Chapter 1 – General
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Statutory Documents - IMO Publications and Documents - Resolutions - Marine Environment Protection Committee - Resolution MEPC.328(76) - Amendments to the Annex of the Protocol Of 1997 to Amend the International Convention for the Prevention of Pollution from Ships, 1973, As Modified by the Protocol of 1978 Relating Thereto - (adopted on 17 June 2021) - Annex - MARPOL Annex VI Regulations for the Prevention of Air Pollution from Ships - Chapter 1 – General

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.footnote

  • .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.footnote

  • .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 NOx or SOx 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 NOx 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.footnote

  • .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 in relation to chapter 4 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 in relation to chapter 4 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 in relation to chapter 4 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 in relation to chapter 4 of this Annex means a cargo ship constructed or adapted and used for the carriage in bulk of liquefied natural gas (LNG).

  • .17 Major conversion means in relation to chapter 4 of this Annex 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 in relation to chapter 4 of this Annex 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, 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 NOX 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) bargefootnote 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 Organizationfootnote 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.

Parent topic: Annex - MARPOL Annex VI Regulations for the Prevention of Air Pollution from Ships
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