Chapter 4 – Regulations on the Carbon Intensity of International Shipping
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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.footnote

 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.footnote

2 The attained EEDI shall be calculated taking into account the guidelinesfootnote 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,footnote 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.footnote

2 The attained EEXI shall be calculated taking into account the guidelinesfootnote 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:

Attained EEDI ≤ Required EEDI = (1−) · Reference line value

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

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 Jan 2022
and onwards
Phase 3
1 Jan 2025
and onwards
Bulk carrier 20,000 DWT and above 0 10   20   30
10,000 – 20,000 DWT n/a 0-10*   0-20*   0-30*
Gas carrier 10,000 DWT and above 0 10 20   30  
2,000 – 10,000 DWT n/a 0-10*   0-20*   0-30*
Tanker 20,000 DWT and above 0 10   20   30
4,000 and above but less than 20,000 DWT n/a 0-10*   0-20*   0-30*
Container ship 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 0-10* 0-20*   15-30*  
General Cargo ships 15,000 DWT and above 0 10 15   30  
3,000 and above but less than 15,000 DWT n/a 0-10* 0-15*   0-30*  
Refrigerated cargo carrier 5,000 DWT and above 0 10   15   30
3,000 and above but less than 5,000 DWT n/a 0-10*   0-15*   0-30*
Combination carrier 20,000 DWT and above 0 10   20   30
4,000 and above but less than 20,000 DWT n/a 0-10*   0-20*   0-30*
LNG carrier*** 10,000 DWT and above n/a 10** 20   30  
Ro-ro cargo ship (vehicle carrier)*** 10,000 DWT and above n/a 5**   15   30
Ro-ro cargo ship*** 2,000 DWT and above n/a 5**   20   30
1,000 and above but less than 2,000 DWT n/a 0-5*,**   0-20*   0-30*
Ro-ro passenger ship*** 1000 DWT and above n/a 5**   20   30
250 and above but less than 1,000 DWT n/a 0-5*,**   0-20*   0-30*
Cruise passenger ship*** having non-conventional propulsion 85,000 GT and above n/a 5** 20   30  
25,000 and above but less than 85,000 GT n/a 0-5*,** 0-20*   0-30*  
  • * 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.
  • ** 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.
  • 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
2.25 Bulk carrier 961.79 DWT of the ship where DWT≤279,000

279,000 where DWT > 279,000

0.477
2.27 2.2.7 Combination carrier 1,219.00 DWT of the ship 0.488
2.29 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
1686.17* DWT of the ship where DWT≤17,000*

17,000 where DWT > 17,000*

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
902.59* DWT of the ship where DWT≤10,000*

10,000 where DWT > 10,000*

2.2.29 Tanker 1,218.80 DWT of the ship 0.488
  • * to be used from phase 2 and thereafter.

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.footnote

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

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 EEXI shall be as follows:

Attained EEXI ≤ Required EEXI =(1−) · EEDI reference line value

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

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 0-20*
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 0-20*
Tanker 200,000 DWT and above 10
20,000 and above but less than 200,000 DWT 15
4,000 and above but less than 20,000 DWT 0-20*
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 0-20*
General cargo ship 15,000 DWT and above 30
3,000 and above but less than 15,000 DWT 0-30*
Refrigerated cargo carrier 5,000 DWT and above 15
3,000 and above but less than 5,000 DWT 0-15*
Combination carrier 20,000 DWT and above 20
4,000 and above but less than 20,000 DWT 0-20*
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
1,000 and above but less than 2,000 DWT 0-5*
Ro-ro passenger ship 1,000 DWT and above 5
250 and above but less than 1,000 DWT 0-5*
Cruise passenger ship having non-conventional propulsion 85,000 GT and above 30
25,000 and above but less than 85,000 GT 0-30*
  • * 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.

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.footnote

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,footnote 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.footnote

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 itfootnote, 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,footnote 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.footnote

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:

Required annual operational CII = (1−) · CIIR

where,

  • Z is the annual reduction factor to ensure continuous improvement of the ship's operational carbon intensity within a specific rating level; and

  • CIIR is the reference value.

5 The annual reduction factor Zfootnote and the reference value CIIR 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 CIIR 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 shipsfootnote

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.


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