils in its ports and terminals.

2.1.

If a ship is found by a Party not to be in compliance with the standards for compliant fuel oils set forth in this Annex, the competent authority of the Party is entitled to require the ship to:

1.: present a record of the actions taken to attempt to achieve compliance; and
2.: provide evidence that it attempted to purchase compliant fuel oil in accordance with its voyage plan and, if it was not made available where planned, that attempts were made to locate alternative sources for such fuel oil and that despite best efforts to obtain compliant fuel oil, no such fuel oil was made available for purchase.

2.2.

The ship should not be required to deviate from its intended voyage or to delay unduly the voyage in order to achieve compliance.

2.3.

If a ship provides the information set forth in paragraph 2.1 of this regulation, a Party shall take into account all relevant circumstances and the evidence presented to determine the appropriate action to take, including not taking control measures.

2.4.

A ship shall notify its Administration and the competent authority of the relevant port of destination when it cannot purchase compliant fuel oil.

2.5.

A Party shall notify the Organization when a ship has presented evidence of the non- availability of compliant fuel oil.

Fuel oil quality

3.

Fuel oil for combustion purposes delivered to and used on board ships to which this Annex applies shall meet the following requirements:

1.

except as provided in paragraph 3.2 of this regulation:

1.1.

the fuel oil shall be blends of hydrocarbons derived from petroleum refining. This shall not preclude the incorporation of small amounts of additives intended to improve some aspects of performance;

1.2.

the fuel oil shall be free from inorganic acid; and

1.3.

the fuel oil shall not include any added substance or chemical waste that:

1.: jeopardizes the safety of ships or adversely affects the performance of the machinery, or
2.: is harmful to personnel, or
3.: contributes overall to additional air pollution.

2.

fuel oil for combustion purposes derived by methods other than petroleum refining shall not:

2.1.: exceed the applicable sulphur content set forth in regulation 14 of this Annex;
2.2.: cause an engine to exceed the applicable NO_x emission limit set forth in paragraphs 3, 4, 5.1.1 and 7.4 of regulation 13;
2.3.: contain inorganic acid; or
2.4.1.: jeopardize the safety of ships or adversely affect the performance of the machinery, or
2.4.2.: be harmful to personnel, or
2.4.3.: contribute overall to additional air pollution.

4.

This regulation does not apply to coal in its solid form or nuclear fuels. Paragraphs 5, 6, 7.1, 7.2, 8.1, 8.2, 9.2, 9.3, and 9.4 of this regulation do not apply to gas fuels such as liquefied natural gas, compressed natural gas or liquefied petroleum gas. The sulphur content of gas fuels delivered to a ship specifically for combustion purposes on board that ship shall be documented by the supplier.

5.

For each ship subject to regulations 5 and 6 of this Annex, details of fuel oil for combustion purposes delivered to and used on board shall be recorded by means of a bunker delivery note that shall contain at least the information specified in appendix V to this Annex.

6.

The bunker delivery note shall be kept on board the ship in such a place as to be readily available for inspection at all reasonable times. It shall be retained for a period of three years after the fuel oil has been delivered on board.

7.1.

1. The competent authority of a Party may inspect the bunker delivery notes on board any ship to which this Annex applies while the ship is in its port or offshore terminal, may make a copy of each delivery note, and may require the master or person in charge of the ship to certify that each copy is a true copy of such bunker delivery note. The competent authority may also verify the contents of each note through consultations with the port where the note was issued.

7.2.

The inspection of the bunker delivery notes and the taking of certified copies by the competent authority under paragraph 7.1 of this regulation shall be performed as expeditiously as possible without causing the ship to be unduly delayed.

8.1.

The bunker delivery note shall be accompanied by a representative sample of the fuel oil delivered taking into account the guidelines developed by the Organization. The sample is to be sealed and signed by the supplier's representative and the master or officer in charge of the bunker operation on completion of bunkering operations and retained under the ship's control until the fuel oil is substantially consumed, but in any case for a period of not less than 12 months from the time of delivery.

8.2.

If a Party requires the representative sample to be analysed, it shall be done in accordance with the verification procedure set forth in appendix VI to this Annex to determine whether the fuel oil meets the requirements of this Annex.

9.

Parties undertake to ensure that appropriate authorities designated by them:

1.: maintain a register of local suppliers of fuel oil;
2.: require local suppliers to provide the bunker delivery note and sample as required by this regulation, certified by the fuel oil supplier that the fuel oil meets the requirements of regulations 14 and 18 of this Annex;
3.: require local suppliers to retain a copy of the bunker delivery note for at least three years for inspection and verification by the port State as necessary;
4.: take action as appropriate against fuel oil suppliers that have been found to deliver fuel oil that does not comply with that stated on the bunker delivery note;
5.: inform the Administration of any ship receiving fuel oil found to be non-compliant with the requirements of regulation 14 or 18 of this Annex; and
6.: inform the Organization for circulation to Parties and Member States of the Organization of all cases where fuel oil suppliers have failed to meet the requirements specified in regulations 14 or 18 of this Annex.

10.

In connection with port State inspections carried out by Parties, the Parties further undertake to:

1.: inform the Party or non-Party under whose jurisdiction a bunker delivery note was issued of cases of delivery of non-compliant fuel oil, giving all relevant information; and
2.: ensure that remedial action as appropriate is taken to bring non-compliant fuel oil discovered into compliance.

11.

For every ship of 400 gross tonnage and above on scheduled services with frequent and regular port calls, an Administration may decide after application and consultation with affected States that compliance with paragraph 6 of this regulation may be documented in an alternative manner that gives similar certainty of compliance with regulations 14 and 18 of this Annex.

Chapter 4. Regulations on the carbon intensity of international shipping

Regulation 19. Application

1.

This chapter shall apply to all ships of 400 gross tonnage and above.

2.

The provisions of this chapter shall not apply to:

1.: ships solely engaged in voyages within waters subject to the sovereignty or jurisdiction of the State the flag of which the ship is entitled to fly. However, each Party should ensure, by the adoption of appropriate measures, that such ships are constructed and act in a manner consistent with the requirements of chapter 4 of this Annex, so far as is reasonable and practicable.
2.: ships not propelled by mechanical means, and platforms including FPSOs and FSUs and drilling rigs, regardless of their propulsion.

3.

Regulations 22, 23, 24 and 25 of this Annex shall not apply to ships which have non-conventional propulsion, except that regulations 22 and 24 shall apply to cruise passenger ships having non-conventional propulsion and LNG carriers having conventional or non-conventional propulsion, delivered on or after 1 September 2019, as defined in regulation 2.2.1, and regulations 23 and 25 shall apply to cruise passenger ships having non-conventional propulsion and LNG carriers having conventional or non-conventional propulsion. Regulations 22, 23, 24, 25 and 28 shall not apply to category A ships as defined in the Polar Code.

4.

Notwithstanding the provisions of paragraph 1 of this regulation, the Administration may waive the requirement for a ship of 400 gross tonnage and above to comply with regulations 22 and 24 of this Annex.

5.

The provision of paragraph 4 of this regulation shall not apply to ships of 400 gross tonnage and above:

1.: for which the building contract is placed on or after 1 January 2017; or
2.: in the absence of a building contract, the keel of which is laid or which is at a similar stage of construction on or after 1 July 2017; or
3.: the delivery of which is on or after 1 July 2019; or
4.: in cases of a major conversion of a new or existing ship, as defined in regulation 2.2.17 of this Annex, on or after 1 January 2017, and in which regulations 5.4.2 and 5.4.3 of this Annex apply.

6.

The Administration of a Party to the present Convention which allows the application of paragraph 4, or suspends, withdraws or declines the application of that paragraph, to a ship entitled to fly its flag shall forthwith communicate to the Organization for circulation to the Parties to the present Protocol particulars thereof, for their information.

Regulation 20. Goal

The goal of this chapter is to reduce the carbon intensity of international shipping, working towards the levels of ambition set out in the Initial IMO Strategy on reduction of GHG emissions from ships.

Regulation 21. Functional requirements

In order to achieve the goal set out in regulation 20 of this Annex, a ship to which this chapter applies shall comply, as applicable, with the following functional requirements to reduce its carbon intensity:

1.: the technical carbon intensity requirements in accordance with regulations 22, 23, 24 and 25 of this Annex; and
2.: the operational carbon intensity requirements in accordance with regulations 26, 27 and 28 of this Annex.

Regulation 22. Attained Energy Efficiency Design Index (attained EEDI)

1.

The attained EEDI shall be calculated for:

1.: each new ship;
2.: each new ship which has undergone a major conversion; and
3.: each new or existing ship which has undergone a major conversion that is so extensive that the ship is regarded by the Administration as a newly constructed ship

which falls into one or more of the categories in regulations 2.2.5, 2.2.7, 2.2.9, 2.2.11, 2.2.14 to 2.2.16, 2.2.20, 2.2.22, and 2.2.26 to 2.2.29 of this Annex. The attained EEDI shall be specific to each ship and shall indicate the estimated performance of the ship in terms of energy efficiency, and be accompanied by the EEDI technical file that contains the information necessary for the calculation of the attained EEDI and that shows the process of calculation. The attained EEDI shall be verified, based on the EEDI technical file, either by the Administration or by any organization duly authorized by it.

2.

The attained EEDI shall be calculated taking into account the guidelines developed by the Organization.

3.

For each ship subject to regulation 24 of this Annex, the Administration or any organization duly authorized by it shall report to the Organization the required and attained EEDI values and relevant information, taking into account the guidelines developed by the Organization, via electronic communication:

1.: within seven months of completing the survey required under regulation 5.4 of this Annex; or
2.: within seven months following 1 April 2022 for a ship delivered prior to 1 April 2022.

Regulation 23. Attained Energy Efficiency Existing Ship Index (attained EEXI)

1.

The attained EEXI shall be calculated for:

1.: each ship; and
2.: each ship which has undergone a major conversion

which falls into one or more of the categories in regulations 2.2.5, 2.2.7, 2.2.9, 2.2.11, 2.2.14 to 2.2.16, 2.2.22, and 2.2.26 to 2.2.29 of this Annex. The attained EEXI shall be specific to each ship and shall indicate the estimated performance of the ship in terms of energy efficiency, and be accompanied by the EEXI technical file which contains the information necessary for the calculation of the attained EEXI and which shows the process of the calculation. The attained EEXI shall be verified, based on the EEXI technical file, either by the Administration or by any organization duly authorized by it.

2.

The attained EEXI shall be calculated taking into account the guidelines developed by the Organization.

3.

Notwithstanding paragraph 1 of this regulation, for each ship to which regulation 22 of this Annex applies, the attained EEDI verified by the Administration or by any organization duly authorized by it in accordance with regulation 22.1 of this Annex may be taken as the attained EEXI if the value of the attained EEDI is equal to or less than that of the required EEXI required by regulation 25 of this Annex. In this case, the attained EEXI shall be verified based on the EEDI technical file.

Regulation 24. Required EEDI

1.

For each:

1.: new ship,
2.: new ship which has undergone a major conversion, and
3.: new or existing ship which has undergone a major conversion that is so extensive that the ship is regarded by the Administration as a newly constructed ship

which falls into one of the categories in regulations 2.2.5, 2.2.7, 2.2.9, 2.2.11, 2.2.14 to 2.2.16, 2.2.22, and 2.2.26 to 2.2.29 and to which this chapter is applicable, the attained EEDI shall be as follows:

where X is the reduction factor specified in table 1 for the required EEDI compared to the EEDI reference line.

Deze afbeelding is in bewerking.

2.

For each new and existing ship that has undergone a major conversion which is so extensive that the ship is regarded by the Administration as a newly constructed ship, the attained EEDI shall be calculated and meet the requirement of paragraph 1 of this regulation with the reduction factor applicable corresponding to the ship type and size of the converted ship at the date of the contract of the conversion, or in the absence of a contract, the commencement date of the conversion.

Table 1 — Reduction factors (in percentage) for the EEDI relative to the EEDI reference line
Ship Type	Size	Phase 0 1 Jan 2013 — 31 Dec 2014	Phase 1 1 Jan 2015 — 31 Dec 2019	Phase 2 1 Jan 2020 — 31 Mar 2022	Phase 2 1 Jan 2020 — 31 Dec 2024	Phase 3 1 Apr 2022 and onwards	Phase 3 1 Jan 2025 and onwards
Bulk carrier	20,000 DWT and above	0	10		20		30
Bulk carrier	10,000 and above but less than 20,000 DWT	n/a	0–101)		0–201)		0–301)
Gas carrier	15,000 DWT and above	0	10	20		30
	10,000 and above but less than 15,000 DWT	0	10	20		30
	2,000 and above but less than 10,000 DWT	n/a	0–101)		0–201)		0–301)
Tanker	20,000 DWT and above	0	10		20		30
Tanker	4,000 and above but less than 20,000 DWT	n/a	0–101)		0–201)		0–301)
Containership	200,000 DWT and above	0	10	20		50
	120,000 and above but less than 200,000 DWT	0	10	20		45
	80,000 and above but less than 120,000 DWT	0	10	20		40
	40,000 and above but less than 80,000 DWT	0	10	20		35
	15,000 and above but less than 40,000 DWT	0	10	20		30
	10,000 and above but less than 15,000 DWT	n/a	0–101)	0–201)		15–301)
General Cargo ships	15,000 DWT and above	0	10	15		30
General Cargo ships	3,000 and above but less than 15,000 DWT	n/a	0–101)	0–151)		0–301)
Refrigerated cargo carrier	5,000 DWT and above	0	10	15		30
Refrigerated cargo carrier	3,000 and above but less than 5,000 DWT	n/a	0–101)		0–151)		0–301)
Combination carrier	20,000 DWT and above	0	10		20		30
Combination carrier	4,000 and above but less than 20,000 DWT	n/a	0–101)		0–201)		0–301)
LNG carrier2.	10,000 DWT and above	n/a	103)	20		30
Ro-ro cargo ship (vehicle carrier)2.)	10,000 DWT and above	n/a	53)		15		30
Ro-ro cargo ship2.	2,000 DWT and above	n/a	53)		20		30
Ro-ro cargo ship2.	1,000 and above but less than 2,000 DWT	n/a	0–51),3)		0–201)		0–301)
Ro-ro passenger ship2.	1,000 DWT and above	n/a	53)		20		30
Ro-ro passenger ship2.	250 and above but less than 1,000 DWT	n/a	0–51),3)		0–201)		0–301)
Cruise passenger ship2. having non-conventional propulsion	85,000 GT and above	n/a	53)		20		30
Cruise passenger ship2. having non-conventional propulsion	25,000 and above but less than 85,000 GT	n/a	0–51),3)	0–201)		0–301)

Note: n/a means that no required EEDI applies.

3.

The reference line values shall be calculated as follows:

Reference line value = a • b^-c

where a, b and c are the parameters given in table 2.

Table 2 — Parameters for the determination of reference values for the different ship types
Ship type defined in regulation 2	a	b	c
2.2.5 Bulk carrier	961.79	DWT of the ship where DWT≤279,000 279,000 where DWT > 279,000	0.477
2.2.7 Combination carrier	1,219.00	DWT of the ship	0.488
2.2.9 Containership	174.22	DWT of the ship	0.201
2.2.11 Cruise passenger ship having non-conventional propulsion	170.84	GT of the ship	0.214
2.2.14 Gas carrier	1,120.00	DWT of the ship	0.456
2.2.15 General cargo ship	107.48	DWT of the ship	0.216
2.2.16 LNG carrier	2,253.7	DWT of the ship	0.474
2.2.22 Refrigerated cargo carrier	227.01	DWT of the ship	0.244
2.2.26 Ro-ro cargo ship	1405.15	DWT of the ship	0.498
2.2.26 Ro-ro cargo ship	1686.171)	DWT of the ship where DWT≤17,0001) 17,000 where DWT > 17,0001)	0.498
2.2.27 Ro-ro cargo ship (vehicle carrier)	(DWT/GT)-0.7 • 780.36 where DWT/GT < 0.3 1,812.63 where DWT/GT ≥ 0.3	DWT of the ship	0.471
2.2.28 Ro-ro passenger ship	752.16	DWT of the ship	0.381
2.2.28 Ro-ro passenger ship	902.591)	DWT of the ship where DWT≤10,0001) 10,000 where DWT > 10,0001)	0.381
2.2.29 Tanker	1,218.80	DWT of the ship	0.488

4.

If the design of a ship allows it to fall into more than one of the ship type definitions specified in table 2, the required EEDI for the ship shall be the most stringent (the lowest) required EEDI.

5.

For each ship to which this regulation applies, the installed propulsion power shall not be less than the propulsion power needed to maintain the manoeuvrability of the ship under adverse conditions as defined in the guidelines to be developed by the Organization.

6.

At the beginning of phase 1 and at the midpoint of phase 2, the Organization shall review the status of technological developments and, if proven necessary, amend the time periods, the EEDI reference line parameters for relevant ship types and reduction rates set out in this regulation.

Regulation 25. Required EEXI

1.

For:

1.: each ship; and
2.: each ship which has undergone a major conversion

where Y is the reduction factor specified in Table 3 for the required EEXI compared to the EEDI reference line.

Deze afbeelding is in bewerking.

Table 3 — Reduction factors (in percentage) for the EEXI relative to the EEDI reference line
Ship type	Size	Reduction factor
Bulk carrier	200,000 DWT and above	15
	20,000 and above but less than 200,000 DWT	20
	10,000 and above but less than 20,000 DWT	0–201)
Gas carrier	15,000 DWT and above	30
	10,000 and above but less than 15,000 DWT	20
	2,000 and above but less than 10,000 DWT	0–201)
Tanker	200,000 DWT and above	15
	20,000 and above but less than 200,000 DWT	20
	4,000 and above but less than 20,000 DWT	0–201)
Containership	200,000 DWT and above	50
	120,000 and above but less than 200,000 DWT	45
	80,000 and above but less than 120,000 DWT	35
	40,000 and above but less than 80,000 DWT	30
	15,000 and above but less than 40,000 DWT	20
	10,000 and above but less than 15,000 DWT	0–201)
General cargo ship	15,000 DWT and above	30
General cargo ship	3,000 and above but less than 15,000 DWT	0–301)
Refrigerated cargo carrier	5,000 DWT and above	15
Refrigerated cargo carrier	3,000 and above but less than 5,000 DWT	0–151)
Combination carrier	20,000 DWT and above	20
Combination carrier	4,000 and above but less than 20,000 DWT	0–201)
LNG carrier	10,000 DWT and above	30
Ro-ro cargo ship (vehicle carrier)	10,000 DWT and above	15
Ro-ro cargo ship	2,000 DWT and above	5
Ro-ro cargo ship	1,000 and above but less than 2,000 DWT	0–51)
Ro-ro passenger ship	1,000 DWT and above	5
Ro-ro passenger ship	250 and above but less than 1,000 DWT	5 0–51)
Cruise passenger ship having non-conventional propulsion	85,000 GT and above	30
Cruise passenger ship having non-conventional propulsion	25,000 and above but less than 85,000 GT	0–301)

2.

The EEDI reference line values shall be calculated in accordance with regulations 24.3 and 24.4 of this Annex. For ro-ro cargo ships and ro-ro passenger ships, the reference line value to be used from phase 2 and thereafter under regulation 24.3 of this Annex shall be referred to.

3.

A review shall be completed by 1 January 2026 by the Organization to assess the effectiveness of this regulation taking into account any guidelines developed by the Organization. If, based on the review, the Parties decide to adopt amendments to this regulation, such amendments shall be adopted and brought into force in accordance with the provisions of Article 16 of the present Convention.

Regulation 26. Ship Energy Efficiency Management Plan (SEEMP)

1.

Each ship shall keep on board a ship specific Ship Energy Efficiency Management Plan (SEEMP). This may form part of the ship's Safety Management System (SMS). The SEEMP shall be developed and reviewed, taking into account the guidelines adopted by the Organization.

2.

In the case of a ship of 5,000 gross tonnage and above, the SEEMP shall include a description of the methodology that will be used to collect the data required by regulation 27.1 of this Annex and the processes that will be used to report the data to the ship's Administration.

3.

In the case of a ship of 5,000 gross tonnage and above, which falls into one or more of the categories in regulations 2.2.5, 2.2.7, 2.2.9, 2.2.11, 2.2.14 to 2.2.16, 2.2.22, and 2.2.26 to 2.2.29 of this Annex:

1.

On or before 1 January 2023 the SEEMP shall include:

1.: a description of the methodology that will be used to calculate the ship's attained annual operational CII required by regulation 28 of this Annex and the processes that will be used to report this value to the ship's Administration;
2.: the required annual operational CII, as specified in regulation 28 of this Annex, for the next three years;
3.: an implementation plan documenting how the required annual operational CII will be achieved during the next three years; and
4.: a procedure for self-evaluation and improvement.

2.

For a ship rated as D for three consecutive years or rated as E in accordance with regulation 28 of this Annex, the SEEMP shall be reviewed in accordance with regulation 28.8 of this Annex to include a plan of corrective actions to achieve the required annual operational CII.

3.

The SEEMP shall be subject to verification and company audits taking into account the guidelines to be developed by the Organization.

Regulation 27. Collection and reporting of ship fuel oil consumption data

1.: From calendar year 2019, each ship of 5,000 gross tonnage and above shall collect the data specified in appendix IX to this Annex, for that and each subsequent calendar year or portion thereof, as appropriate according to the methodology included in the SEEMP.
2.: Except as provided for in paragraphs 4, 5 and 6 of this regulation, at the end of each calendar year, the ship shall aggregate the data collected in that calendar year or portion thereof, as appropriate.
3.: Except as provided for in paragraphs 4, 5 and 6 of this regulation, within three months after the end of each calendar year, the ship shall report to its Administration or any organization duly authorized by it, the aggregated value for each datum specified in appendix IX to this Annex, via electronic communication and using a standardized format to be developed by the Organization.
4.: In the event of the transfer of a ship from one Administration to another, the ship shall on the day of completion of the transfer or as close as practical thereto report to the losing Administration or any organization duly authorized by it, the aggregated data for the period of the calendar year corresponding to that Administration, as specified in appendix IX to this Annex and, upon prior request of that Administration, the disaggregated data.
5.: In the event of a change from one company to another, the ship shall on the day of completion of the change or as close as practical thereto report to its Administration or any organization duly authorized by it, the aggregated data for the portion of the calendar year corresponding to the company, as specified in appendix IX to this Annex and, upon request of its Administration, the disaggregated data.
6.: In the event of change from one Administration to another and from one company to another concurrently, paragraph 4 of this regulation shall apply.
7.: The data shall be verified according to procedures established by the Administration, taking into account the guidelines developed by the Organization.
8.: Except as provided for in paragraphs 4, 5 and 6 of this regulation, the disaggregated data that underlies the reported data noted in appendix IX to this Annex for the previous calendar year shall be readily accessible for a period of not less than 12 months from the end of that calendar year and be made available to the Administration upon request.
9.: The Administration shall ensure that the reported data noted in appendix IX to this Annex by its registered ships of 5,000 gross tonnage and above are transferred to the IMO Ship Fuel Oil Consumption Database via electronic communication and using a standardized format to be developed by the Organization not later than one month after issuing the Statements of Compliance of these ships.
10.: On the basis of the reported data submitted to the IMO Ship Fuel Oil Consumption Database, the Secretary-General of the Organization shall produce an annual report to the Marine Environment Protection Committee summarizing the data collected, the status of missing data, and such other relevant information as may be requested by the Committee.
11.: The Secretary-General of the Organization shall grant the Administration of a ship to which regulation 28 of this Annex applies access to all the reported data for all the preceding calendar year in the IMO Ship Fuel Oil Consumption Database for that ship.
12.: The Secretary-General of the Organization shall maintain an anonymized database such that identification of a specific ship will not be possible. Parties shall have access to the anonymized data strictly for their analysis and consideration.
13.: The IMO Ship Fuel Oil Consumption Database shall be undertaken and managed by the Secretary-General of the Organization, pursuant to guidelines to be developed by the Organization.

Regulation 28. Operational carbon intensity

Attained annual operational carbon intensity indicator (attained annual operational CII)

1.: After the end of calendar year 2023 and after the end of each following calendar year, each ship of 5,000 gross tonnage and above which falls into one or more of the categories in regulations 2.2.5, 2.2.7, 2.2.9, 2.2.11, 2.2.14 to 2.2.16, 2.2.22, and 2.2.26 to 2.2.29 of this Annex shall calculate the attained annual operational CII over a 12-month period from 1 January to 31 December for the preceding calendar year, using the data collected in accordance with regulation 27 of this Annex, taking into account the guidelines to be developed by the Organization.
2.: Within three months after the end of each calendar year, the ship shall report to its Administration, or any organization duly authorized by it, the attained annual operational CII via electronic communication and using a standardized format to be developed by the Organization.
3.: Notwithstanding 1 and 2 of this regulation, in the event of any transfer of a ship addressed in regulations 27.4, 27.5 or 27.6 completed after 1 January 2023, a ship shall, after the end of the calendar year in which the transfer takes place, calculate and report the attained annual operational CII for the full 12-month period from 1 January to 31 December in the calendar year during which the transfer took place, in accordance with regulations 28.1 and 28.2, for verification in accordance with regulation 6.6 of this Annex, taking into account guidelines to be developed by the Organization. Nothing in this regulation relieves any ship of its reporting obligations under regulation 27 or this regulation of this Annex.

Required annual operational carbon intensity indicator (required annual operational CII)

4.: For each ship of 5,000 gross tonnage and above which falls into one or more of the categories in regulations 2.2.5, 2.2.7, 2.2.9, 2.2.11, 2.2.14 to 2.2.16, 2.2.22, and 2.2.26 to 2.2.29 of this Annex, the required annual operational CII shall be determined as follows:
where,
Z is the annual reduction factor to ensure continuous improvement of the ship's operational carbon intensity within a specific rating level; and
Deze afbeelding is in bewerking. is the reference value.
Deze afbeelding is in bewerking.
5.: The annual reduction factor Z and the reference value Deze afbeelding is in bewerking. shall be the values defined taking into account the guidelines to be developed by the Organization.

Operational carbon intensity rating

6.: The attained annual operational CII shall be documented and verified against the required annual operational CII to determine operational carbon intensity rating A, B, C, D or E, indicating a major superior, minor superior, moderate, minor inferior, or inferior performance level, either by the Administration or by any organization duly authorized by it, taking into account the guidelines developed by the Organization. The middle point of rating level C shall be the value equivalent to the required annual operational CII set out in paragraph 4 of this regulation.

Corrective actions and incentives

7.: A ship rated as D for three consecutive years or rated as E shall develop a plan of corrective actions to achieve the required annual operational CII.
8.: The SEEMP shall be reviewed to include the plan of corrective actions accordingly, taking into account the guidelines to be developed by the Organization. The revised SEEMP shall be submitted to the Administration or any organization duly authorized by it for verification, preferably together with, but in no case later than 1 month after reporting the attained annual operational CII in accordance with paragraph 2 of this regulation.
9.: A ship rated as D for three consecutive years or rated as E shall duly undertake the planned corrective actions in accordance with the revised SEEMP.
10.: Administrations, port authorities and other stakeholders as appropriate, are encouraged to provide incentives to ships rated as A or B.

Review

11.

A review shall be completed by 1 January 2026 by the Organization to assess:

1.: the effectiveness of this regulation in reducing the carbon intensity of international shipping;
2.: the need for reinforced corrective actions or other means of remedy, including possible additional EEXI requirements;
3.: the need for enhancement of the enforcement mechanism;
4.: the need for enhancement of the data collection system; and
5.: the revision of the Z factor and CII_R values.

If based on the review the Parties decide to adopt amendments to this regulation, such amendments shall be adopted and brought into force in accordance with the provisions of Article 16 of the present Convention.

Regulation 29. Promotion of technical cooperation and transfer of technology relating to the improvement of energy efficiency of ships

1.: Administrations shall, in cooperation with the Organization and other international bodies, promote and provide support, as appropriate, directly or through the Organization to States that request technical assistance, especially developing States.
2.: The Administration of a Party shall cooperate actively with other Parties, subject to its national laws, regulations and policies, to promote the development and transfer of technology and exchange of information to States which request technical assistance, particularly developing States, in respect of the implementation of measures to fulfil the requirements of chapter 4 of this Annex, in particular regulations 19.4 to 19.6.

Chapter 5. Verification of compliance with the provisions of this annex

Regulation 30. Application

Parties shall use the provisions of the Code for Implementation in the execution of their obligations and responsibilities contained in this Annex.

Regulation 31. Verification of compliance

1.

Every Party shall be subject to periodic audits by the Organization in accordance with the audit standard to verify compliance with and implementation of this Annex.

2.

The Secretary-General of the Organization shall have responsibility for administering the Audit Scheme, based on the guidelines developed by the Organization.

3.

Every Party shall have responsibility for facilitating the conduct of the audit and implementation of a programme of actions to address the findings, based on the guidelines developed by the Organization.

4.

The audits of all Parties shall be:

1.: based on an overall schedule developed by the Secretary-General of the Organization, taking into account the guidelines developed by the Organization; and
2.: conducted at periodic intervals, taking into account the guidelines developed by the Organization.

Toon alle voetnoten

Voetnoten

1).

Reduction factor to be linearly interpolated between the two values dependent upon ship size. The lower value of the reduction factor is to be applied to the smaller ship size.

1).

Reduction factor to be linearly interpolated between the two values dependent upon ship size. The lower value of the reduction factor is to be applied to the smaller ship size.

1).

Reduction factor to be linearly interpolated between the two values dependent upon ship size. The lower value of the reduction factor is to be applied to the smaller ship size.

1).

Reduction factor to be linearly interpolated between the two values dependent upon ship size. The lower value of the reduction factor is to be applied to the smaller ship size.

1).

Reduction factor to be linearly interpolated between the two values dependent upon ship size. The lower value of the reduction factor is to be applied to the smaller ship size.

1).

Reduction factor to be linearly interpolated between the two values dependent upon ship size. The lower value of the reduction factor is to be applied to the smaller ship size.

1).

Reduction factor to be linearly interpolated between the two values dependent upon ship size. The lower value of the reduction factor is to be applied to the smaller ship size.

1).

Reduction factor to be linearly interpolated between the two values dependent upon ship size. The lower value of the reduction factor is to be applied to the smaller ship size.

1).

Reduction factor to be linearly interpolated between the two values dependent upon ship size. The lower value of the reduction factor is to be applied to the smaller ship size.

1).

Reduction factor to be linearly interpolated between the two values dependent upon ship size. The lower value of the reduction factor is to be applied to the smaller ship size.

1).

Reduction factor to be linearly interpolated between the two values dependent upon ship size. The lower value of the reduction factor is to be applied to the smaller ship size.

1).

Reduction factor to be linearly interpolated between the two values dependent upon ship size. The lower value of the reduction factor is to be applied to the smaller ship size.

1).

Reduction factor to be linearly interpolated between the two values dependent upon ship size. The lower value of the reduction factor is to be applied to the smaller ship size.

1).

Reduction factor to be linearly interpolated between the two values dependent upon ship size. The lower value of the reduction factor is to be applied to the smaller ship size.

1).

Reduction factor to be linearly interpolated between the two values dependent upon ship size. The lower value of the reduction factor is to be applied to the smaller ship size.

1).

Reduction factor to be linearly interpolated between the two values dependent upon ship size. The lower value of the reduction factor is to be applied to the smaller ship size.

1).

Reduction factor to be linearly interpolated between the two values dependent upon ship size. The lower value of the reduction factor is to be applied to the smaller ship size.

1).

Reduction factor to be linearly interpolated between the two values dependent upon ship size. The lower value of the reduction factor is to be applied to the smaller ship size.

1).

Reduction factor to be linearly interpolated between the two values dependent upon ship size. The lower value of the reduction factor is to be applied to the smaller ship size.

Reduction factor applies to those ships delivered on or after 1 September 2019, as defined in paragraph 2.1 of regulation 2.

3).

Phase 1 commences for those ships on 1 September 2015.

Reduction factor applies to those ships delivered on or after 1 September 2019, as defined in paragraph 2.1 of regulation 2.

3).

Phase 1 commences for those ships on 1 September 2015.

Reduction factor applies to those ships delivered on or after 1 September 2019, as defined in paragraph 2.1 of regulation 2.

3).

Phase 1 commences for those ships on 1 September 2015.

1).

Reduction factor to be linearly interpolated between the two values dependent upon ship size. The lower value of the reduction factor is to be applied to the smaller ship size.

3).

Phase 1 commences for those ships on 1 September 2015.

1).

Reduction factor to be linearly interpolated between the two values dependent upon ship size. The lower value of the reduction factor is to be applied to the smaller ship size.

1).

Reduction factor to be linearly interpolated between the two values dependent upon ship size. The lower value of the reduction factor is to be applied to the smaller ship size.

Reduction factor applies to those ships delivered on or after 1 September 2019, as defined in paragraph 2.1 of regulation 2.

3).

Phase 1 commences for those ships on 1 September 2015.

1).

Reduction factor to be linearly interpolated between the two values dependent upon ship size. The lower value of the reduction factor is to be applied to the smaller ship size.

3).

Phase 1 commences for those ships on 1 September 2015.

1).

Reduction factor to be linearly interpolated between the two values dependent upon ship size. The lower value of the reduction factor is to be applied to the smaller ship size.

1).

Reduction factor to be linearly interpolated between the two values dependent upon ship size. The lower value of the reduction factor is to be applied to the smaller ship size.

Reduction factor applies to those ships delivered on or after 1 September 2019, as defined in paragraph 2.1 of regulation 2.

3).

Phase 1 commences for those ships on 1 September 2015.

1).

Reduction factor to be linearly interpolated between the two values dependent upon ship size. The lower value of the reduction factor is to be applied to the smaller ship size.

3).

Phase 1 commences for those ships on 1 September 2015.

1).

Reduction factor to be linearly interpolated between the two values dependent upon ship size. The lower value of the reduction factor is to be applied to the smaller ship size.

1).

Reduction factor to be linearly interpolated between the two values dependent upon ship size. The lower value of the reduction factor is to be applied to the smaller ship size.

1).

to be used from phase 2 and thereafter.

1).

to be used from phase 2 and thereafter.

1).

to be used from phase 2 and thereafter.

1).

to be used from phase 2 and thereafter.

1).

to be used from phase 2 and thereafter.

1).

to be used from phase 2 and thereafter.

1).

Reduction factor to be linearly interpolated between the two values dependent upon ship size. The lower value of the reduction factor is to be applied to the smaller ship size.

1).

Reduction factor to be linearly interpolated between the two values dependent upon ship size. The lower value of the reduction factor is to be applied to the smaller ship size.

1).

Reduction factor to be linearly interpolated between the two values dependent upon ship size. The lower value of the reduction factor is to be applied to the smaller ship size.

1).

Reduction factor to be linearly interpolated between the two values dependent upon ship size. The lower value of the reduction factor is to be applied to the smaller ship size.

1).

Reduction factor to be linearly interpolated between the two values dependent upon ship size. The lower value of the reduction factor is to be applied to the smaller ship size.

1).

Reduction factor to be linearly interpolated between the two values dependent upon ship size. The lower value of the reduction factor is to be applied to the smaller ship size.

1).

Reduction factor to be linearly interpolated between the two values dependent upon ship size. The lower value of the reduction factor is to be applied to the smaller ship size.

1).

Reduction factor to be linearly interpolated between the two values dependent upon ship size. The lower value of the reduction factor is to be applied to the smaller ship size.

1).

Reduction factor to be linearly interpolated between the two values dependent upon ship size. The lower value of the reduction factor is to be applied to the smaller ship size.

Annex VI Regulations for the Prevention of Air Pollution from Ships

Chapter 1. General

Regulation 1. Application

Regulation 2. Definitions

Regulation 3. Exceptions and exemptions

General

Trials for ship emission reduction and control technology research

Emissions from seabed mineral activities

Unmanned non-self-propelled barges

Regulation 4. Equivalents

Chapter 2. Survey, certification and means of control

Regulation 5. Surveys

Regulation 6. Issue or endorsement of Certificates and Statements of Compliance related to fuel oil consumption reporting and operational carbon intensity rating

International Air Pollution Prevention Certificate

International Energy Efficiency Certificate

Statement of Compliance related to fuel oil consumption reporting and operational carbon intensity rating

Regulation 7. Issue of a Certificate by another Party

Regulation 8. Form of Certificates and Statements of Compliance related to fuel oil consumption reporting and operational carbon intensity rating

International Air Pollution Prevention Certificate

International Energy Efficiency Certificate

Statement of Compliance related to fuel oil consumption reporting and operational carbon intensity rating

International Air Pollution Prevention Exemption Certificate for Unmanned Non-self-propelled Barges

Regulation 9. Duration and validity of Certificates and Statements of Compliance related to fuel oil consumption reporting and operational carbon intensity rating

International Air Pollution Prevention Certificate

International Energy Efficiency Certificate

Statement of Compliance related to fuel oil consumption reporting and operational carbon intensity rating

Regulation 10. Port State control on operational requirements

Regulation 11. Detection of violations and enforcement

Chapter 3. Requirements for control of emissions from ships

Regulation 12. Ozone-depleting substances

Regulation 13. Nitrogen oxides (NOx)

Application

Major conversion

Tier I

Tier II

Tier III

Emission control area

Marine diesel engines installed on a ship constructed prior to 1 January 2000

Certification

Regulation 14. Sulphur oxides (SOx) and particulate matter

General requirements

Requirements within emission control areas

In-use and onboard fuel oil sampling and testing

In-use fuel oil sampling point

Regulation 15. Volatile organic compounds

Regulation 16. Shipboard incineration

Regulation 17. Reception facilities

Regulation 18. Fuel oil availability and quality

Fuel oil availability

Fuel oil quality

Chapter 4. Regulations on the carbon intensity of international shipping

Regulation 19. Application

Regulation 20. Goal

Regulation 21. Functional requirements

Regulation 22. Attained Energy Efficiency Design Index (attained EEDI)

Regulation 23. Attained Energy Efficiency Existing Ship Index (attained EEXI)

Regulation 24. Required EEDI

Regulation 25. Required EEXI

Regulation 26. Ship Energy Efficiency Management Plan (SEEMP)

Regulation 27. Collection and reporting of ship fuel oil consumption data

Regulation 28. Operational carbon intensity

Attained annual operational carbon intensity indicator (attained annual operational CII)

Required annual operational carbon intensity indicator (required annual operational CII)

Operational carbon intensity rating

Corrective actions and incentives

Review

Regulation 29. Promotion of technical cooperation and transfer of technology relating to the improvement of energy efficiency of ships

Chapter 5. Verification of compliance with the provisions of this annex

Regulation 30. Application

Regulation 31. Verification of compliance

Regulation 13. Nitrogen oxides (NO_x)

Regulation 14. Sulphur oxides (SO_x) and particulate matter