MARPOL Annex VI – Marine Protection Rules Part 199: Prevention of Air Pollution from Ships (Part 199)

New Zealand will soon be a party to MARPOL Annex VI

New Zealand will soon sign up to Annex VI of the International Maritime Organization (IMO) Convention for the Prevention of Pollution from Ships (MARPOL). MARPOL has six annexes categorised by pollution type. Annex VI of MARPOL seeks to address the impact of air pollution from shipping activities on human health and environments in and around port communities, and the impacts of emissions from shipping activities on climate change and ozone layer depletion.

The MARPOL Annex VI requirements are given effect by the Marine Protection Rules Part 199: Prevention of Air Pollution from Ships and the Engine Fuel Specification Regulations (administered by the Ministry of Business Innovation and Employment). The rules will apply to New Zealand ships at all times and to all other ships in seas under New Zealand’s jurisdiction, except for warships and ships of the New Zealand Defence Force. The rules will not apply to ships that only operate in inland waters, such as lakes or rivers.

Marine Protection Rules Part 199: Prevention Air Pollution from Ships

You can access the full text of the Part 199 rule here:

View Rule Part 199

MARPOL Annex VI and documents incorporated by reference

You can access the full text of MARPOL Annex VI and all the documents that are incorporated by reference in Part 199 here:

Read MARPOL Annex VI

Summary of the main requirements in Part 199

The main requirements in Part 199 are summarised below. This webpage will be updated soon so that beneath each summary you will find a link to the relevant section in the Part 199 Guide for NZ commercial ship operators. The guide will be published in late March 2022.

Fuel requirements

The rules introduce the following fuel requirements:

• all ships must use low sulphur fuels such as petrol, diesel or other petroleum or non-petroleum distillate fuels (or use acceptable alternative means to manage sulphur emissions); 
• all fuels used must meet specific fuel quality standards;
• all ships 400 GT or more must keep bunker delivery notes; and
• international voyaging ships 400 GT or more must also keep fuel samples.

Ship operators that cannot access low sulphur fuels for a specific voyage must notify the Director of Maritime NZ and the authorities at the destination port prior to their departure. Ship operators are required to meet the fuel requirements from the date the rules come into effect.

Sulphur oxides (SOₓ) pollutants are the by-products of fuel combustion in an engine. The higher the level of sulphur in the fuel, the more SOₓ are emitted in exhaust gases. The actual amount of SOₓ created in the process depends on the combustion temperature and pressure, the level of oxygen exposure in the process, and the level of sulphur in the fuel. Emitted SOₓ react with water vapour creating sulphuric acid, a corrosive substance known to cause harm to environments and marine species. Sulphuric acid also poses a serious health risk to people. 

Engine exhausts emit particulate matter (PM) which is primarily soot with a lesser portion of heavy metals and other chemicals that result from the combustion process. The smaller the particles of PM the higher the health risk to people who are exposed. PM can get deep into a person’s lungs and bloodstream and is a known carcinogen.

Using combustible fuels with a lower sulphur content will reduce the overall emissions of SOₓ and PM into the atmosphere. Ship operators have the option to use either low sulphur petroleum distillate fuels, diesel, blended residual fuels or other fuels that have low to zero sulphur content, such as liquefied natural gas (LNG) or biofuels.

Alternatively, ship operators may seek Director Approval to use higher sulphur fuels so long as they are also using technologies that can remove pollutants from engine exhaust fumes before the fumes are released into the air. An example of these technologies is exhaust gas cleaning systems (EGCS, or exhaust scrubbers).

Nitrogen oxide emission (NOₓ) engine emission requirements for international voyaging ships

The rules introduce limits on the emission of nitrogen oxides (NOₓ) from many installed engines over 130 kW power output on ships. There are specific requirements for testing, survey and certification of engines to ensure they comply with the Technical Code on Control of Emission of Nitrogen Oxides from Marine Diesel Engines (known as the NOₓ Technical Code 2008).

Ships cause emissions of NOₓ from the combustion of fuel in engines. NOₓ are air pollutants; NOₓ gases also react to form smog and acid rain and form fine particles and ground level ozone, all of which can harm public health.

The rules require installed engines, other than those solely used for emergency purposes, to be designed and operated under maximum limits of NOₓ emissions. The rules apply to engines over 130 kW output power (ie over 174.3 horsepower) installed on international voyaging ships constructed since 1 January 2000.

As evidence of compliance with the NOₓ requirements, internationally voyaging ships must carry a technical file and Engine International Air Pollution Prevention (EIAPP) certificate for each engine over 130 kW.

The EIAPP certificate is usually issued by the maritime administration of the country where the engine was manufactured. For each EIAPP certified engine there must be a technical file on board which defines specific parameters for compliant operation of the engine on board the ship, and provides procedures for verification of compliance and any additional relevant documentation. The technical file and EIAPP certificate are provided by the engine manufacturer. These documents may be amended, for example if the engine undergoes modifications.

If the EIAPP certificate states the engine’s compliance with the NOₓ emission limits must be tested using the Engine Parameter Check Method, the ship operator must keep a record book of engine parameters.

Nitrogen oxide emission (NOₓ) engine emission requirements for domestic voyaging ships

Part 199 introduces limits on the emission of nitrogen oxides (NOₓ) from many installed engines over 130 kW power output on ships other than those engines used solely for emergencies. There are specific requirements for testing, survey and certification of installed engines on domestic voyaging ships that were constructed or last had a major conversion on or after 19 May 2005.

Domestic voyaging ships are those that never voyage to foreign ports or terminals. A voyage beyond New Zealand’s jurisdiction that returns without visiting a foreign port or terminal is considered to be a domestic voyage.

While international voyaging ships must hold a technical file and EIAPP certificate as evidence of compliance with the NOₓemission limits, Part 199 allows domestic voyaging ships three options for demonstrating compliance. Surveyors will carefully assess the evidence provided by a ship operator to ensure they can be satisfied it demonstrates the engine is likely to meet the required NOₓ emission limits.

Option 1: EIAPP certificates and technical files as evidence of compliance

As with the internationally voyaging ships, domestic voyaging ship operators can carry a technical file and Engine International Air Pollution Prevention (EIAPP) certificate for engines over 130 kW. Technical files and EIAPP certificates are only available for engines designed for marine use.

Option 2: Other evidence of compliance that can be used indefinitely 

Some forms of evidence that will be acceptable for some engines can be used indefinitely. If an operator has the specific evidence required to show an applicable ship engine meets one of the regulatory standards listed in the Part 199 Guide, they will be able to keep that engine. They will also be able to replace that engine with another engine that also meets one of the acceptable regulatory standards on the list.

Please note, the Part 199 Guide will be available in April 2022. A link to that guide will be added to this page when it is published.

Option 3: Other evidence of compliance that can be used until 30 June 2032 

There are some forms of evidence that will cease to be accepted from 30 June 2032. These forms of evidence are also listed in the Part 199 Guide. Ship operators that rely on these forms of evidence will be required to replace their engine before 1 July 2032 with an engine that either comes with a technical file and EIAPP certificate, or with an engine that meets one of the regulatory standards that apply indefinitely (see option 2).

Further advice on the range of documents that can be used as evidence of compliance with the NOₓ emission limits under options 2 and 3 will be included in the Part 199 Guide which will be published in April 2022.

Control of other air pollutants

Ships are required to prevent the emission of air pollutants from installed equipment that contain ozone depleting substances (ODS) and from shipboard incinerators. This equipment must be carefully managed in line with the requirements in Part 199.

Tankers that carry crude oil are also required to have a management plan to prevent unintended emissions of volatile organic compounds (VOC). 

Erosion of the ozone layer contributes to the damaging effect of climate change on people and the environment. ODS can also be potent greenhouse gases, and contribute to climate change. International efforts to reduce the use of ODS under the Vienna Convention for the Protection of the Ozone Layer and its protocols have been successful. The requirements to phase out ODS have been included in MARPOL Annex VI to ensure compliance by the international shipping sector.

MARPOL Annex VI places restrictions on the use of shipboard incinerators to protect port communities. Depending on what is being incinerated, and the design and operation of the incinerator, the emissions can be highly toxic. As the particulate matter (PM) from the smoke settles, the carcinogenic compounds can be inhaled by people, animals and other species and damage natural environments.

Volatile organic compounds (VOC) are gaseous at room temperature and flammable. New Zealand tankers carrying crude oil and other petroleum distillates must manage the potential for air pollution by VOC.

Carbon intensity reduction requirements for ships 400 GT or more

To reduce the overall greenhouse gas emissions from shipping, ships 400 gross tonnage (GT) or more are required to identify and manage the carbon intensity of the ship’s operations. All ships 400 GT or more must have a Ship Energy Efficiency Management Plan (SEEMP) developed specifically for the ship.

Some ships must also have a calculation of either the Energy Efficiency Design Index (EEDI) or, from the next intermediate or renewal survey after 1 January 2023, the Energy Efficiency Existing Ship Index (EEXI) of their ship. Whether an EEDI or EEXI applies depends on the date of construction of the ship, though some categories of ships are excluded from the EEDI/EEXI requirements.

International voyaging ships must hold an International Energy Efficiency (IEE) certificate to demonstrate to maritime administrations that the ship is compliant with the carbon intensity reduction requirements. Domestic voyaging ships may choose to have either the IEE certificate or an Annex VI Endorsement on the ship’s Certificate of Survey.

The purpose of the requirements is to reduce the carbon intensity of international shipping to contribute to the IMO’s Initial IMO strategy on reduction of GHG emissions from ships.

Reporting requirements for ships 5000 GT or more

Most ships 5000 gross tonnage (GT) or more will need to submit an annual report for the previous calendar year’s fuel consumption to the International Maritime Organisation (IMO). Some of these ships will also need to have an Attained Annual Operational Carbon Intensity Indicator (CII) calculated and report on the resulting CII rating annually to the IMO also. If the IMO considers the rating to be unsatisfactory, the ship is required to take action to improve the CII rating.

The ships that submit annual reports must hold a Statement of Compliance issued by the Director, or an RO, for each year to show that reporting has been completed as required.

The IMO collects data from ships to monitor the carbon intensity of international shipping; while maritime administrations need information about the carbon intensity of domestic shipping. The IMO, and maritime administrations, need a range of evidence to determine the effectiveness of the greenhouse gas reduction actions ships are required to take. The fuel oil consumption reports and CII ratings of ships will contribute the data needed to measure the efficacy of compliance with the carbon intensity reduction requirements.

Survey and Certification for MARPOL Annex VI

Ship surveys

The surveys of ships (that are New Zealand ships when the rules come into effect) to verify compliance with Part 199 will be conducted at the next intermediate or renewal survey within the existing schedule of the surveys for each ship, after 1 January 2023. Ships that are newly constructed and ships that become New Zealand ships on or after the date Part 199 comes into force will have compliance checked at the initial survey.

Ship certificates

Part 199 requires most international voyaging ships of 400 GT or more to carry on board an International Air Pollution Prevention (IAPP) certificate and an International Energy Efficiency (lEE) certificate. Operators of domestic voyaging ships 400 GT or more can choose to either hold an Annex VI Endorsement on the ship’s Certificate of Survey or, hold the IAPP and IEE certificates. All commercial ships and internationally voyaging recreational ships under 400 GT must hold an Annex VI Endorsement on the ship’s Certificate of Survey, Barge Certificate of Safety, or certificate of fitness, whichever is applicable to the ship.

Ships that are New Zealand ships before the rules come into force, need to get these certificates at the next scheduled intermediate or renewal survey after 1 January 2023.

A Statement of Compliance will be issued to each ship 5000 GT or more following correct annual submission and verification of fuel oil consumption data reports and, for carbon intensity ships, the ship’s annual Carbon Intensity Indicator rating.

Prior consultation on Marine Protection Rules Part 199 in 2021

Public consultation on the proposed Marine Protection Rule Part 199: Prevention of Air Pollution from Ships (the proposed rules) closed on 4 August 2021. For anyone interested, the consultation document and the proposed rules are still available to view.

View closed consultation