Enforcement of Fuel Switching Regulations – Practices adopted … · 2018-03-09 · Enforcement of Fuel Switching Regulations – Practices adopted in the US, EU and other regions,

EnforcementofFuelSwitchingRegulations–PracticesadoptedintheUS,EUandotherregions,

andlessonslearnedforChina

November2016

Author:FredaFungListofReviewers Manycolleaguesprovidedinformationthataidedinpreparationofthisreportand/orcontributedgenerouslytheirtimetoreviewversionsofthisreport,anddeservespecialthanks.Theauthorparticularlywishtothankthefollowingreviewers,aswellasMalteSiegert,SönkeDiesenerandotheranonymouscolleaguesforprovidingvaluableinsightsandinformation:

AlexanderBarberAndreasWeigeltAnnaLarssonAxelFriedrichBarbaraMathieu-ÜffingChuanshengPengJohanMellqvistMichaelWalshXiaoliMao

AlsospecialthankstoNRDC’sChinaPortsTeammembers,BarbaraFinamore,DavidPettit,RenildeBecque,RichardKasselandZhixiZhufortheirthoroughreviewandcommentsofthedraftreport.

Tableofcontent

ExecutiveSummary....................................................................................................................................................i

1. Introduction........................................................................................................................................................1

2. Thefuelswitchingenforcementprocess...................................................................................................3

3. Overviewofremotemeasurementtechniques.......................................................................................9

4. Verifyingcomplianceofshipsadoptingalternativeequivalentcompliancemethods...........18

5. Penaltiesandtargetenforcementefforts..............................................................................................21

6. LessonslearnedandrecommendationsforChina..............................................................................26

AppendixI:AsampleOGVinspectionflowchartforverifyingcompliancewiththeCaliforniaOGVFuelRegulation..............................................................................................................................................31

AppendixII:RemotemeasurementprogramsforshipemissionsintheEUandUS.......................32

AppendixIII: DocumentsrequiredforcertificationofEGCunitsperrequirementsofIMO’sGuidelinesforExhaustGasCleaningSystems.................................................................................................33

AppendixIV:ChinaMSAenforcementguideline..........................................................................................34

EnforcementofFuelSwitchingRegulations–PracticesadoptedintheUS,EUandotherregions,andlessonslearnedforChina

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ExecutiveSummaryIn2016,ChinaisenteringaneweraofgreenshippingwithitscommencementoftheenforcementoftheDomesticEmissionControlArea(DECA)regulationatitsmajorportregions.Thisregulationlimitsthesulfurleveloffuelusedonshipsinandneartheportareasat0.5percent,86percentlowerthanthe3.5percentglobalmarinefuelsulfurstandard.TheDECAregulationisabigwinforChina’sfightforcleanair,astheregulationwillreducesulfurandparticulateemissionsfromshippinginChinesemajorportregions,whicharetheworld’sbusiestandmostpopulous,butarealsosufferingfromtheworstairqualityamongalmostallthebiggestportregionsintheworld(seeFigureE1).Aswithotherenvironmentalregulations,therealbenefitsoftheDECAregulationwilldependlargelyonhowwellitwillbeenforced.EstablishingarobustenforcementprogramforDECAisparticularlyimportantbecauseDECAisthefirstmarinefuelregulationtohavebeenenactedinChina.InordertohelptheChinesegovernmenteffectivelyenforcethisregulation,theNaturalResourcesDefenseCouncil(NRDC)hasdraftedthispapertoreviewandsummarizekeyelementsofprogramsadoptedinotherjurisdictionsinordertoverifycompliancewithmarinefuelregulationsanddeterviolations.Inbrief,compliancewithmarinefuelregulationsistypicallyverifiedbyoneoracombinationofthefollowingmethods:§ Compliancewithmarinefuelregulationistraditionallyverifiedbyinspectingfuel-related

documents,includingBunkerDeliveryNotes(BDN),OilRecordBooks,representativefuelsamplesandthefuelchangeovermanual,duringon-boardinspections.DocumentinspectionscanbecombinedwithnormalPortStateControl(PSC)inspectionstoreduceadditionalstaffneedsandavoidcausingdelaytoships.However,BDNandlogbookentriesaresusceptibletopotentialfraudorforgery,sotheveracityofthesedocumentsandrecordsshouldbecross-checkedwithcurrentandhistoricalfueltemperatureandviscosityreadings,ifavailable,aswellasthealarmhistory.

§ Fuelsamplingforsulfurtestingatlaboratoriesisthemostreliablewaytoverifythesulfur

contentofthefuelbeingusedonboard.Laboratorytestresultscanbeusedasevidenceforthepotentialimpositionofsanctions.Ithasbecomeacorepartoftheenforcementprogramsinanincreasingnumberofregions.Fuelsamplesshouldbecollectedfromanaccessiblelocationclosesttotheengines,transportedfollowingaproperchainofcustodyprocedureandtestedperInternationalStandardISO8754.Insomecountries,PSCofficialsarerequestedtopresentcleargroundsfortakingfuelsamples.Therearealsoconcernsthatanon-compliantshipmayescapeprosecutionshouldfueltestingresultscomeoutaftertheshiphaslefttheport.ThisconcerncouldbepartlyaddressedbygettingthecontactinformationoftheDesignatedPersonAshore(DPA),whocouldbeheldresponsibleforanyfollow-upenforcementactions.


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FigureE1:Containerthroughput,airqualityandpopulationoftheworld’s20biggestcontainerportregions1Note:PortsinChinaarehighlightedinred.§ Remotemeasurementcanscreenairemissionsfromavastnumberofshipsinashorttime,

henceenablingregulatorstomoreeffectivelytargetsuspectedgrossemittingshipsforfollow-upon-boardinspections.RemotemeasurementcouldalsomonitorcomplianceofshipsthatnavigateintheDECAwatersorusealternativecomplianceoptions(suchasscrubbersorliquefiednaturalgas).Remotemeasurementresultscouldserveascleargroundsfortakingfuelsamplesonboard.SeveralEUcountries,theUSandHongKonghavestartedpilotingtheuseofremotemeasurementprogramstosupportregularshipinspectionprograms.Inaddition,EUcountrieshaveestablishedadatabaseforsharingenforcementinspectiondata,whichallowenforcementofficialsplantheirinspectionactivitiestargetingvesselsorshippingcompanieswithpoorrecordsofcompliance.

§ Instantaneoustestingofsulfurinfuelusingportableorhandheldanalyzersisanothermethodthathelpsinspectorsselectwhichshipsshouldbeselectedforfurthersulfuranalysisatlaboratories.TheenforcementauthorityintheNetherlandsisnowusingaportablefuelsulfuranalyzerthatprovidessulfurmeasurementinseveralminutes,andtheirresultsobtainedsofarcomparewellwiththosefromlaboratorytesting.TheinstantaneoustestresultsarenowbeingusedintheNetherlandsfordeterminingwhetherornotfuelsamplesshouldbe


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collectedforfurtheranalysisatlaboratories,andifdetentionoftheshipisneeded.Othercountries,likeSwedenandtheUS,arealsotestingtheuseofthequickscreeningdevices.Whilethequickscreeningresultsalonearenotyetacceptedascourtevidence,thismethodcanhelpreducethenumberofsamplessentforlaboratorytesting(andtheassociatedcosts)withoutsacrificingeffectivenessofenforcementefforts.

DrawingfromthelessonslearnedfromthecurrentenforcementprogramsadoptedintheUS,EU,CaliforniaandHongKong,herearesomerecommendationsforChinatoconsiderinenhancingitsDECAenforcementprogram:§ Withthehighcostdifferentialbetweenusinglowsulfurfuels(fuelswith0.5percentor0.1per

centsulfurcontent)andhighsulfurresidualoil,shipowners/operatorscanbetemptedtouseillegalfuelifthechanceofbeingcaughtissmall.ChineseenforcementofficialscouldmandateagivenpercentageofshipstohaveDECAinspectionsandhavefuelsamplestakentoestablishenforcementpresence.Ahighnon-compliancepenaltyshouldalsobesettodeterviolations.Non-compliancepenaltiescouldbeintheformofmonetarypenaltiesornon-financialpenalties,suchasshipdetentionorsubjectingashiptothoroughinspectionsduringfutureportvisitsifthegivenship(orthecompanythatownsit)hasahistoryofnon-compliance.

§ Whileconductingshipinspectionsandtakingspotsamplesoffuelisthemostreliablewayto

monitorcompliancewithmarinefuelsulfurregulation,theseactivitiestaketimeandresources.Chinacouldpilottheuseofremotemeasurementtechnologiesandanenforcementdatabasetohelpguidetheselectionofshipsforon-boardinspectionsandfuelsampling.Itcouldalsoconsidersharingenforcementdatawithothercountries/regionsthatimplementmarinefuelsulfurregulationsinordertomoreeffectivelytargetunscrupulousshippingcompanies.

§ TheEUandUShaveestablisheddetailedenforcementguidelinestoguidefront-lineofficialsin

conductingcomplianceinvestigationinafairandtransparentfashion.TheUShasalsodevelopedaclearsetofpenaltypoliciestofacilitatethespeedyassessmentofnon-compliancepenalties.Chinacoulddevelopadetailedenforcementandpenaltyassessmentguideline,usingtheEUandUSguidelinesasareferenceandadaptingthemtoChina’suniquesituation.TheseChineseguidelinescouldbeusedwhentrainingenforcementofficials,whichwouldhelpthemunderstandwhattheregulationwritersexpectthemtodo.Thiswouldhelpensurethatenforcementactionsareconsistentandpredictable.

§ Assurancethatcompliantfuelisavailable,andensuringthatcompliantfuelisbeingusedonboard,

areequallyimportantintermsofguaranteeingthesuccessofanymarinefuelregulation.InordertohelpensurethatshippingcompanieshaveaccesstoDECA-compliantfuelsinChina,ChinashouldestablishaclearlineofresponsibilityandenforcementauthorityamongrelevantagenciestoguaranteethatmarinefuelssoldinChinameetDECAandotherinternationalfuelqualitystandards.

§ Helpingshipowners/operatorsunderstandhowtomeettheDECAregulatoryrequirementsis

importantintermsofachievingfullcompliance.Chinacoulddosobydisseminatingtotheshippingindustrycomplete,clearandtimelyinformationabouttheDECAregulation,andbyofferingbilingual(ChineseandEnglish)regulatorytextsandinstructionstoavoidmisunderstanding.ChinacouldalsooffertrainingtocompaniesunfamiliarwithDECAregulationstoexplainDECArequirementsandsafefuelswitchoverprocedures.


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1. Introduction

Chinesemarinetradehasseenyear-over-yeardouble-digitgrowthinthepasttwodecades,andChinaitselfhasbecometheworld’sbiggestseabornetradingnation.Withnearlyathirdofglobalcontainertrade2and13percentofseabornebulktradegoingthroughitsportseachyear,3shiptrafficatChineseportsisenormous,asistheairpollutionthatcomeswiththeseships.ItcomesasnosurprisethatthemarinesectorhasbecomeamajorcauseofairpollutioninthelargeportcitiesinChina,includingShanghai,Shenzhen,andHongKong,asshowninTable1.Table1:Shipping’sshareoflocalairpollution4

PortCity SOx NOx PM2.5Shareofglobalcontainer

throughput,2014

2014worldranking(intermsofcontainerthroughput)

HongKong+ 44% 33% 42% 3.2% 4

Shenzhen§ 59% 16% 5% 3.5% 3

Shanghai++ 22% 17% 4% 5.2% 1

+:2014data,includesemissionsfromallvessels.§:2014data,includesemissionsfromoceangoingvessels;accountsforshareofSO2,notSOx.++:2013data,includesemissionsfromallvessels.n.a.denotesnotavailable.SincelargeportsinChinaarelocatedinorneartheworld’smostdenselypopulatedcities,airpollutionfromshipsresultsindisproportionallyhigherhealthrisksinChinathananywhereintheworld.WithcontrolofshippingemissionsstilllaggingbehindtheregulatoryprogramsofothersectorsinChina,curbingshippingemissionsisnowwidelyrecognizedasacriticalsteptowardscleaninguptheairandprotectinghumanhealth.Understandingtheimportanceofcontrollingshippingemissions,Chinahasannouncedamulti-stepplanwhichphasesinlowsulfurfuelstandardsformarinefuelinitsmajorportregions.ThefuelsulfurrequirementwillbeintroducedinthreeDomesticEmissionControlAreas(DECAs),coveringmajorportsinthePearlRiverDelta,theYangtzeRiverDelta,andBohaiBay(seeFigure1).BeginningonJanuary1,2017,shipscallingat11coreportsintheseDECAswillberequiredtoswitchtofuelwithnomorethana0.5percentsulfurcontent(i.e.,0.5percentsulfurfuel)whileberthing.iTheat-berthfuelswitchingmandatewilltakeeffectinanyoftheDECAportsasofJanuary1,2018.AsofJanuary1,2019,allshipswillberequiredtouse0.5percentsulfurfuelwhennavigatinginthethreeDECAs.5InFebruaryandMarch2016,theTransportCommissionandtheMaritimeSafetyAdministrationofShanghaimunicipality,ZhejiangprovinceandJiangsuprovince(togetherknownastheYangtzeRiverDelta,orYRD)announcedthattheYRDwouldtaketheleadinimplementingtheDECAregulation,tocommenceonApril1,2016.AllshipscallingattheportsofShanghai,Ningbo-Zhoushan,SuzhouandNantonghavetoburn0.5percentsulfurfuelwhileatberth.Shipsarealsoencouragedtousecleaner

iThe11coreportsinclude:Shenzhen,Guangzhou,Zhuhai,Shanghai,Ningbo-Zhoushan,Suzhou,Nantong,Tianjin,Qinhuangdao,Tangshan,andHuanghua.


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fuel(0.1percentsulfurcontent)whileatberth,orswitchto0.5percentsulfurfuelwhenoperatingintheYRDDECA.6Themarinefuelregulationisslatedforreviewbytheendof2019,todeterminewhetherornottolowerthesulfurstandardto0.1percent,expandthewaterscoverageoftheDECAs,and/orpursueotheractions.

1.1 Potential benefits of implementing the DECA regulation

TheDECAregulationmarksanimportantmilestoneinChina’sfightforcleanair.Shipsswitchingfrom2.5percentsulfurfuel7to0.5percentsulfurfuelshouldreduceSOxemissionsby80percentperunitofenergyused;ifcleanerfuelisused(0.1percentsulfurcontent),SOxreductionsinemissionscouldreach95percentormore.Inaddition,particulateemissionrates(intermsofPMmass)couldbereducedbyasmuchashalfwhenswitchingfromhighsulfurresidualfuelto0.5percentsulfurfuels.8Countriesandregionsthathavemandatedtheuseoflowsulfurmarinefuelhaveseenbigimprovementsinairquality.Forinstance,EmissionControlAreas(ECAs)forsulfuremissionshavebeenestablishedintheUS,Canada,theBalticSea,andtheNorthSeaundertheInternationalMaritimeOrganization(IMO).ShipsoperatingintheseECAsmustuselowersulfurfuel.SincetheECAsulfurlimitratcheteddownto0.1percentatthestartof2015,Denmarksawa60percentreductioninSO2levelsatAnholt(aDanishislandnearmajorshippingroutes);Rotterdam(Europe’sbusiestportandhomeofalargeindustrial,energyandpetrochemicalcluster)foundthatSO2intheairdroppedbyabout20percentaroundtheportregion;andacruisehubinwesternCanada,Victoria,alsosawairpollutionlevelsfalltotheirlowestlevelsincemonitoringbeganin2006.9InHongKong,oceangoingshipshavebeenrequiredtouse0.5percentsulfurfuelatberthsinceJuly2015.NotableimprovementsintheconcentrationofSO2havebeenobservednearthecontainer

Figure1.ThethreeEmissionControlZonesdesignatedbytheChinaMinistryofTransportiNote:TheelevencoreportsinthethreeEmissionControlZonesarelabeledinEnglishinblue.


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terminalandotherportareas.Forinstance,whenwindisblowingfromtheKwaiChungContainerTerminal(mainlyduringthesummer),theaverageSO2concentrationrecordedatthemonitoringstationclosesttothecontainerterminalhasbeenreducedbyabout60percentsincetheregulationtookeffect.10

1.2 A robust enforcement program is essential to achieving expected emission reductions and health benefits

TheDECAregulationisexpectedtoresultinsignificantimprovementsinairqualityandhealthbenefits.However,theexpectedbenefitscanonlybeachievedifrobustenforcementprogramsareinplacetoensurethatshipsareactuallyswitchingtocleaner(butmoreexpensive)lowsulfurfuels.Inaddition,enforcementiscriticaltomaintainingalevelplayingfieldamongcarriers,ensuringthatshipsthatcomplywiththeDECAregulationarenotputatacompetitivedisadvantage.Withastrongenforcementprogram,theDECAswillhaveahigherchanceofachievingagreaterimprovementinairquality,whichcouldthenprovidestrongerjustificationsforfurthertighteningtheDECAregulationwhentheMOTconductsareviewoftheeffectivenessoftheDECAregulationbytheendof2019.Againstthisbackground,theNRDCdevelopedthispapertoinformChineseregulatorsofthelatestdevelopmentsinenforcementinitiativesabroad,andtoofferrecommendationsforregulatorswhenconsideringthedevelopmentandimprovementoftheenforcementprogramfortheDECAregulation.ThereviewbelowmainlyfocusesontheenforcementprogramfortheIMO’sInternationalConventionforthePreventionofPollutionfromShips(MARPOL)AnnexVIEmissionControlAreas.Whereappropriate,italsohighlightskeyfeaturesoftheprogramsforenforcingthefuelswitchingrulesinCaliforniaandHongKong.

2. Thefuelswitchingenforcementprocess

2.1 Verify documents on board

Thequalityoffuelusedonshipsistraditionallyverifiedthroughrandomchecksofpaperworkfiledbytheshippingcompanieswhenshipsareinport.InordertoensurethatthequalityofthefuelusedonshipscomplieswithECAstandardssetbytheIMO,theIMOrequiresshipstocarryanumberofdocumentsandfuelsamplesforthedemonstrationofcompliancewithECAstandards,asdetailedinMARPOLAnnexVIRegulations14and18:11

i) BunkerDeliveryNotes(BDNs):a. Issuedatthetimeoffuelpurchasesbythefuelsuppliers,theBDNliststhefuelsulfur

content,thequalityoffuelpurchased,andotherinformation.TheBDNmustbekeptonboardforatleastthreeyears.

ii) OilRecordBooks(aspartoftheship’slogbook)

a. TheOilRecordBookrecordsthedateandtimeandtheship’sposition,aswellasthevolumeoflowsulfurfueloilswhenchangeovertocleanfueliscompletedbeforeentryintoanECA,orwhenchangeovertodirtyfueliscommencedafterexitingfromsucharea.


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iii) Representativesamplesoffueloilofthefueldelivered• Abunkersuppliermustprovidearepresentativesampleofthefueldelivered,which

shouldaccompanythebunkerdeliverynote.Therepresentativefuelsample(aso-calledMARPOLsample)shallmeettheECAsulfurrequirement,andmustbekeptonboardforatleast12months.

iv) Fuelchange-overprocedure

a. Thefuelchange-overprocedureshoulddetailhowthefueloilchange-overistobecarriedout,andspecifythetimeneededforthefueloilservicesystemtobefullyflushedofallfueloilsexceedingtheECAlimitspriortoentryintotheECAs.Thefuelchange-overprocedureshallbemadeavailableforinspectionduringportstatecontrolvisits.

Iftheabovedocumentsandfuelsamplessuggesttheuseofnon-compliantfuelintheECA(e.g.,BDNsshowthatthefuelbeingusedcontainshigherconcentrationsofsulfurthanpermitted),theshipownersoroperatorsareregardedasviolatingtheregulations.

2.1.1. Verifying the veracity of fuel changeover records

Whilecompleteandconsistentinformationrecordedintheabovedocumentsandfuelsamplescouldsuggestthatcompliantfuelshavebeenused,theBDNandlogbookentriesaresusceptibletopotentialfraudorforgery,astheyareoftenhand-written.Inaddition,BDNsarenotalwaysproducedinEnglish,andaresometimesillegibleastheycantaketheformofcarboncopies,whichmakeinspectionsdifficult.12ToverifytheveracityoffuelchangeoverrecordsintheBDNsandship’slogbooks,enforcementpersonnelcouldcheckthecurrentfueltemperatureandviscosity,thechangeinfueltemperatureandviscosityoverthepastfewhoursordays,aswellasthealarmhistorytoevaluateiftheypresentconsistentinformation.FueltemperatureandviscositySinceresidualfuelismuchmoreviscousthandistillatefuel,itrequirespreheatingbeforeitcanbepumpedtotheengines.Therefore,thetemperatureandviscosityoffuelbeingusedatthetimeofinspectionandinthepastfewhoursordayscouldbeusedtodeterminewhethernon-compliantfuelhasbeenused.Asageneralrule,distillatefuelstypicallyoperatefrom20°C-70°C,whilehighsulfurresidualfueltypicallyoperatefrom115°C-145°C.Onhybridfuelsandlowersulfurresidualfuels,thetemperaturedependsonthechemicalcharacteristicsofthefuel,soitwouldbebesttorefertothespecificationsthatthefuelmanufacturersuggestsforsafeoperation.Generallyspeaking,ultra-lowsulfurfueloiloperatesataround60°C-95°C.Itisimportanttonotethatthesearegeneralguidelines,andinspectorsshouldalwaysrefertothebunkerdeliverynotesorbunkerreceiptsforthefuelspecification.13BasedontheexperiencesoftheCaliforniaAirResourcesBoard(CARB),fueltemperatureandviscositycanbeobservedatthefollowinglocations:

§ Temperaturegaugesatauxiliaryenginesorinenginemonitoringcomputersystemprovidecurrentfueltemperatureandviscosity

§ ViscometerattheSupplyModuleinPurifierRoomshowfueltemperatureandviscosity


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§ Maineengineand/orauxiliaryenginefueloiltemperaturetrendandfueloilviscositytrend,ifavailable

AlarmhistoryAsacommonsafetymeasureonboard,changesinthetemperatureandviscosityofthefuelintheengineandfuelsystemwillsetoffalarms,andthosealarmsarerecordedonpaperorinthecomputer.Inspectorscouldcheckthehistoryofthefueloiltemperaturealarms,fueloilviscosityalarms,fuelinletpressurealarms,leakagealarms,andtheeventlogs,toidentifyindicationswhenfuelswitchingtookplace.AppendixIshowsaninspectionflowchartdevelopedbyCARBthatoutlinesthestepsforverifyingdocuments,checkingfueltemperatureandviscosity,andtakingfuelsamples.14Whereinconsistentorconflictinginformationisrecordedinthefuel-relateddocumentsmentionedabove,andthefueltemperatureandviscosityparameters,theremayhavebeenviolationsoftherule,sofurtherinvestigationshouldbepursued.Forinstance,recordsinthelogbooksmayshowthatfuelswitchingoccurredduringthefirsthourafterberthing,butthemainenginefueloiltemperatureandviscositytrendmaysuggestthatfuelswitchingoccurredmorethanonehouraftertheshipwasatberth.Someregionsthathaveadoptedmarinefuelregulations(includingCalifornia,theUS,andHongKong)alsorequireallinformationcontainedintheabovedocumentstobecorrectandcomplete.Incomplete,false,ormisleadinginformationfoundinthesedocumentscouldbeconsidereddeficient,andbesubjecttopenalties.15EveniftheinformationontheBDNs,logbooks,thehistoricalandcurrentfueltemperatureandviscosityareallconsistent,theymaynotbesufficientforprovingthatcompliantfuelhasactuallybeenusedonboard—especiallywhenconsideringthenumerousareasofpotentialfuelcontaminationfrombunkeringoperations,fuelstoragetanktransferringtosettlingtanks,fuelpurificationtoservicetanks,aswellasinherentcontaminationwithpreviousin-usefuelwithintheenginesthemselves.16Thereforeanincreasingnumberofcountriesarecollectingsamplesoffuelfromtheship’sfuelsystemforsulfuranalysis.

2.2 Fuel sampling for sulfur testing

Collectingfuelsamplesfromtheshipfuelsystemforsubsequentlaboratoryanalysisoffersthebestevidenceforverifyingthesulfurcontentoffuelbeingusedonboard.17Resultsfromfueltestingcanbeusedasevidencefortheimpositionofsanctions.Comparedtodocumentinspections,fuelsamplingismorecostlyandtimeconsuming,soisonlycarriedoutoccasionally-typicallywhentherearecleargroundsforsuspicion.18Asthecostsofcompliancehaveincreasedsignificantlysincethe0.1percentsulfurECAregulationcameintoforceonJanuary1,2015,iianincreasingnumberofcountrieshavecommittedtoincreasingthefrequencywithwhichships’fuelsamplesarecollectedandtested.iiBeforeJanuary1,2015,allshipsoperatingintheECAswererequiredtousefuelwithnomorethan1percentsulfurcontent.Low-sulfurresidualfuel(withnomorethan1percentsulfur)weretypicallyusedtomeetthe1percentECArequirement.Thecostdifferentialbetween1percentsulfurresidualfuelandthenormalhigh-sulfurresidualfuelissmall—thedifferentialwasaslowas0.2%forfuelssoldintheMediterraneanandBlackSeamarket.Afterthe0.1percentsulfurECAregulationcameintoforce,highly-refineddistillatefuelsarenecessaryformeetingtheECArequirement.Theaverageprice


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FuelsamplingisnowanessentialpartofEUandCaliforniamarinefuelenforcementefforts.Californiaenforcementofficialsforthemarinefuelrulecollectfuelsamplesoffuelin-useforoff-siteanalysisduringeveryshipinspection.TheEuropeanCommissionissuedadecisioninFebruary2015thatrequiresallmemberstatestocollectandtestsulfursampleson2to4percentofthetotalnumberofindividualshipscallingatrelevantmemberstateseachyear,startingin2016(seeSection4.2).InFebruary2016,theUSCoastGuardinitiatedavoluntaryfueloilsamplingprogramtohelpassessindustrycompliancewiththeECArequirements.19InChina,MSAofficialsinShanghai,Zhejiang,andJiangsustartedenforcingtheDECAregulationonApril1,2016,andfuelsampleshavebeentakenonboardfromafractionofshipsinspectedtoverifyDECAcompliance.202.2.1 FuelsamplingandtestingprocedureThereisnouniformprocedureforsamplingandverifyingthesulfurcontentoffuelusedonboardships.TheIMOisnowdevelopingsuchguidelines,whichareduefordiscussionattheIMO’sMarineEnvironmentProtectionCommittee(MEPC)meetinginOctober2016forfinalapproval.21TheFuelInspectionGuidanceissuedbytheEuropeanMaritimeSafetyAgency(EMSA)includesashortguidelineontakingfuelsamplesfromthefuelsystem,whichcoversthefollowingsteps:iii,22

- Anon-boardspotsampleformarinefuelshallbetakenatalocationwhereavalveisfittedforthepurposeofdrawingasampleinthefuelservicesystem

- Thespotsampleshouldberepresentativeofthemarinefuelbeingused,andshouldbecollectedinasamplingcontainerthatislargeenoughtofillatleastthreesamplebottles

- Samplingcontainersshouldbemadeofmetalorplasticsuitableforthetemperatureofthefueloilbeingsampled

- Ifthesampledoilisheated,thesamplingcontainershouldbefittedwithhandlesorheldwithinasecondcontainer

- Thesampleshouldbeshakenthoroughlystraightaftertheprimarysampleiscollected;theprimarysampleisthenusedtofilltwoclean,inspector-providedsamplebottlesforoff-sitesulfuranalysis

- Thesamplebottlesshallbesealedwithauniquemeansofidentification,attachedinthepresenceoftheship’srepresentative.

Themostcriticalpointofthesamplingprocedureisthechoiceofsamplinglocation.Thereisconsensusthatthesamplinglocationshouldbeasclosetotheengineaspossible,whichhelpsensurethatthefuelsamplesaretrulyrepresentativeofthefuelinuse.CARBspecificallyrecommendssamplingfrom“finalfilters”.Finalfiltersmaybefounddirectlyonoperatingauxiliaryengines.Finalfiltersmayalsobefoundinthepurifierroom,withinsupplyservicesystemsformainorauxiliary

of0.1percentsulfurdistillatefuelinSingaporewas73%higherthanthatofthehigh-sulfurresidualfuelasofAugust6,2016.ThereforethecompliancecostismuchhigherunderthecurrentECAregulation.iiiSeetheEMSA,SulphurInspectionGuidanceforamoredetaileddescriptionofthestepsfortakingon-boardfuelsamples.


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engines,andsometimesboilers.Shipmanagementcompaniesmayalsodesignatefinalsamplinglocations.Asaruleofthumb,enforcementstaffshouldavoidsamplingfromstorage,settling,andservicetanks,daytanks(thosetanksthataretypicallylocatedfarfromtheengines),flushingpumps,transferpumps,andcrossoverpumps.23TheIMO,theUSCoastGuard,USEnvironmentalProtectionAgency(USEPA)andCARBrequirefuelsulfurcontenttobetestedpursuanttoInternationalStandardISO8754:2003.24TheanalysisofthefuelsampleshouldbedoneinaccordancewiththeverificationprocedureinMARPOLAnnexVIAppendixVI.25Itisalsoextremelyimportanttomaintainagoodchainofcustodyforanyfuelsampletakenfromtheships.Achainofcustodyisawrittenlegaldocumentusedtotrackthetransferofasample(s)frompersontoperson.Withoutacontinuousrecordofchain-of-custody,thevalidityofanysampleortheresultsofanytests/analysesmaybequestioned.Thechainofcustodydocumentmustbeinitiatedbythepersonnelwhocollectfuelsamplesonboard.Eachpersonwhosubsequentlytakecustodyofthefuelsamplemustprovidehis/hername,organization,date,time,contactinformation,andsignatureonthechainofcustodydocument,inordertoassuretheintegrityofthesampletakenispreservedfromcollectiontoanalysis,todestruction,ortofurthertransfer.Thereareconcernsthat,iffuelanalysiscannotbecompletedbeforeashipleavestheportandthelaboratoryresultssuggestnon-compliance,theshipownerandoperatorscouldeasilyescapeprosecution.Toaddressthisconcern,regulatorypersonnelshouldmakesuretoobtainthecontactinformationoftheDesignatedPersonAshore(DPA)duringeachinspection,astheDPAwillserveasthekeycontactpersonrepresentingtheshippingcompany,shouldthefueltestingresultsdemandfollow-upenforcementactions.ivItshouldbenotedthattheIMOadoptedadditionalguidelinesin2009forobtainingtheMARPOLsample.26TheMARPOLsample,takenduringfueldeliverytoships,issolelyintendedtoshowwhatkindoffuelisbeingsuppliedtotheships-notthefuelactuallybeingusedontheships.TheMARPOLsampleisonlyusefulintermsofclarifyingwhetherthefuelsuppliersortheoperatorsshouldbeheldresponsibleifthefuelusedonboardisfoundtoexceedthesulfurstandard.ItisacommonviewthattheMARPOLsampleisoflittleusewhenitcomestoverifyingcompliancewiththeECAregulation.272.2.2 QuickscreeningdevicesforonboardfueltestingTheNetherlandsShippingInspectorate(i.e.,thePortStateControloftheNetherlands)isusingaportablescreeningdevicethatcanprovideinstantaneousmeasurementsoffuelsulfurcontentinordertodeterminewhetherornotlaboratorysamplesoffuelshouldbecollectedtoconfirmthatthefuelexceedstheECAsulfurstandard,whenthescreeningtestshowsthesulfurcontenthigherthan0.1%;orshouldtheshipbedetainedwhenthescreeningtestshowsthesulfurcontenthigherthan0.15%.Thequickscreeningresultsobtainedtodatecomparewellwiththosefromlaboratorytesting.EnforcementpersonnelintheUSandSwedenhavealsostartedtestingtheuseofportablequickscreeningdevices.Thesescreeningdevices,suchasthosethatutilizex-rayfluorescencetechnology,canproduceresultsinlessthanfiveminutes.28TheUSEPAalsousessuchdevicestoscreenfuelsamplescollectedfrombunkeringfacilities.vAstheaccuracyandreliabilityofthequickscreeningdevicesofferedbydifferentmanufacturersvary,researchandtestingisneededtodeterminewhich

ivAsaninternationalpractice,everyshipcompanydesignatesapersonorpersonsashore,calledtheDesignatedPersonAshoreorDPAforeachofitsships.Havingdirectaccesstothehighestlevelofthecompany’smanagement,theDPAisresponsibleformonitoringthesafetyandpollutionpreventionaspectsoftheoperationofeachship.vThedevicethattheUSEPAistestingconformstoISO8754:2003standards;itisavailableforsaleonthemarket.


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typeofdevicetouseanddevelopareasonablecut-offpointingrossnon-compliancecases.Priceofasetofportablex-rayfluorescencesulfur-in-oilanalyzerrangesfromUS$18,000toUS$39,500.29

2.3 Remote measurement: making traditional enforcement methods more efficient

Whileon-boardinspectionsandfuelsamplingarethemostcommonenforcementmethodsformarinefuelstandards,theyhavetwolimitationsforverifyingECAcompliance:

i) DocumentchecksandfuelsamplingcannotidentifyshipsthatusehighsulfurfuelwhentransitingthroughtheECAsbutnotcallingattheports,becausefuelcomplianceinspectionscanonlytakeplaceinports.viThisshortcomingwillbecomerelevanttoChinawhenitstartsrequiringallshipsoperatingwithintheDECAstouselowsulfurfuelin2019.

ii) Forshipsthatusescrubbersorotheralternativemeasurestomeetthefuelsulfurregulation,itispossiblethattheemissionmonitoringdataandparameterrecordsonboardcanbefalsified(seeSection2.4),andfuelsamplingislargelyirrelevant.

ToaddresstheselimitationsandenforcetheECAregulationmoreefficiently,countrieshavebeentestingtheuseofremotemeasurementtechnologiestomonitorshipcompliance.Anincreasingnumberofstudieshavedemonstratedthatremotemeasurementtechnologiescanidentifygrossemittingshipsfromafar,andareabletomeasureemissionsfromalargenumberofshipsinashorttime.30Becauseofthehigheruncertaintyofremotemeasurementresultscomparedtolaboratorytestingoffuelsamplesinamorecontrolledenvironment,andnotenoughdatatoallowcomparisonofremotemeasurementswithonboardemissionmeasurements,atthetimeofwriting,remotesensingresultscannotbeusedtoserveasevidenceforconvictions.viiHowever,remotemeasurementoffersacost-effectivemeansofscreeningshipssuspectedofusingnon-compliantfuel.Itcanbeusedtomonitorshippingemissionswhenashipentersorleavesaport,oronthehighseas.IfremotemeasurementfindingscanbepassedontoPSCofficials,thePSCofficialscouldtargetshipsthatregisterasuspiciousreadingforon-boardinspectionsatthenextportofcall.Anotheradvantageofdeployingremotemeasurementsisthattheirresultscouldconstitutecleargroundsfortakingfuelsamplesonboard.AsfuelsamplingbecomesmorecommonlyusedforverifyingECAcompliance,thereareconcernsthat,withoutabasisforjustifyingfuelsampling,shipswouldfaceanunfairburdenforbeingsubjecttofueltesting.Remotemeasurementresultsofferclearevidencewhichjustifiestheneedtotakefuelsamplesonboard.31Asofthedateofwriting,sevenprogramsfortheremotemeasurementofshippingemissionshavebeenconducted,orwillbedeployedin2016,intheEU,inordertoimprovetheenforcementprogramsoftheECAandotherfuelregulations(seeAppendixII).TheUSEPA,California,andHongKongarealsotestingtheuseofremotemeasurementtechnologies.32

viPortStateControlofficerscannotboardashipoutsideofinternalwaters(e.g.,insideaport)unlessthereareclearjustificationstosuspectithasnotrespectedregulations,accordingtotheUnitedNationsConventionontheLawoftheSeaandtheMARPLOcode.SeeUnitedNationsLawoftheSea(UNCLOS),1982,Article27.viiThereareongoingresearchtryingtolowertheuncertaintiesofremotemeasurement,withthehopethatremotemeasurementresultscouldserveascourtevidenceinthefuture.


9

3. OverviewofremotemeasurementtechniquesTwoofthemostfrequentlyusedremotemeasurementtechniquesare“sniffing”technology,andopticalsensingtechnology.

3.1 The sniffing method

Thesniffingmethodreliesonthesimultaneousmeasurementofpollutantscomparedtobackgroundlevels.Theequipmentusedinbuildingthesniffersissimilartotraditionalairqualitymonitoringequipment.Whentheplumeofapassingshiphitsthesniffer,thepollutantsintheexhaustplume(NOx,SOx,PM,etc.)causethemeasuredconcentrationofpollutantstoincreasecomparedtothebackgroundconcentrations.

TheCO2concentrationintheexhaustplumeindicatestheamountoffuelbeingburntatagiventime,andtheSO2concentrationisproportionaltothefuelsulfurcontent.Hence,thefuelsulfurcontentofanindividualshipcanbeestimatedbytheratiooftheSO2andCO2concentrationinsidetheshipexhaustplume.33

Whenashipplumehitsthesnifferinstrument,aspikeinnitricoxide(NO)ornitrogendioxide(NO2)istypicallyobservedbecausefuelcombustioncausesanincreaseinoxideofnitrogen(NOandNO2).34,viiiTheCO2concentrationalsoincreaseswhenashipplumepassesthesnifferinstrument,butitsbackgroundconcentrationsarelargerandmorevariableduetosurroundingvegetation,soCO2isnotusedasamarkerofashippingplume.35

Atlocationswherethereareothersourcesofpollutantsnearby,suchasrefineriesorpowerplants,anelevatedlevelofNOx,CO2andSO2concentrationcouldbecausedbytheseothersources.However,whentheairisinfluencedbysourcessuchaspowerplants,thepeaksinNOx,CO2,andSO2aremuchlonger,andthegeneralbackgroundlevelsareincreased.36Thus,onlythoseeventswhichshowasharpandsignificantincreaseinbothNO(orNO2)ixandCO2emissionsaremarkedasashipeventandanalyzed.37

Inordertoallocatetheobservedpeakstothecorrespondingemittingships,dataonwindspeedanddirection,aswellasAutomaticIdentificationSystem(AIS)dataareanalyzed.xAsanillustration,Figure2showsascreenshotofanapplicationdevelopedbyChalmersUniversityofTechnologyinSwedentoanalyzethesniffermeasurements.Whenthesniffer(markedbythestar)registersanelevatedpollutantlevel,theapplicationautomaticallyestimatesfuelsulfurcontentofshipssuspectedofemittinghighlevelofsulfurandCO2.Bycombiningthedataonwindspeedanddirection,itestimatestheexhaustplumedirection.Thedirectionoftheplume,coupledwiththeAISdata,canthenbeusedtoassociateanemissionpeakwithanindividualship(markedbythepinkrectangle).ThesystemofChalmersUniversityautomaticallytransferstheshipinformationinrealtimetoportstatecontrolauthoritiesoftheshipinformation.ThesemeasurementsareundertakenaspartoftheEuropeanCompMonproject(seewww.CompMon.eu).viiiInaddition,NOxismeasuredtocorrectthecrossinterferenceofSO2.ForregionsthathaveenactedaNOx-relatedregulation,suchastheIMOMARPOLAnnexVINOxECA,estimatingNOxemissionscouldalsosupportenforcement.ixIntheexhaustofanaturallyaspirateddieselengine,themajorityoftheNOxemissionsisNO,NO2accountforabout5percent;however,NOcanbeeasilyoxidizedbyoxygenintonitrogendioxideatambientconditions.xTheAISdatacanbeobtainedfromAISdataproviders,orfromwebsitesthatreportreal-timedataofshippinglocation,suchaswww.shipfinder.co.


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InGermany,onbehalfoftheFederalMinistryofTransportandDigitalInfrastructure(BMVI),theInstituteofEnvironmentalPhysics(IUP)oftheUniversityofBremen,GermanyisdevelopingandoptimizingasimilartypeofapplicationincooperationwiththeFederalMaritimeandHydrographicAgency(BSH).TheapplicationwouldbeabletoautomaticallytracksulfuremissionsfromshipspassingtwosniffermonitoringsitesnearthePortofHamburg(WedelandNeuwerk),andreportsuspiciouscasesinnearrealtimetoaninternationaldatabasefortargetingshipsforonboardinspectionsbylocalauthorities(e.g.,PortStateControl).38ThedevelopmentoftheapplicationisonepartoftheMeSMarTproject(MeasurementsofShippingEmissionsintheMarineTroposphere).xi

Asdiscussedbefore,themeasurementequipmentinthesniffersisthesameasthatusedtomonitorairquality.Theairqualityanalyzersarebasedonthefollowingprinciples:UV-fluorescenceformeasuringSO2,chemiluminescenceforNOandNOx,andnon-dispersiveinfraredabsorptionorcavityring-downspectroscopyforCO2concentration.Theanalyzersinthesniffershavebeenadoptedfortheirfasterresponse(especiallyforairbornemeasurements),smallerweight,minimumvolume,andfieldrobustness.39

Figure2.AscreensnapshotoftheIGPSsoftwaredevelopedbyChalmersUniversityofTechnologytocalculatethepositionoftheshipplumebasedonwinddirectionandtheshipmovementFigurereprintedwiththekindpermissionofJohanMellqvistofChalmersUniversityofTechnology,Sweden.3.1.1. Sensitivityofsniffersindifferentiatingnon-compliantshipsStudieshavefoundthatsniffermeasurementsoffuelsulfurcontentfromlandandmobileplatforms(thelatterinstalledonairplanesandships)showedgoodagreementswithon-boardstackmeasurementsofSOxandNOxemissions.40SniffermeasurementsnearthePortofGothenburgshowadropintheoverallfuelsulfurestimatesin2010,whichisconsistentwiththeECAsulfurlimitratchetingdownfrom1.5percentto1percentonJuly1,2010(seeFigure3).Similarly,sniffer

xiMoreinformationabouttheMeSMarTprojectcanbefoundaatwww.mesmart.de.


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measurementstakennearthePortofHamburgalsodemonstratethattheequipmentissensitivetochangesinfuelusedbyshipsbeforeandaftertheECAfuelsulfurstandardratcheteddownfrom1percentto0.1percentonJanuary1,2015.Figure4showstheremotemeasurementresultsofNOandSO2emissionsinWedel,Germany.NOconcentrationislargelythesamefromDecember2014toJanuary2015,whiletheplotofthemeasuredSO2concentrationshowsasignificantdrop,asexpected,inJanuary2015.41

Figure3.SniffermeasurementsofthefuelsulfurcontentofshipsenteringandleavingthePortofGothenburgin2007,2010,2012to201542FigurereprintedwiththekindpermissionofJohanMellqvistandJörgBeeckenoftheChalmersUniversityofTechnology,Sweden.


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Figure4.NOandSO2volumemixingratiomeasuredovertwoweeksatWedel(nearPortofHamburg)withcomparablewinddirections43Note:ThesechartsshowthatNOemissionshavenotchangedsignificantlysincethe0.1percentECAsulfurlimitbecameeffectivein2015,whiletheSO2valueshavebeensubstantiallylowered.FigurereprintedwiththekindpermissionofLisaKattneroftheUniversityofBremen,Germany.3.1.2. Strengths,limitationsanduncertainty

Thesniffersystemiseasytoimplementandisreadilydeployable,asitiscomposedofcommercialairqualityanalyzers.ItcanbeusedtoremotelymeasurebothSOxandNOxemissionsfromships,socouldbeusedtomonitorcompliancewiththeECAandChineseDECAstandards,aswellasNOxECArequirements.AchallengeforusingthesniffersystemistodistinguishexhaustplumefromshipswiththatfromothercombustionsourcesthatcanalsocauseasimultaneousincreaseinNO/NOxandCO2.Hence,thesitingofthefixed-pointsnifferstationsisespeciallyimportant.Thesestationsneedtobeplacedinthemainwinddirectiontoensurethatshipexhaustplumescanalwaysreachthesniffers.Itwouldbebesttoplacethesniffersawayfrommajoremissionsources,ifpossible,andataprimarilydownwindpositionfrommajorshippinglanestomaximizesamplingrates.Thisshortcomingcouldalsobeaddressedbyconductingemissionmeasurementsonmobileplatforms,suchasshipsandairplanes.Assumingthatapredominantlydownwindfixedsitecanbelocated,ormeasurementscanbeconductedonmobileplatforms,themorecomplicatedtaskistodevelopingthesoftwareforautomatedanalysisoftheplumeandassigningtheshipplumetoanindividualship.SuchasystemwithappropriatesoftwarehasbeendevelopedbyChalmersUniversityofTechnologyandimplementedattheharborinletofGöteborgandtheGreatBeltbridgeinDenmarkandelsewhere.44InclosetorealtimethesystemautomaticallyreportsthefuelsulfurcontentofbypassingshipstodatabaseoftheDanishenvironmentalauthority.InGermany,theInstituteofEnvironmentalPhysics(IUP)oftheUniversityofBremen,incooperationwiththeFederalMaritimeandHydrographicAgency(BSH),aredevelopingandoptimizingsuchsoftware,asmentionedinsection3.1.


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Anothershortcomingofthesnifferapproachisthatthesniffersrequireregularcalibration.Forinstance,thesniffersusedforairbornemeasurementsneedtobecalibratedbeforeeverymeasurementflight;45thesnifferequipmentatWedel(nearHamburg)isautomaticallycontrolledevery25hours,andismanuallycalibratedeveryfewmonths.46Theuncertaintyofthesniffermeasurementshastobecalculatedforeachship,anddependsonmanyfactors.xiiTheabsoluteoveralluncertaintylevelofthesniffersystemusedatWedelnearHamburglaybetween0.03and0.1percentsulfurm/m,eventhoughmuchhigheruncertaintylevels(ashighas0.42percentsulfurm/m)wereregisteredwhenthesignal-to-noiseratiowasverybad.47TheuncertaintyofthesniffersystemdeployednearGothenburgisreportedlyaround0.1to0.2percentsulfurm/m.xiiiTherefore,underthecurrent0.1percentECAsulfurlimit,onlyshipswhosesulfuremissionsindicatea0.3percentorhigherfuelsulfurcontentwouldbesubjecttofurthercomplianceinvestigations.

3.2 The optical sensing method

3.2.1 HowitworksTheopticalmethodmeasuresthevariationsoflightpropertiesafterinteractionwithpollutants,andhasbeenusedforyearsforthemeasurementofatmospherictracegases.48AstudywhichcomparesvariousopticalremotemeasurementtechnologiesfoundthattheDifferentialOpticalAbsorptionSpectroscopy(DOAS)techniqueisthemostreliableopticalmethodforthemeasurementofshippingemissions.49TheMulti-AxisDOAS(MAX-DOAS),aspecifictypeofDOASequipment,hasbeensuccessfullyusedtoestimateairpollution.Theprincipleofopticalabsorptionspectroscopyisthattheintensityoflightdecreasesasittravelsthroughanabsorbingmedium,suchasSO2,NO2,andozone.Thereisarelationshipbetweenthenumberofpollutantmoleculesinthelightpath,andtheamountoflightbeingabsorbed.Byanalyzingthespectraofthelightthathaspassedthroughtheexhaustplume,theconcernedpollutantscanbeidentified,andtheamountofpollutantsalongthelightpathcanbeestimated.AnactiveDOASinstrumentconsistsofacontinuouslightsource,andanopticalsetuptosendandreceivethelightthroughtheatmosphere.ThemeasurementsforthepassiveDOASrelyonnaturallightsources,suchasthesunandmoon.IntheDOASequipmentusedformeasuringshippingemissions,sunlightisoftenused.Thismethodhasbeenusedbyseveralresearchgroupsformonitoringairpollutionfromships.ChalmersUniversityofTechnologyinSwedenhasdevelopedapassiveairbornesystemthatisusedtomeasureSO2andNO2emissionsfromindividualships,inordertorapidlyscreenalargenumberofshipsforhighsulfurfuelcontent.50ThissystemisbeingusedoperationallyfromaDanishfixed-wingaircraftforthepasttwoyears,onbehalftheDanishEnvironmentalauthorities,andseveraltensof

xiiFactorsthataffecttheuncertaintyincludethesignal-to-noiseratiooftheSO2andtheCO2measurements,theemissionsanddilution,instrumentaccuracy,calibrationaccuracy,repeatability,aswellastheuncertaintyofassumingcompleteconversionofcarbonandsulfurtoCO2andSO2,respectively.xiiiChalmersUniversityreportedanuncertaintyofabout20percentat1percentfuelsulfurcontentformeasurementsobtainedbyitssnifferequipment,seeJohanMellqvistetal.,IdentificationofGrossPollutingShipstoPromoteaLevelPlayingFieldwithintheShippingSector,andBeecken,J.;Mellqvist,J.;Salo,K.2014.“AirborneemissionmeasurementsofSO2,NOxandparticlesfromindividualshipsusingasniffertechnique”,Atmos.Meas.Tech.,vol.7(7),pp.1957-1968.


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grosspollutingshipsrunningonhighsulfurfuelcontenthavebeenfoundwiththissystem.ChalmersisalsoapplyingthissystemfromfixedstationsorfromharborcraftstomonitoremissionsinandaroundRotterdam.51TheUniversityofBremenhasdevelopedamulti-axisDOASsystem(MAXDOAS)systemwhichisusedtomonitortheairoveralargershippinglanearea(6-10km),andcanbeusedtomeasureemissionsofindividualships.Figure5showsaschematicoftheMAX-DOASinstrumentwhichisusedtomeasureshippingemissionsfromshipsandairplanes.

Figure5.SchematicdiagramshowinghowtheMAX-DOASinstrumentcanbeusedtomonitorshippingemissionsfromaground-,ship-orairplane-basedplatform52FigurereprintedwiththekindpermissionofIUP,UniversityofBremen,Germany.TheMAX-DOASmeasurestheabsorptionofsunlightatcertainwavelength,characteristicforspecificgasessuchasSO2andNO2.Toanalyzethespectra,theuserneedsaradiationtransportmodelthatincludesseveralparameters,suchastruelocaltime,thetruemeasurementanglerelativetothesun,etc.Theresultwillbeacolumndensity(e.g.,pollutantcountspercm2).Thelengthofthemeasuredcolumncanvary,dependingonthevisibilityatthemeasuredwavelength,butthatcanbeestimated.Fromthecolumndensity,avolumemixingratiocanbeestimated.However,theuserwillobtaininformationonSO2fromaMAX-DOAS,butnotinformationonCO2,sothemeasuredSO2concentrationwillneedtobecorrelatedtotheNO2concentrationtoindirectlyderivethefuelsulfurlevels.TheNO2concentration,inturn,dependsonthecurrentloadoftheships,theenginetemperature,andtheageoftheplume(theoldertheplume,themoreNOistransferredtoNO2).InordertodevelopanMAX-DOASbasedtoolforcompliancemonitoringofindividualships,moreresearchisneededondevelopingtheradiationtransportmodelandobtainingestimatesoftheparametersforthemodel,andestimatingtheship-specificinformationforderivingtheNO2concentration.3.2.2 Strength,weakness,anduncertaintyThebiggestadvantageoftheDOASsystemliesinitsabilitytotargetthemeasurementofanexhaustplumefromafar-measurementscanbeasfaras6kmfromtheships.TheDOASmeasurementsystemoperatedbyChalmersUniversityofTechnologyislessaccuratethanthesniffersystem,butitcanbeusedtodiscriminatebetweenshipsrunningonhighandlowsulfurfuelcontentrespectively.


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AnotheradvantageofDOASisthatthesystemdoesnotneedcalibration.Inaddition,theopticalmeasurementislessaffectedbythebackgroundpollutionlevel,orbyemissionsfromotherpassingships,thanthesniffertechnology.ThebiggestchallengeofusingtheMAX-DOASsystem,inparticular,forcompliancemonitoringofanindividualshipistheneedtodeveloptheradiationtransportmodelforanalyzingtheobservedspectraasdiscussedabove,andtodevelopship-specificestimatesofshipengineloadandtemperature,andtheageofplumeforderivingtheSO2toNO2mixingratio,asmentionedabove.AsthepassiveDOASsystemreliesonthechangeofsunlighttoestimatetheconcentrationofpollutants,itcanonlyoperateinthedaytime.Thisshortcomingcouldbeaddressedbyusinganactiveinstrumentwithanexternallightsource.TheuncertaintyoftheDOASmethodstronglydependsontheinstrument.Thebetterthelightthrough-put,thebettertheaccuracy.Inaddition,itdependsontheconcentrationofpollutantsandthetypeofpollutant,assomegaseshaveastrongabsorptionsocanbemeasuredbetter.StudieshavefoundthattheoveralluncertaintyofadownwardlookingDOASinstrument(suchasonethatismountedonanairplane)couldbeashighas30-45percent,andtheuncertaintyofahorizontalandupwardlookingDOAS(e.g.,oneusedatalandlocation)couldbeabout10-30percent.53

3.3 Indicative cost of remote measurement equipment

Thecostsoftheremotesensingequipmentvarywidely,dependingonthetypeofsensors,thesizeoftheequipment,andthepollutantspeciesbeingmonitored.BasedonthesnifferandopticalsystemsdevelopedbyresearchersattheChalmersUniversityatGothenburg,Sweden,theindicativecostofbuildingafixedsitesnifferinstrumentis€130,000-150,000(RMB964,00-1,110,000).xivTheinstrumentincludessensorsforSO2,NOx,CO2,andCH4,andinstrumentsformeasuringwindspeed(toestimateplumedirection)andintegratingAISdataforvesselidentification.Theindicativecostsofbuildingasetofsnifferinstrumentsandopticalinstrumentsthatareapplicableforairplanesurveillanceis€200,000-240,000(RMB1,480,000-1,780,000)andaround€150,000(RMB1,110,000)respectively.

3.4 Location of measurements

Inordertomeasureairemissionsfromships,thesnifferandDOASequipmentcanbesetatfixedlocations,oronmobileplatforms,suchastrucks,airplanes,andvessels.Fixed-pointmeasurementofferstheadvantageoflowercosts,andcouldberunfullyautomatically,soalargenumberofmeasurementscouldbeobtained(seeFigure6fortwofixed-pointmeasurementsitesoutsidethePortofGothenburgandthePortofHamburg).However,itisworthnotingthat,onceshipoperatorslearnthelocationsofthemeasurementequipment,theycanadapttoitbyswitchingtolowsulfurfuelonlywhentheshipisclosetothemeasurementequipment.Sinceitcantakeonetoafewhoursforthefuelsystemtobefullyflushedofallhighsulfurfueloilswhenswitchingfromhighsulfurresidualfueltolowsulfurfuel,theconcernthatshipoperatorsmayadaptcouldbeaddressedbysettingupanumberofunannouncedfixedknownmeasurementsites.Agivenshipwith“clean”exhaustgasmeasurementsatmultiplesiteswouldrepresentaconsistentuseofcleanfuel.

xivExchangerateasofJuly7,2016isusedthroughoutthedocument.


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Fixed-pointmeasurementsatlocationswithotheremissionsourcesorheavyshiptrafficalsorequirecorrectionsforbackgroundpollutionortheinterferenceofemissionsfromothervessels.Forsniffers,inparticular,thesamplingprobabilityofafixed-pointsniffermeasurementisgreatlyaffectedbythewinddirectionandthesnifferlocation.Thiswould,inturn,limitthesitesavailableformeasuringshippingemissions.

Airbornesurveillanceofferstheadvantageofcoveringamuchwiderrangeofareas,sothatalargenumberofshipscanbereachedandinspectedwithinashorttime.Anotherbenefitofairbornesurveillanceisthatchangingwinddirectionhaslessimpactonthemeasurementresults,particularlyifthesniffertechnologyisused.Duringairbornemeasurementcampaigns,anairplanecouldfollowaship,andtransactmultipletimesacrosstheplumeinordertoobtainamorereliableestimate.54HelicoptersanddronesarenowbeingtestedintheNetherlandsandGermany.Bothhelicoptersanddronescanflyinsideanexhaustplumeforagivenamountoftimetoallowthesniffersobtainmoreaccurateemissionestimates.xv

Themaindrawbackofairbornesurveillanceisitshighcost(ofaround€2,000-3,000perhour,orRMB17,400-22,200perhour).55,xviItwouldbemorecosteffectivetodeploythisatlocationswithahighprobabilityoffindingshipsusingnon-compliantfuel.Inaddition,costscouldbeloweredifair-bornemeasurementscouldbecombinedwithexistingaerialsurveillanceworkfordetectingoperationaloraccidentalspillsbyoilorotherharmfulsubstancesfromships.56

xvForsafetyreasons,helicoptersanddronesarenotallowedtoflydirectlyoveravessel,soemissionmeasurementscanonlybeobtainedwhenexhaustplumesareblownsideway.xviThiscoversthecostofoperatingtheaircraft,thecostofinstallingthesniffer,andthecostsofcertificationwiththeEuropeanAviationSafetyAgency(onlyforcivilaircraft),assumingnoneedforpurchasingtheaircraft.


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Figure6.Fixed-pointsnifferdevicesnearthePortofGothenburginSweden,thePortofHamburginGermany,andontheGreatBeltBridgeinDenmarkTheupperleftpictureshowsthebuildingonÄlvsborgFortress,attheentrancetothePortofGothenburg,wherethesnifferinstrumentisplaced.Theupperrightpictureshowsthesnifferinstrumentplacedinanall-weatherprotectivebox;middleleft,thepictureshowsthesnifferandDOAStelescopeplacedoutsideabuildinginWedel,nearthePortofHamburg;middleright,thepictureshowstheairqualitymonitoringequipmentinsidetheall-weathersnifferprotectivebox;lowerleft,thepictureshowsashippassingbyChalmers’snifferinstrumentontheGreatBeltBridge;lowermiddle,theredmarkinthepictureshowsthelocationofthesnifferequipmentinsidethepillaroftheGreatBeltBridge;lowerright,thepictureshowsthesnifferequipmentandanalyzerinsidethebridgepillar.About25,000shipspassbytheGreatBeltStraitin2015asitisthemaingatewaytotheBalticSea.


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4. Verifyingcomplianceofshipsadoptingalternativeequivalentcompliancemethods

Regulation4ofIMOMARPOLAnnexVIallowsshipowners/operatorstoadoptalternativemethodstocomplywiththeAnnexVIrequirements,aslongasthosemethodsareatleastaseffectiveintermsofemissionsreductionsasthatrequiredbytheAnnexVI.57Exhaustgascleaning(EGC)systems(alsoknownasscrubbersforSOx)andliquefiednaturalgas(LNG)enginesarethetwomostcommonequivalentcompliancemethodsformeetingthefuelswitchingrequirements.

InChina,theDECAregulationalsoallowstheuseofequivalentcompliancemeasures,includingEGCsystems,cleanfuels,andshorepower,ifthosealternativemethodscanachieveequivalentemissionsreductiontothatrequiredbytheregulation.58

4.1 Exhaust Gas Cleaning (EGC) System

AspertheSulphurInspectionGuidanceissuedbytheEMSA,59onboardinspectionsforshipsfittedwithEGCunitscouldfocusonthefollowingdocuments:

i) DocumentsissuedbytheFlagStateforapprovingtheuseofscrubbers:

a. MARPOLAnnexVIperformanceSchemeAorBcertificationfornon-EUandnon-USflaggedships,or

b. MarineEquipmentDirective(MED)certificationforEUflaggedshipsxvii

ii) DocumentsissuedbytheFlagStateregardingapprovalofthetrial,iftheuseofEGCsystemrequiresatrialtobeundergone

iii) Documentsspecifyingthetypeoffuelanditssulfurcontentallowed

iv) Recordsintheshiplogbooks

v) Bunkerdeliverynotes.

Theabovedocumentsaremaintainedonboardtodemonstratethat:(1)theEGCunitshavebeenapprovedbytherelevantregulatoryauthorities,(2)theEGCunitsareinproperoperationalorder,and(3)emissionsfromeveryfueloilcombustionunitfittedwithanEGCunit,withthatsysteminoperation,wouldresultintheemissionlevelsatorbelowthelevelsforcomplyingwiththefuelsulfurregulation.Specifically,thefirstdocument—MARPOLAnnexVIPerformancecertification—referstotwoapproachesfordemonstratingEGCcompliancewithMARPOLAnnexVISOxrequirements,asstatedintheIMOGuidelinesforExhaustGasCleaningSystems60(namedIMOEGCGuidelineshereafter)61:

§ SchemeArequiresinitialcertificationofEGCperformance,followedbyaperiodicsurveywithcontinuousoperatingparametersanddailyemissioncheckstoverifyperformanceinservice;

§ SchemeBrequirescontinuousmonitoringofactualshipemissionsanddailyoperatingparametercheckstoconfirmEGCperformance.

SchemeBiscurrentlythatpreferredbyshipownersasthedailyemissioncheckrequiredbySchemeAisonerous.62

xviiInEU,EGCsystemsonEU-flaggedshipscanbecertifiedforaMarineEquipmentDirective(MED)inlieuofaMARPOLAnnexVISchemeAorSchemeBcertification.SeeEMSA,SulphurInspectionGuidance,endnote22.


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ForeveryEGCunit,theIMOEGCGuidelinesrequirethatthemanufacturersgeneratethefollowingdocumentsandobtainapprovalforthesedocumentsfromtheFlagState,asawaytomeettheMARPOLAnnexVIregulation.Ship-ownersoroperatorsshouldbepreparedtoshowthesedocumentsduringinspections(seeAppendixIIIfordetailsofeachofthesedocuments):63Table2:DocumentsdevelopedforEGCunitsforapprovalbytheFlagStateAdministration

DocumentsdevelopedforEGCsystemapproval SchemeA SchemeB

SOxEmissionsCompliancePlan(SECP) ✓ ✓

OnboardMonitoringManual(OMM) ✓ ✓

EGCRecordBookorElectronicLoggingSystem ✓ ✓

SOxEmissionsComplianceCertificate ✓

EGCsystem–TechnicalManualforSchemeA(ETM-A) ✓

EGCsystem–TechnicalManualforSchemeB(ETM-B) ✓AnEGCunitcanbedemonstratedtomeetanequivalentlevelofperformanceasusingtheMARPOLAnnexVI-compliantfueliftheshipexhaust,intermsofSO2(ppm)/CO2(%v/v),islessthantheSO2toCO2ratiocorrespondingtotheIMOfuelsulfurlimits,asshowninthetablebelow:Table3:IMOregulationfueloilsulfurlimitsandcorrespondingSO2toCO2emissionratios64

FuelSulfurContent(%m/m)

CorrespondingemissionratioSO2(ppm)/CO2(%v/v)

4.50 195.0

3.50 151.7

1.50 65.0

1.00 43.3

0.50 21.7

0.10 4.3DuringinspectionsonshipswithEGCunitsthatarecertifiedunderSchemeB,orcertifiedunderSchemeAandarefittedwithcontinuousexhaustgasmonitoringsystems,regulatorypersonnelcouldreviewthedatafromthecontinuousexhaustgasmonitoringsystemtocheckwhethertheSO2toCO2ratioexceedstherespectivefuelsulfurrequirement(seeTable3).TheresultsofdailyspotchecksoftheoperationparametersshouldalsobeinspectedtoverifyproperoperationoftheEGCunit.ForinspectionsofEGCunitsthatarecertifiedunderSchemeAbuthavenotbeenfittedwithcontinuousexhaustgasmonitoringsystems,fuelregulationcompliancecanbeverifiedbyinspectingtheresultsofthedailyspotcheckoftheexhaustgasquality(intermsofSO2toCO2ratio).ProperoperationoftheEGCunitscanbeverifiedbyexaminingtheresultsofparameterchecks.


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RegardlessofwhichschemeanEGCunitiscertifiedunder,thedatarecordingandprocessingdeviceshouldautomaticallyrecordthecontinuousmonitoringdataoftheSO2andCO2ratio(ifapplicable),aswellastheoperationparametersoftheEGCunits.xviiiAllmonitoringdataarerequiredtobemaintainedfornotlessthan18months.65Inadditiontoinspectingdocuments,physicalinspectionsshouldbeconductedtoverifythat:

i) AllEGCsystemsareinoperationatthetimeofinspection

ii) AllfuelcombustionmachineryareconnectedtoEGCsystems,unlesslistedintheSECP

iii) Tamper-proofcontinuous-monitoringsystemsareinplace(mandatoryforsystemcertifiedbySchemeBmethod,optionalforSchemeA)

iv) AllEGCunitsarewellmaintained

4.2 Ships powered by LNG or other alternative fuels

Regulatorypersonnelshouldinspectthefollowingdocumentsandrecords:• AnysupportingdocumentsfromtheFlagStateortheClassificationSocietyshowingapproval

oftheuseofthespecifiedalternativefuels• Appropriaterecordsintheshiplogbooksshowingtheconsumptionofthealternativefuels• Fordualfuelengines,historicalrecordsofthedate,time,andpositionoftheshipwhenit

completedswitchingtoalternativefuels,andwhenitbeganswitchingbacktoconventionalfuels

• Bunkerdeliverynotes,iffeasible,showingthetypeoffuelused.Inaddition,regulatorypersonnelshouldvisuallyinspectthealternativefuelcombustion(consumption)systemtoverifythatitisfunctioningcorrectly,isinoperationduringthetimeofinspection,andisconnectedtoallfuelcombustionmachineryonboard.

4.3 Shore-power

BeforeJanuary1,2019,theDECAregulationrequires0.5percentsulfurfueltobeusedonlyatberth,sotheuseofshorepowercanbeacceptedasanequivalentcompliancestrategy.Forshipsthatareconnectedtoshorepower,thefollowingdocumentsshouldbeinspected:

• Enginelogbooksshowingthedateandtimebywhichshorepowerwasconnected• Recordsshowingtheshorepowersystemhasbeenproperlymaintained

Inaddition,regulatorypersonnelshouldconductvisualinspectionstoensurethatallauxiliaryenginesareturnedoffoncetheshorepowerisproperlyconnectedandinoperation.

xviiiSuchaswashwaterpressureandexhaustflowrateattheinletconnections,exhaustgaspressurebeforetheEGCunitsandpressuredropacrosstheEGCunits,etc.


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5. PenaltiesandtargetenforcementeffortsThedeterrenteffectofanenforcementprogramdependsontwofactors:Thelevelofpenaltiesbeingimposed,andthelikelihoodofapprehensionandpunishment.Foranyenforcementprogramtobeeffective,thepenaltiesmustbehigherthantheillegalgainsfrombreakingtherules.Increasingthechanceofcatchingviolatorsisequallyimportantintermsofdiscouragingviolations.

5.1 Penalties imposed by ECA countries

Thereisnouniformsanctionforshipsfoundtobeusingnon-compliantfuelafterenteringanyoftheECAsforSOx(SECAs)orECAs.Thosecountriesandregionsthatrequiretheuseoflowsulfurmarinefuel(includingECAregionsorregionsadoptinglowsulfurmarinefuelrules)havedevelopedtheirowncomplianceandenforcementprograms.ThetablebelowsummarizesthepenaltiesforviolationsoftheSECAorfuelswitchingregulations.

IntheEU,thebasicprincipleforsettingnon-compliancefinesistomakesurethatbusinessescannotmakeanyfinancialgainfromcheating.66Itisarguedthatapenaltythatbarelymatchesthefinancialrewardfromviolationsisnotbigenoughtoactasatruedeterrent,asrule-breakersarenotalwaysbeingcaught-particularlyinregionswhereenforcementpracticesarelenient.67Asthetableaboveshows,thesizeofthepenaltiesadoptedbyEUmemberstatesvariessignificantlyfromonecountrytoanother.Thishasledtocallstosetamoreconsistentandclearbasisfordeterminingthesizeofpenalties.

IntheUS,theUSCoastGuardclassifiesnon-complianceas“non-criminaldeficiencies”ifthevesselcrewsdemonstrategoodfaithtocomplyandpresentjustifiablereasonsfornon-compliance.Insuchcase,deficiencieswouldtypicallyberecorded,loggedintheUSCoastGuarddatabase,andreportedtoUSEPAfortrendanalysis.NofurtheractionwouldbetakenbytheUSCoastGuardunlessthereweresafetyissues.IfthedatasubmittedtotheUSEPAindicateatrendthatsuggestsashipowneroroperatorisnotactingingoodfaith,USEPAcanlaunchcomplianceinvestigations,andimposepenaltiesifapplicableforthosecasesthatareofficiallyreferredtoUSEPAbytheUSCoastGuard.OncaseswheretheUSCoastGuardsuspectsthatanintentionalnon-complianceactcanbecategorizedas“criminaldeficiencies”,suchasfalsifyinginformationontheBDN,theUSCoastGuardhandlestheseinvestigationsdirectly,andcanordervesseldetentionforinvestigations,fines,andprobationforthevesselowner(s).68


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Table4:SummaryofpenaltiesforviolationofSECAregulationandotherlocalmarinefuelsulfurregulations69

Countries/regions

Maximumfinancialpenalties/feesxix Otherpenalties Regulations

Belgium €6million(RMB44.5million) Finingofcrew;Vesseldetention SECA

UnitedKingdom

£8,000–£3million(RMB69,000–25.9million)

Imprisonmentofcrew;confiscationofvessel SECA

Sweden SEK10million(RMB7.83million) Vesseldetention SECA

FinlandNomaximumpenaltyisset(€800,000range,orRMB5.93million)

Vesseldetention SECA

France €200,000(RMB1.48million) Imprisonmentofcrew;vesseldetention SECA

Norway NOK300,000(RMB238,000) Imprisonmentofcrew SECA

Germany €350-€22,000(RMB2,590–163,000) Vesseldetention SECA

Latvia €2,900(RMB21,500) - SECA

Denmark Nomaximumpenaltyisset Imprisonmentofcrew;vesseldetention SECA

UnitedStates

US$70,117(RMB468,520)perdiem(afteradjustingforinflation) Vesseldetention ECA

California US$10,000(RMB66,820)perdayperviolationforstrictliabilityviolation - CaliforniaOceanGoing

Vessel(OGV)FuelRule

HongKong HK$200,000(RMB172,000)Shipowner,masteroragentliabletoupto6months’imprisonment

HongKongAirPollution(OGV)(Fuelat-berth)Regulation

TheregulatorsintheUScanimposeamaximumstatutorypenaltyofUS$70,117(RMB468,520)perdiemperviolationofMARPOLprotocol.70ApenaltypolicydocumentissuedbytheUSEPAestablishesamethodforcalculatingthenon-compliancepenalties,whichdependon:(i)theeconomicgainsfromnon-compliance,and(ii)theseriousnessoftheviolations.TheUSCoastGuardusestheirpenaltymetricsandtheUSEPAusestheirUSpenaltypolicydocumenttoallowforspeedassessmentofpenalties.Indeterminingthefinalpenalties,theUSCoastGuardandUSEPAalsoconsiderother

xixExchangerateasofJuly7,2016.InCalifornia,non-compliancefeesareleviedifshipsarefoundviolatingtheOGVfuelrule.


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aspectsofthecompanyinquestion,whichcouldresultinaloweringorincreaseofthetotalfines.71,xx

Inadditiontofinancialpenalties,theUSCoastGuard,theUSCustomsandBorderProtectionboard,andanumberofEUcountrieshavetheauthoritytodetainvesselsduringthecourseofinvestigations.Forinstance,ifaninspectionindicatesaviolation,theUSCoastGuardcouldissuea"no-sail"(fordomesticvessels)ordetention(forforeignvessels)orderduringtheinvestigation.Dependingontheseverityofaviolation,thevessel’scustomsclearancecouldberevokedorwithheld.72Thevesselmaybegrantedclearancewhenthedeficiencyisresolved,andaLetterofUndertaking(LOU),xxibond,orothersecurity,ispostedonthemaximumpenaltyamount.73,xxiiForshipownersandoperators,shipdetentioncouldhaveseverefinancialandlegalconsequences,sotheshipdetentionandcustomrevocation/suspensionpostastrongdeterrenteffectagainstcheating.74

InHongKong,whilethemaximumfinancialpenaltyfornon-complianceisnotparticularlyhighcomparedtootherregions,ashipmasterorownercouldbesubjecttosixmonths’imprisonmentifitsshipisfoundtobeviolatingthefuelswitchingrule.Theimprisonmentpenalty,whichcanleadtorevocationoftheshipmasterlicense,isconsideredtobeaneffectivedeterrenteventhoughithasnotbeenused.75SincetheOGVFuelAt-BerthRegulationtookeffectinJuly2015,theHongKonggovernmenthassuccessfullyconvictedthreeshippingcompaniesofusingnon-compliantfuelatberth:thefirstcompanyconvictedwasfinedHK$3,000,andthesecondcompanywasleviedHK$15,000eachontheshipownerandthestaff-in-charge.76

5.2 Increasing the probability of apprehension and punishment

TheexperiencesofEUmemberstatesinimplementingtheSECAregulationofferthebestevidenceintermsofunderscoringtheimportanceofrobustenforcementprogramstodeterviolations.BeforetheEUsteppedupSECAenforcementeffortsin2015,only0.1percentofshipsvisitingEuropeanportswereinspectedforfuelcompliance.Halfofthoseinspectedwerefoundtobeusingnon-compliantfuel.77RespondingtocallsforstrongerenforcementoftheSECAinEurope,78theEuropeanCommission,togetherwithEUmemberstatesandNorway,issuedadecisiondetailingaharmonizedprogramformonitoringSECAcompliance,andspecifyingaminimumpercentofshipsbeinginspectedandfuelsamplesanalyzedbyeachmemberstate.Keyelementsoftheprograminclude:79

- Frequencyofon-boardinspections:EachmemberstatemustinspectthelogbookandBDNonboardatleastonetenthofthetotalnumberofindividualshipscallingintherelevantmemberstateperannum.

xxFiveaspectsrelatingtothecompanyinquestionwillbetakenintoaccountindeterminingthefinalfines:degreeofwillfulnessornegligence,degreeofcooperation,historyofnoncompliance,litigationriskandotheruniquefactors,abilitytopay,andperformanceofasupplementalenvironmentalproject.MoreinformationcanbefoundinEPAPenaltyPolicyforViolationsinendnote71.xxiTheLetterofUndertaking(LOU)isalegaldocumentissuedbytheshipownerorcaptaintotheUSCoastGuardthatitwillfulfilltheobligationofpayingthepenaltyofviolationsintheeventthataviolationis“proved”andacivilpenaltyisimposed.AfterreceiptofaLOU,theCoastGuardmayallowthereleaseofadetainedshipwhileitcontinuesthecomplianceinvestigation.xxiiTheLOUisanimportanttooltodeterviolationsforthoseshipsthatmaynevercomebacktotheportbutthereareclearevidencessuggestingnon-compliance.


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- Frequencyoffuelsamplingoranalysis:AsofJanuary1,2016,thesulfurleveloffuelbeingusedonboardmustbeverifiedbysampling,analysis,orbothofatleastthefollowingpercentageoftheshipsthatarebeinginspectedoflogbooksandBDNs:o MemberstatesthatfullyborderSECAs:40percentofthe10percentofinspectedshipso MemberstatesthatpartiallyborderSECAs:30percentofthe10percentofinspected

shipso MemberstatesthatdonotborderSECAs:20percentofthe10percentofinspected

ships.xxiii

- Reducedfuelsamplingoranalysisformemberstateswithstrongershipinspectionprograms:Amemberstatecanreducebyuptohalftheshareofshipstohavefuelsamplingoranalysisifitdeploysremotemeasurementtechnologiesorquickscananalysismethodstoscreenforpossiblenon-compliantships,orifitinspectsthelogbooksorBDNsofover40percentofindividualshipscallinginitsportsperannum.

- Reportinginspectionresults:Memberstatesshallreportthefindingsofeachsulfur

inspectioninTHETIS-EU,theUnioninformationsystemdevelopedtosupporttheenforcementoftheEUFuelQualityDirective.MemberstatesshallalsoprepareanannualreporttotheEuropeanCommissiononcompliancewithsulfurstandardsandsummarizetheresultsofonboardinspections,fuelsampling,andanalysis.DetailsofthereportingrequirementscanbefoundintheEMSASulphurInspectionGuidance.80

ComparedtothefactthathalfoftheshipsbeinginspectedwereinviolationofSECArequirementsbefore2015,thelatestdatafromtheTHETIS-EUdatabasefoundsignificantlylowernon-complianceratesin2015(around5percent).DenmarkandSwedenrampeduptheirenforcementeffortsin2015tomeet,orexceed,theminimumEUrequirementsforthenumberofshipshavingsamplestakenforsulfurtesting,81andthenon-complianceisevenlower(below3percent).82ForotherEUcountries,anaerialsurveillancepilotprogramcarriedoutaroundBelgiumwatersindicatedthatthenon-complianceratecouldstillbeashighas20percent.83Thissuggeststhat,despitegreatprogressinsomeEUcountries,thereisroomforimprovementonSECAenforcementforsomeotherEUcountries.InCalifornia,wheretheOGVFuelRegulationhasbeenimplementedformorethansixyears,hundredsofon-boardinspectionsareconductedeachyear(seeTable5).In2013and2014,inspectionsweremadeatabout12percentand10percentofvesselcallsinCaliforniaports,respectively.xxivDuringeachinspection,thestaffoftheCARBtakesfuelsamplesfromthefuelsystemtobetestedattheCARBlaboratoryinordertoverifyfuelsulfurcompliance.CARBstaffalsoinspectsdocumentsandreviewsreadingsonengineroomfueltemperaturegaugesandviscometersaswellasdatafromthecontrolroomcomputerforchangesinthetemperatureand/orviscosityoffuels,inordertoidentifyanysignofviolations.84

xxiiiMemberstatesthatdonotborderSECAswillhavetotestthefuelof30percentofthe10percentofinspectedshipsasfromJanuary1,2020.xxivCaliforniaportshandled8,690portcallsin2013;asthereisnopublic2014dataavailable,thenumberofportcallsin2014isassumedthesame.Californiavesselcalldatafor2013canbefoundatUnitedStatesMaritimeAdministration(MARAD),MARADOpenDataPortal,MaritimeData&Statistics,http://www.marad.dot.gov/resources/data-statistics/(February16,2016).


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Table5:SummaryofCARB’sOGVFuelRegulationinspectionprogram85

Year No.ofvesselsinspected Noticesofviolationissued/casesclosed Non-compliancerate

2009 134 7 5%

2010 313 18 6%

2011 493 26/27 5%

2012 575 33/20 6%

2013 1004 46/45 5%

2014 861 27/27 3%

2015 987 28/28 3%

AsshowninTable5above,thenon-compliancerateinCaliforniahasbeennomorethan6percentinthepastsixyears.SincetheinspectionsconductedbyCARBfocusmainlyonshipswithahigherchanceofviolatingtherule(e.g.,shipsthatarenewtoCalifornia,andhenceareunfamiliarwithCalifornia’sfuelswitchingrequirements,orshipsthathavenotbeeninspectedinover12months),theoverallaveragenon-compliancerate,includingthoseshipswithahigherchanceofviolatingtheruleandotherships,shouldbelowerthan6percent.865.2.1 Exchangeofcomplianceandinspectiondata:THETISdatabaseGiventheglobalnatureoftheshippingbusiness,exchangingcomplianceinformation,suchasthecompliancerecordofindividualshipandshippingcompanies,amongcountriesimplementingmarinefuelsulfurregulationcouldhelpPSCofficialsmoreefficientlytargetenforcementeffortsagainstrepeatoffenders.InJanuary2015,theEMSAdevelopedaTHETIS-EUinformationsystemforusebyEUmemberstatestofacilitateconsistentandcentralizedrecordingandexchangingofinformationonsulfurinspectionandcomplianceresults.ThedataintheTHETIS-EUaremeantforusebyPSCofficialstobetterarrangefutureinspectionefforts,shiftingmorefocusontoshipsorshippingcompaniesthatshowapoorrecordofcompliance.THETIS-EUrecorded6,801shipinspectionsin2015.87TheEMSAandDenmarkEPAhaveexpressedtheirintentiontoincludeotherSECAcountriesintheTHETIS-EUcooperation,withthegoalofenablingallSECAcountriestomakeenforcementmoreeffectiveandtargeted.88


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6. LessonslearnedandrecommendationsforChinaChineseregulatoryagenciesarenowpreparingfortheimplementationoftheDECAregulations,withYangtzeRiverDeltatakingtheleadinimplementingtheregulationssinceApril1,2016.OnJanuary29,2016,theNationalMaritimeSafetyAdministration(MSA)oftheMinistryofTransportofChinaissuedaGuidelineforRegulatingandManagingEmissionControlZonesforVessels(seeasummaryoftheguidelineinAppendixIV).89Shanghai,Jiangsu,andZhejiangMSAhavesubsequentlydevelopedmoredetailedguidelinesfortheirfrontlineinspectors.AttheYangtzeRiverDeltacoreports,over1,850shipshavebeeninspectedforDECAcomplianceinthepast2.5months(April1tomid-June2016);amongtheseinspectedships,over360shipshavehadfuelsamplestaken,and58vesselswerefoundtobeusingnon-compliantfuels(i.e.,3.14percentoftheshipsinspectedforDECAcompliance,butmorethan16percentoftheshipsthathavehadfuelsamplestaken).WorkisnowunderwaybylocalgovernmentsandlocalMSAsinotherDECAregionsinordertodevelopmoredetailedguidelinesforenforcingtheDECAregulations.DrawingfromthelessonslearnedfromtheenforcementprogramsadoptedintheUS,EU,andotherregions,belowareafewrecommendationsforChineseregulatoryagenciestoconsiderastheypreparefortheimplementationoftheDECAregulationsaroundDECA.

6.1 Mandating a given percentage of ships to have fuel samples taken to establish enforcement presence and setting high non-compliance penalties to deter violations

ThereiscommonagreementthatBDNsandlogbooksarepronetofraud,andthattakingspotsamplestocheckthesulfurcontentoffuelsusedonboardisthemostreliablewaytoverifycompliancewithfuelswitchingregulations.TheIMOandtheECAcountriesareputtingmoreresourcesintosamplingandtestingofthefuelbeingusedonboard.Asmentionedabove,asofJanuary1,2016,EUmemberstatesarerequiredtotakefuelsamplesfrom2to4percentofindividualshipsvisitingEUports.Californiaenforcementstafftookfuelsampleeverytimetheyconductonboardinspection.TheUSCoastGuard,whichmainlyreliedondocumentchecks,alsolaunchedavoluntaryfuelsamplingprograminFebruary2016toassesscompliancewithECArequirements.90Uniformguidelinesforon-boardfuelsamplingtochecksulfurcompliancearebeingdevelopedattheIMOandwillbecompletedforIMOmembers’approvalinOctober2016.91GiventhattheDECAisthefirstmarinefuelregulationtohavebeenenactedinChina,acultureofcompliancehasnotbeenwellestablished.Asfuelsamplingcanmorereliablyidentifynon-compliance,92ChinashouldconsidermandatingthatagivenpercentofshipscallingatDECAportsbeinspected,andhavespotfuelsamplestakenandanalyzed.Theenforcementofficialsshouldnotlimitfuelsamplingonlytoshipsthatpresentdocumentssuggestinganactofviolation.Theyshouldalsomandatethetakingoffuelsamplesonarandombasisfromshipsthatdonotshowanysignofviolationsbasedondocumentchecks,inordertocreateastrongerdeterrenteffect.93,xxv

xxvIntheMSAenforcementguideline,MSAofficialsshalltakefuelsamplesforsulfuranalysisiffuel-relateddocumentsareincompleteorincorrect,orthereareindicationssuggestingpossibleviolations.MSAofficalsmaycollectfuelsamplesifalldocumentsappeartobecorrectandthereisnosuspicionsofviolation,butthatisnotrequired.


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Inadditiontoincreasingthechanceofcatchingnon-compliantships,raisingtheopportunitycostsofbeingcaughtisimportantfordeterringDECAviolations.GiventhattheamendedAirPollutionPreventionandControlLawlimitsmaximumfinancialpenaltiestoRMB100,000(~US$15,000)perviolation,Chineseauthoritiescouldimposehighernon-financialpenalties,suchasthedetentionofashipsuspectedofviolatingtherule,orsubjectingallshipsownedbycompanieswithahistoryofnoncompliancetomorethoroughinspections.

6.2 Using remote measurement technologies and establishing enforcement database to guide selection of ships for on-board inspection and fuel sampling

Althoughonboardinspectionsandspotsamplingofthefuelinusetakestimeandresources,thehigherqualityofcompliancemonitoringmakesthisaworthwhileapproachwhereverfeasible.Amoreefficientwaytoundertaketheseenforcementinvestigationswouldbetotargetinspectionsonshipsthatindicatesignsofnon-compliance,orthosethataremorelikelytoviolatetherule.Chinacouldconsideroneorbothofthefollowingoptionsonselectingshipsforonboardinspections:

• Conductingremotemeasurementsofsulfuremissionsfromtheexhausttoidentifyshipsthataresuspectedofusingillegalfuel.Keyportregionscouldjointlylaunchremotemeasurementprogramstoguideandsupporton-boardinspections.Afirststepwouldbetolaunchpilotprojectsatkeyportstotestthefeasibilitiesofremotemeasurementtechnologies,andselectsuchtechnologiesasaremostsuitedforuseundertheconditionsofportsinChina.

• DevelopanationalDECAenforcementdatabase,whereinenforcementofficialscouldrecord

theresultsofon-boardinspections.Basedontheinspectiondata,enforcementofficialscouldidentifya“blacklist”ofshipsorshippingcompanies,andthenfocusalargepartoftheiron-boardinspectioneffortsonthoseonthelist.Goingforward,ChinacouldlookintocollaborationswiththeEU,US,California,andHongKongtopromotethesharingofinspectiondataacrosscountries/regionswhichhaveadoptedmarinefuelregulations.

Basedonresultsfromremotemeasurementprogramsand/orentriesintheenforcementdatabase,enforcementofficialscouldverifyshipcomplianceinacosteffectivemannerfollowingthestepsbelow:i. SelectagivenpercentageofshipscallingatChineseportsforonboardinspections;partofthe

vesselsselectedshouldbebasedonremotemeasurementresultsand/orrecordsintheDECAenforcementdatabase,andpartofthembasedonrandomselection.

ii. Duringonboardinspections,inspectandverifydocumentsandtheMARPOLsample,andfromagivenpercentageofshipsinspectedcollectrepresentativesamplesofthefuelinuseforlaboratoryanalysis.Shipsthathavefuelsamplestakencouldbeselectedbasedon:a)whetherthedocumentsorfuelsamplesindicatepossibleviolations,orb)randomselection.

Atportsthathandleahighnumberofportcalls,requiringagivenpercentageofshipsinspectedtohavefuelsamplescollectedforlaboratoryanalysismayputtoomuchpressureonexistingenforcementresources.Insuchcases,enforcementagenciescouldconsidertestingtheuseofthequickfuelsulfurscreeningdevices,andonlyperformlaboratoryanalysisonfuelsamplesfromshipsthatshowahighsulfurreadingfromthescreeningtests.


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Itisworthnotingthatresultsfromthesescreeningdevicesmayhavehigheruncertaintiesthanthosefromlaboratorytestsconductedinacontrolledenvironment.Ifaquickscreeningtestapproachisadopted,itiscriticaltoevaluatethetechnologiescarefully,andunderstandtheirtolerancesandacceptanceinthescientificcommunity.Thisevaluationcouldhelpdetermineareasonablecut-offpoint,overwhichafuelsamplemustbecollectedforlaboratoryanalysisinordertoconfirmthefuelisnon-compliant.

6.3 Establishing detailed enforcement guidelines that specifies the basis for determining non-compliance and assessing penalties to ensure that sanctions are fair, equitable, and have a strong deterrent effect

Inordertosetupafairandequitablepenaltysystem,andtocreateastrongdeterrenteffect,itisnecessarytohaveclear,detailed,andtransparentguidanceforenforcementofficials.ThedetailedenforcementguidelineshouldspecifythemethodsandproceduresforverifyingDECAcompliance,andtheprinciplesbasedonwhichnon-compliancepenaltiesareset.Forinstance,theguidanceissuedbytheChinaNationalMSAstipulatesthatanyshipfoundusingnon-compliantfuel,dependingonitsseverity,shouldbesubjecttooneormoreofthefollowingfourtypesofpenalty:(i)warning,(ii)correctionofbreaches,(iii)detention,and(iv)financialpenalties(seeAppendixIV).Itwouldbehelpfultoprovidemoreguidanceontheconditionsunderwhichtheshipoperator/ownerwouldbesubjecttoeachofthefourpenalties,andwhatfactorsaretobeconsideredwhendeterminingthemagnitudeoffinancialpenalties.Clearpenaltyguidancewouldhelpshipownersandoperatorsunderstandtheconsequencesofviolatingtheregulation.Itwouldalsoenableinspectorsandotherenforcementofficialstotakeswiftaction,andwouldthusavoiddelayinganyvesselanylongerthanisessentialforthecomplianceinvestigationandpenaltydetermination.Forinstance,companiesthatarefoundtohaveinadvertentlyviolatedtherule,suchasbynotproperlyfollowingfuelswitchingprocedures,couldbeconsideredasbeingsubjecttolighterpenalties;repeatedoffendersorshippingcompanieswhichintentionallyviolatetherule(e.g.,withfalsifiedBDNs)shouldbesubjectedtoaheavierpenalty,andgreaterscrutinygoingforward.TheECAJobAiddevelopedbytheUSCoastGuard,andtheSulfurInspectionGuidancedevelopedbytheEMSA,offerusefulpointsofreference(seeforexampleSection2to4oftheECAJobAid,AppendixIoftheEUSulfurInspectionGuidance,forexamplesofthechecklist,table,andflowchartdevelopedtofacilitatethecomplianceverificationprocess).94TheUSEPAPenaltyPolicycouldbeahelpfulreferencefordevelopingaguidelineforassessingpenalties.95

6.4 Offering training for enforcement officials

TheDECAregulationisthefirstfuel-switchingmandatetobeenactedinChina.Itisessentialthatenforcementofficialsareprovidedwithsufficienttrainingtoenforcetherule.Themaingoalofsuchtrainingistoprepareregulatoryofficialstounderstand(i)whichdocumentsshouldbeinspected(ii)whatevidenceshouldbecollectedduringon-boardinspectionstodeterminecompliance;(iii)whatfurthercomplianceinvestigationsareappropriategiventhespecificoutcomes;and(iv)ifashipisfoundviolatingtherule,whatstepsshouldbetakentodetermineandimposepenalties.ConsistentandpredictableenforcementinallDECAregionsisessentialforavoidingtheindustrymakingmistakesthatresultinunintentionalnon-compliance.


29

Bystatingtherangeofpossibleactionsbasedupontheinspectionoutcomes,enforcementpersonnelwillbetterunderstandwhattheregulationwritersexpectofthem.Itwouldalsobeusefultopublicizetheinspectionprocedures,soshipownersandoperatorswillhaveaclearunderstandingaboutwhattoprepareandexpect.Atthetimeofwriting,twosetsofinternationaltrainingworkshopshavebeensuccessfullyorganizedinChina,whereenforcementofficialsfromEuropeancountries,California,USEPAandHongKongsharedtheirexperienceswithChineseofficialsfromDECAports.96Goingforward,ChineseauthoritiescouldorganizesimilartrainingworkshopsforfrontlineinspectorsatfutureDECAports.MSAofficialsfromYRDportscouldbecomeoneofthetrainerstosharetheirexperienceswithinspectorsofotherDECAregions.

6.5 Assuring the quality of bunker fuel

AssurancethatcompliantfuelisavailableandaccessibleisasimportantforguaranteeingthesuccessoftheChinaDECAregulationasensuringthatcompliantfuelisbeingusedonboard.IntheUS,USEPAisinchargeofsettingfuelqualitystandards(includingmarinefuel),andhastheleadonshore-sidefuelsupplierinspections,andtheUSCoastGuardhastheleadonvesselinspections.USEPAalsomanagesalong-establishedandcomprehensivefuelqualityassuranceprogram,whichcoversbunkerfuelontheshore.97,xxviThemaingoaloftheUSEPAprogramistoensurethatshipscallingatportsintheUScanaccessfuelthatcomplieswithUSandinternationalstandards.ItisreportedthattherateofcompliancewithECAandUSfederalmarinefuelstandardsisveryhigh.98

InChina,theamendedAirPollutionPreventionandControlLawclearlygivestheMSAauthoritytoenforcetheDECAregulations,butitislessclearwhichagencyshouldtaketheleadinassuringmarinefuelquality.Article103oftheamendedAirPollutionPreventionandControlLawgivesthelocalQualitySupervisionandInspection(QSI)agenciesandtheIndustryandCommerceagenciestheauthoritytopenalizecompaniesthatproduceorsellsubparfuelforuseonvessels.However,itisunclearwhatroleseachagencywillplayintermsofassuringfuelquality,andhowtheywillcoordinatetheirefforts.Inaddition,inthepastfewyears,localQSIagenciesandEnvironmentalProtectionBureaus(EPBs)havejointlycheckedthequalityofmotorandnon-roadfuels.AclearlineofresponsibilityandenforcementauthorityamongtheQSI,IndustryandCommerceagencies,localEPBsandMSAscouldhelpensurethatthemarinefuelsoldinChinaactuallymeetsDECAandotherinternationalfuelqualitystandards.99

xxviTheUSEPAfuelqualityassuranceprogramhasapresumptiveliabilitystructurewhereeverypartyinthedistributionchain(includingrefiners,distributorsandretailers)isliableforaviolationduetothefuelexceedingtheapplicablestandard(forexample,sulfurcontent).Apartycouldpresentdefensibleevidencesdemonstratingthatitisnotresponsibletotheviolation,andthoseevidencesshouldincludedemonstrationthatitdidnotcausetheviolation,evidencethatthepartyhasputinplaceafuelqualityoversightprogram,andtestresultsshowingcompliancewhentheproductwasdelivered.SeeAnthonyMiller,“EnsuringCompliancewiththeNorthAmerican”inendnote32andUSCodeofFederalRegulations-40CFR80.613(https://www.law.cornell.edu/cfr/text/40/80.613)formoreinformationaboutUSEPA’sfuelprogramandthepresumptiveliabilitystructure.


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6.6 Assisting ship owners /operators to comply with the DECA regulations

HelpingshipoperatorsunderstandhowtheycancomplywiththeChinaDECAregulationsisimportanttoimprovethecultureofcompliance,especiallyforshipsthathaveneveroperatedinregionsadoptingthefuelswitchingregulations.Toensurefullcompliance,itwouldbemosteffectiveforregulatoryauthoritiestodisseminatecomplete,clear,andtimelyinformationtotheshippingindustryabouttheDECAregulationassoonastheenforcementtimelineisset.ItwouldalsobehelpfultoreleaseofficialEnglishversionsofthelegislativetextandinstructionsatthesametimeastheChineseversion,tominimizemisunderstanding.ThefuelsulfurstandardsoftheIMOECAregulationandtheCaliforniaOGVFuelRegulationhaveratcheteddownoverthepastfewyears.Beforethefuelstandardsweretightened,theUSCoastGuardandCARBusuallyissuedmarinesafetyalertsormarinenoticestoinformabouttheupcomingchangesofthefuelstandards.Themarinealertsandnoticesalsocoverthesafefuelchangeoverprocedure,recordkeepingrequirementsfordemonstratingcompliancewiththefuelswitchingregulations,andotherissuesthatcompaniesshouldbeawareof.100ChineseenforcementauthoritiescouldconsiderissuingsimilartypeofnoticetomakesurethatshipownersandoperatorsarewellpreparedfortheDECAregulations.Lastly,Chinacouldarrangetrainingsessionsforshippingcompanyrepresentativesandcrews,introducingtheDECAregulatoryrequirementsandguidelines,andthedocumentsandfuelsamplesthatareneededtodemonstratecompliance,andhighlightingtheneedforagoodfuelchangeoverproceduretoensureeffectiveandsafefuelswitching.Suchtrainingsessionsshouldmainlytargetthoseshippingcompaniesthathavetheleastexperienceoffuelswitching,suchascompaniesthathavenotoperatedinECAregionsintheEUandUS.


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AppendixI:AsampleOGVinspectionflowchartforverifyingcompliancewiththeCaliforniaOGVFuelRegulation101


32

AppendixII:RemotemeasurementprogramsforshipemissionsintheEUandUS

CountryLaunchandcompletion

dateTechnologiesused Agencyincharge Shipstargeted

PortofLosAngeles

andLongbeach102

Oct2015Sniffers&DOAS

fromharborcraftandfixedstations

SouthCoastAirQualityManagementDistrict,supportedbyChalmers

UniversityofTechnology

Shipsoperatinginsurroundingwatersandport(650ships)

Denmark103 Sinceearly2014

Sniffers(atStoraBältBridge)

Sniffers&DOAS

(airbornesurveillance)

DanishEnvironmentalProtectionAgency,supportedbyChalmers

UniversityofTechnology

ShipsenteringandleavingtheBalticSeaandDanishwaters

Gothenburg,Sweden104 Since2006

Sniffers(atÄlvsborgFortress)

SniffersandDOAS

(airborne)

ChalmersUniversityofTechnologyfundedbyEUprojectCompMonand

SwedishVinnova

Shipsenteringandleavingthe

PortofGothenburg,andSwedishwaters

Hamburg,Germany105

SinceSep2014

SnifferandMAXDOAS(atWedelandNeuwerk)

FederalMaritimeandHydrographicAgency(BSH),incollaborationwith

theUniversityofBremen

ShipsenteringandleavingthePortofHamburg

Antwerp,Belgium106

Sep–Oct2015(1stcampaign)

Aug–Dec2016(2ndcampaign)

Sniffer(airbornesurveillance)

RoyalBelgianInstituteofNaturalSciencesofManagementUnitofNorthSeaMathematicalModels(Belgium),FederalPublicServices(FBS)Mobility(Belgium),andHumanEnvironmentandTransportInspectorate(ILT)(theNetherlands)

BelgiumandDutchwaters

Rotterdam107 Sep2009

Snifferandopticalinstruments,includingDOAS,lightdetectionandranging(LIDAR)andtheultravioletcamera(UV-CAM)

EuropeanCommission’sJointResearchCentrexxvii

Shipsenteringandleavingthe

PortofRotterdam

NevaBayandtheGulfofFinland108

AugandSepof2011

JunandJulof

2012

Sniffer(ongroundandboat)

ChalmersUniversity,withfinancialsupportfromtheBalticSea

cooperationforreducingshipandportemissions,BSRInnoShip.

ShipsoperatingintheNevaBayareaandtheGulf

ofFinland

FeasibilitystudyatHamburg-ShipSulfurTrails

EmissionsAerial

Measurements(STEAM)109

Jun/Jul2016(9-monthtestanddemon-strationstudy)

SnifferonRemotelyPilotedAircraftSystems

(RPAS)

EuropeanSpaceAgency,supportedbyCLS,Delair-Tech,EMSA,BSH,DanishShipownersAssociation,andTrident

Alliance

WatersoutsidethePortofHamburg

(pilotphase)

xxviiWithsupportfromChalmersUniversityofTechnology,theNetherlandsOrganizationforAppliedScientificResearch(TNO),theNationalInstituteforPublicHealthandEnvironment(RIVM),andtheNorwegianInstituteforAirResearch(NILU).


33

AppendixIII:DocumentsrequiredforcertificationofEGCunitsperrequirementsofIMO’sGuidelinesforExhaustGasCleaningSystems110

SchemeA SchemeB

SOxEmissionsCompliancePlan(SECP),specifyinginformationsuchas:

§ Listingallfueloilcombustionequipmentonboard,andwhichofthemareconnectedtotheEGCunits

§ ListingallfueloilcombustionunitsthatarenotpracticalforfittingwithEGCunits

§ Presentinghowcompliancecanbedemonstratedthroughcontinuousmonitoringofexhaustgasemissions(SchemeB),dailyrecordingofkeyparameters(SchemeB),ordailyexhaustgasemissionrecordings(SchemeA)

✓ ✓

OnboardMonitoringManual(OMM)§ Listingalltheessentialsensorsusedtodemonstratesystem

compliancexxviii§ Specifyinghowmonitoringsystemsurveysshouldbe

performed(e.g.,thepositionatwhichexhaustgassamplesshouldbetaken)

✓ ✓

EGCRecordBookorElectronicLoggingSystem:TheEGCRecordBookisasetofformsrequiredforloggingeventsthataffectthesensorsmonitoringEGCsystemcompliance(e.g.,maintenance,servicingandre-calibrationevents,offloadingofwashwaterresidues/sludge)

✓ ✓

SOxEmissionsComplianceCertificate:CertifyingthattheEGCunithasbeensurveyedinaccordancewiththerequirementsunderSchemeA

✓

EGCsystem–TechnicalManualforSchemeA(ETM-A):SpecifyingavarietyofkeyprocessingparametersconcerningthecorrectoperationofaparticularEGCunit;theEGCunitshalloperatewithintheparameterlimitsatalltimestoensurecompliance

✓

EGCsystem–TechnicalManualforSchemeB(ETM-B):SpecifyingavarietyofkeyprocessingparametersconcerningthecorrectoperationofaparticularEGCunit;theEGCunitshalloperatewithintheparameterlimitsatalltimestoensurecompliance

✓

xxviiiEssentialsensorsincludeexhaustgasmonitoring,key-processparameters(suchasscrubbingwaterpressureandflow),anddischargewaterqualitymonitoring.


34

AppendixIV:ChinaMSAenforcementguidelineTheMaritimeSafetyAdministration(MSA)oftheMinistryofTransportofChinaissuedaguidelineforregulatingandmanagingEmissionControlZonesforvesselsonJanuary29,2016.111ThedocumentistoprovideguidanceforMSAofficersatalllevelsonverifyingcompliancewiththeDECAregulationsintheYangtzeRiverDelta,thePearlRiverDelta,andBohaiBay.Theguidelinecomprisesthreecomponents:

i) Specifyingthedocumentstoexamineduringonboardinspections:

§ Shiplogbooks:VerifythattherecordingofthedateandtimebywhenfuelswitchingtookplaceisconsistentwiththeDECAfuelswitchingrequirements

§ Bunkerdeliverynotes:VerifythatthesulfurcontentstatedcomplieswiththeDECArequirement

§ Fueloilchangeprocedure:Makesuretheprocedureiskeptontheship;checktheproceduretoensurethatitiscomplete;andcomplywiththevesselsafetymanagementrequirements.

Ifinspectionoftheabovedocumentssuggestsanactofnon-compliance,MSAofficialsshalltakefuelsamplestoverifycompliancewiththesulfurrequirement.Evenifthedocumentsdonotsuggestanactofnon-compliance,MSAofficialsmaytakefuelsamplesforsulfuranalysis.

ii) Specifyingnon-compliancepenalties

ShipsthatarefoundviolatingtheDECAregulationsaresubjecttooneormoreofthefollowingactions:§ Warning

§ Correctionofbreaches

§ Detention

§ AfinancialpenaltyrangingfromRMB10,000to100,000(~US$1,500to15,000),accordingtoArticle106oftheamendedAirPollutionPreventionandControlLaw.

ShipsthatfailtokeepthefuelsupplydocumentandfuelsampleasrequestedaresubjecttoapenaltyrangingfromRMB2,000to10,000(~US$300to1,500).

iii) Specifyingtheinspectionrequirementsforshipsusingalternativecomplianceoptions,includingshorepower,LNG,andscrubbers.

§ Shipsusingshorepower:

o VerifythattherecordingofthedateandstartandendtimeofusingshorepowerintheshiplogbookscomplieswiththeDECAregulation

o Checkwhethertheshipisactuallycapableofusingshorepower.


35

§ Shipsusingcleanenergy(suchasLNG):

o VerifywhethertheInternationalAirPollutionPrevention(IAPP)Certificate/Recordstatesthattheshipisdesignedforusingcleanenergy

o Forvesselsusingdualfuel,verifythatacompleterecordismaintainedwithregardtotheamountofeachtypeoffuelused,andthedateandtimeandlocationofshipwhenfuelswitchingtookplace(latitudeandlongitude)

o VerifythatswitchingtocleanfueltookplaceatalocationthatcomplieswiththeDECArequirement.

§ Shipsusingafter-treatmentdevices:

o Verifythecompletenessoftherecordsofthedateandtimewhentheafter-treatmentdeviceswereturnedonandoff,andthatthedevicewasinoperationinlinewiththeDECArequirement

o Verifytheexhaustafter-treatmentcertificatewasissuedo CheckwhethertheIAPPcertificatenotestheuseofanafter-treatmentdevice.


36

1MinistryofEnvironmentalProtectionofChina,2015ChinaEnvironmentReport(2015 中国环境状况公报),May20,2016(inChinese).WorldHealthOrganization(WHO),WHOGlobalUrbanAmbientAirPollutionDatabase(Update2016),May2014,http://www.who.int/phe/health_topics/outdoorair/databases/cities/en/.http://worldpopulationreview.com(accessedMay26,2016).UnitedNationsConferenceonTradeandDevelopment(UNCTAD),ReviewofMaritimeTransport2015,2015,http://unctad.org/en/PublicationsLibrary/rmt2015_en.pdf.JOC,Top50WorldContainerPorts,http://www.worldshipping.org/about-the-industry/global-trade/top-50-world-container-ports(accessedJan28,2016).ChinaDaily,“Qingdao'spopulationsoarsto9million”,Feb13,2015,http://www.chinadaily.com.cn/m/shandong/e/2015-02/13/content_19582180.htm(accessedJan28,2016).XiamenMunicipalGovernment,“ReportshowsXiamenpopulationreaches4.255millionin2014”,Dec22,2014,http://english.xm.gov.cn/xiamenoverview/population/(accessedJan28,2016).HamburgMetropolitanRegion,EconomicMotor,http://english.metropolregion.hamburg.de/(accessedJan28,2016).TianjinGovernment,“2015BasicpopulationsituationofTianjin”,http://www.tj.gov.cn/zjtj/qurk/rkgk/201503/t20150326_263363.htm(accessedMay26,2016).ZhejiangGovernmentStatistics,Announcementofmajorstatisticsfrom2014surveyofZhejiangprovincepopulationchanges(2014 年浙江省⼈⼝变动抽样调查主要数据公报)，http://www.zj.stats.gov.cn/tjgb/rkcydcgb/201502/t20150213_153148.html(inChinese)(accessedMay26,2016).DalianCity,Asian-PacificCitySummitwebsite,http://apcs.city.fukuoka.lg.jp/cn/city/china/dairen/(accessedMay26,2016).ShenzhenGovernmentOnline-Overview,http://english.sz.gov.cn/gi/(accessedMay26,2016).WorldBankDataBank,Population-total,http://data.worldbank.org/indicator/SP.POP.TOTL(accessedMay26,2016).DMCAmsterdam,“Rotterdam”,http://dmcamsterdam.com/destinations/rotterdam/(accessedMay26,2016).NewGeography,SpecialReport:2013MetropolitanAreaPopulationEstimates,http://www.newgeography.com/content/004240-special-report-2013-metropolitan-area-population-estimates(accessedMay26,2016).CityPopulation,“SouthKorea:BusanMetropolitanCity”,http://www.citypopulation.de/php/southkorea-busan.php(accessedJun26,2016).CityPopulation,“Belgium:Antwerp”,http://www.citypopulation.de/php/belgium-antwerpen.php(accessedJun26,2016).DubaiStatisticsCenter,No.ofestimatedpopulationbysectorandcommunity,https://www.dsc.gov.ae/en-us(accessedJun26,2016).IndonesiaPoints,“Jakarta’spopulation”,http://www.indonesiapoint.com/tourist-attractions/jakarta/jakarta-population.html(accessedJun26,2016).“PopulationofGreaterKualaLumpur”,Wikipedia,https://en.wikipedia.org/wiki/Greater_Kuala_Lumpur(accessedJun26,2016).“PopulationofJohorBahru”,Wikipedia,https://en.wikipedia.org/wiki/Johor_Bahru(accessedJun26,2016).MinistryoftheInteriorofTaiwan,Populationstatisticsbycounty,http://www.ris.gov.tw/zh_TW/346(accessedJuly5,2016).2UNCTAD,ReviewofMaritimeTransport2015,endnote1.3ClarksonsResearch,“TopShippingAwards:Who’sBigonSeaborneTrade?”,May9,2014,https://clarksonsresearch.wordpress.com/2014/05/09/top-shipping-awards-whos-big-in-seaborne-trade/(assessedFebruary25,2016).4HongKongEnvironmentalProtectionDepartment,EmissionsInventoryfor2014,http://www.epd.gov.hk/epd/english/environmentinhk/air/data/emission_inve.html.QingyanFu,“StatusandStrategiesofShippingEmissioninShanghaiPort”,Presentationatthe4thPacificPortsCleanAirCollaborativeConference,October20,2015.ChinaCouncilforInternationalCooperationonEnvironmentandDevelopment(CCICED),CoordinatedActionsforAddressingClimateChangeandAirPollution--WithaFocusonShort-LivedClimatePollutantsandNon-RoadMobileSources,AReporttotheCCICED,November2015,http://www.cciced.net/encciced/policyresearch/report/201511/P020151117574524303949.pdf.5TheMinistryofTransport,“ImplementationPlanofPearlRiverDelta,YangtzeRiverDeltaandBohaiBayEmissionControlZoneforVessels”,December4,2015,http://www.gov.cn/xinwen/2015-12/04/content_5019932.htm6ShanghaiTransportCommissionandShanghaiMaritimeSafetyAdministration,“NoticewithregardtoEnactmentoftheVesselEmissionControlZoneinShanghai”,February17,2016,http://www.shmsa.gov.cn/NewsContent.aspx?CatalogId=5b1d411c-6630-4869-8151-23d0c844f78d&ContentId=173aaeef-c5b0-4813-ac1e-7606d413b74c(accessedMarch17,2016).ZhejiangProvincialTransportCommissionandZhejiangProvincialMaritimeSafetyAdministration,“NoticewithregardtoEnactmentoftheVesselEmissionControlZoneinZhejiang”,March31,2016,http://www.moc.gov.cn/st2010/zhejiang/zj_tongzhigg/tzgg_qita/201604/t20160405_2009219.html(accessedMay31,2016).JiangsuProvincialTransportCommissionandJiangsuProvincialMaritimeSafetyAdministration,“NoticewithregardtoEnactmentoftheVesselEmissionControlZoneinJiangsu”,March31,2016,http://www.jscd.gov.cn/art/2016/4/1/art_18938_1179541.html(accessedMay31,2016).7WhiletheglobalsulfurcapformarinefuelstipulatedbytheIMOis3.5%,theannualaverageglobalsulfurcontentofmarineresidualoil(HFO)was2.5%in2012,accordingtothelatestavailabledataintheThirdIMOGreenhouseGasStudy2014.SeeIMO,ThirdIMOGreenhouseGasStudy2014,


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http://www.imo.org/en/OurWork/Environment/PollutionPrevention/AirPollution/Documents/Third%20Greenhouse%20Gas%20Study/GHG3%20Executive%20Summary%20and%20Report.pdf.8DanA.Lack,etal.,2009,“Particulateemissionsfromcommercialshipping:Chemical,physical,andopticalproperties”,JournalofGeophysicalResearch,Vol.114,doi:10.1029/2008JD011300.Inanotherstudy,itnotedthatPMmassfromusingMDOwith0.155%sulfurisabout70%lowerthanusingHFOwith0.6%sulfur(seeA.Kasper,S.Aufdenblatten,A.Forss,M.Mohr&H.Burtscher,2007,“ParticulateEmissionsfromaLow-SpeedMarineDieselEngine”,AerosolScienceandTechnology,41:1,24-32.)9“UnniEinemo,“DanishairqualitymeasurementsconfirmpositiveECAimpact”,Bunkerworld,February16,2016,http://www.bunkerworld.com/news/140819?tag=1-198694-145899173-0-BW(accessedFebruary17,2016).“Rotterdamport:pollutionbyshipsisfalling”,Green4sea,17July2015,http://www.green4sea.com/rotterdam-port-pollution-by-ships-is-falling/.NickJameson,“Port'sairquality'bestforalmostadecade'”,SustainableShipping,October5,2015,http://www.sustainableshipping.com/news/Port-s-air-quality-best-for-almost-a-decade-139131.10EnvironmentalBureauandEnvironmentalProtectionDepartment,WorkPlanoftheReviewofAirQualityObjectives(AQOs),SubmissiontoPenalonEnvironmentalAffairsoftheLegislativeCouncilCB(1)705/15-16(03),March30,2016,http://www.legco.gov.hk/yr15-16/english/panels/ea/papers/ea20160330cb1-705-3-e.pdf(accessedMay31,2016).11ParisMOU,GuidelinesonApplicationofMARPLOAnnexVIRegulation18inanEmissionControlArea(ECA),https://www.parismou.org/sites/default/files/Guidelines%20on%20fuel%20availability_0.pdf(accessedFebruary1,2016).USCoastGuard,ECAJobAid–Domestic&ForeignVessels,July24,2012,https://www.uscg.mil/d13/cfvs/PDFs/MARPOL_VIJobAid.pdf(accessedFeb1,2016).12MichaelBloor,etal.2013.“Effectivenessofinternationalregulationofpollutioncontrols:thecaseofthegovernanceofshipemissions”,CardiffUniversity.UKParliamentHouseofCommons,InquiryonSulphurEmissionsByShips,WrittenevidencefromProfMichaelBloor,ProfSusanBakerandProfHelenSampson,http://www.publications.parliament.uk/pa/cm201012/cmselect/cmtran/1561/1561vw.pdf(accessedJan2,2016).13CommunicationswithAlexBarberofCaliforniaAirResourcesBoard(CARB),June22,2016.14AlexBarber,“ECAOGVFuelsInspectionInvestigativeSkillsTraining”,presentationattheECAEnforcementWorkshopinShanghai,April11,2016.15HongKongGovernment,AirPollutionControl(OceanGoingVessels)(FuelatBerth)Regulation.L.N.51of2015.USCoastGuard,ECAJobAid,endnote11.16CaliforniaAirResourcesBoard,GuidanceforVesselOperatorsUtilizingtheResearchExemptiontoUseFuelatorBelow0.1%SulfurThatDoesNotMeetSpecificationsforDistillateFuelGradesintheCaliforniaOGVFuelRule,MarineNotice2015-1,October2015,http://www.arb.ca.gov/ports/marinevess/documents/marinenote2015_1.pdf(accessedMay31,2016).17UnniEinemo,“2016bringsstepchangeinEUsulfurinspections”,Bunkerworld,January18,2016.18ShubhlakshmiShukla,“Tankers:UncertaintiesremaininEUoversulfuremissionsrules:sources”,PlattsNews,October12,2015,http://www.platts.com/latest-news/shipping/london/tankers-uncertainties-remain-in-eu-over-sulfur-2623617919USCoastGuard,“VoluntaryVesselFuelOilSamplingProgram”,MarineSafetyInformationBulletin,February17,2016,https://www.uscg.mil/msib/docs/003_16_2-17-2016.pdf(accessedJune1,2016).

20ShanghaiGovernment,“ShanghaiMSAfoundthefirstshipviolatingthefuelrequirementsoftheDECAregulation“(上海海事局查获首例船舶使用不符合排放控制区要求燃油的案件),May6,2016,http://www.shanghai.gov.cn/nw2/nw2314/nw2315/nw18454/u21aw1127962.html(inChinese)(accessedJun28,2016).PudongMSA,“PudongMSAfoundthefirstshipusinghighsulfurfuel”(浦东海事局首次查获船舶使用⾼硫燃油案件),Jun14,2016,http://www.shmsa.gov.cn/NewsContent.aspx?CatalogId=f04ecb41-8ea9-422f-8abf-f5ede769bf10&ContentId=04d723a0-30ec-4afe-b4fa-d7cd0472318b(inChinese)(accessedJun28,2016).ChinaNationalMSA,“ZhejiangMSAinitiatedenforcementprogramsfortheDECAregulationinanorderlyfashioninApril”,(浙江海事局 4 月份船舶排放控制区监管⼯作有序推进),May13,2016,http://www.chinapsc.org/info_detail.jsp?infoId=2484(inChinese)(inChinese)(accessedJun28,2016).ZhangjiagangMSA,“Jiangsutooktheleadinenforcingthestrictestemissionrequirementforships–ZhangjiagangMSAtolaunchDECAenforcementactions”( 船舶最严“限排令”在江苏率先实施——张家港海事局开展“船舶排放控制区”⾏动),April18,2016,

http://www.zjgmsa.gov.cn/art/2016/4/18/art_13425_1041638.html(inChinese)(accessedJun28,2016).ChangshouDaily,“ChangshouMSAtolaunchDECAspecialinvestigationactions”(常熟海事局开展船舶排放控制区专项检查),May3,2016,http://www.szdushi.com.cn/news/201605/2016187496.shtml(inChinese)(accessedJun28,2016).


38

21UnniEinemo,“DevelopmentofIMOin-usesamplingguidelineshitsnags”,BunkerWorld,Feb23,2016,http://www.bunkerworld.com/news/Development-of-IMO-in-use-sampling-guidelines-hit-snags-140887(accessedFebruary25,2016).22EuropeanMaritimeSafetyAgency(EMSA),SulphurInspectionGuidance.http://www.emsa.europa.eu/news-a-press-centre/external-news/item/2407-sulphur-inspection-guidance.html23CommunicationswithAlexBarberofCARB,February5,2016.24InternationalMaritimeOrganization(IMO),“AmendmentstoBunkerDeliveryNotetoPermittheSupplyofFuelOilNotinCompliancewithRegulation14ofMARPOLAnnexVI”,December10,2015,https://imo.amsa.gov.au/secure/papers/2016/ppr3/10.pdf.USEPA,EPAGuidanceonECAMarineFuel,December2014,https://www3.epa.gov/otaq/documents/oceanvessels/420b14097.pdf.CaliforniaAirResourcesBoard,“MarineNotice2014-1”,August2014,http://www.arb.ca.gov/ports/marinevess/documents/marinenote_2014_1.pdf.TheISO8754testingmethodisapplicabletofuelproductshavingsulfurcontentintherangeof0.03%(mass)to5%(mass).TheISO8754standardscanbefoundathttp://www.iso.org/iso/catalogue_detail.htm?csnumber=30062.25USEPA,EPAGuidanceonECAMarineFuel,endnote24.26IMO,“MEPC.182(59)2009,GuidelinesfortheSamplingofFuelOilforDeterminationofCompliancewiththeRevisedAnnexVIofMARPOL73/78”,July17,2009,http://www.imo.org/blast/blastDataHelper.asp?data_id=26467&filename=182%2859%29.pdf(accessedJune23,2016).27UnniEinemo,“ProposedIMOguidelinesforonboardfuelsamplingsparkwiderdebate”,Bunkerworld,February17,2016,http://www.bunkerworld.com/news/Proposed-IMO-guidelines-for-onboard-fuel-sampling-spark-wider-debate-140835(accessedFebruary25,2016).28CommunicationswithRossRuskeofUSEPA,March8,2016;communicationswithIng.DennisW.BrinkmanoftheNetherlandsShippingInspectorate,September9,2016.29CommunicationswithRossRuskeofUSEPA,June1,2016;communicationswithIng.DennisW.BrinkmanoftheNetherlandsShippingInspectorate,September9,2016.30Sinha,P.et.al.“EmissionsoftracegasesandparticlesfromtwoshipsinthesouthernAtlanticOcean”,Atmos.Environ.,37,2139–2148,2003.Schlager,H.etal.“Aircraft-basedTraceGasMeasurementsinaPrimaryEuropeanShipCorridor”,ProceedingsTAC-Conference,83–88,2006.Agrawal,H.etal..”PrimaryParticulateMatterfromOcean-GoingEnginesintheSouthernCaliforniaAirBasin”,Environ.Sci.Technol.,43,5398–5402,2009.Williams,E.J.etal.“EmissionsofNOx,SO2,CO,andHCHOfromcommercialmarineshippingduringTexasAirQualityStudy(TexAQS)2006”,J.Geophys.Res.Atmos.,114,D21306,doi:10.1029/2009JD012094,2009.Diesch,J.-M.etal.“InvestigationofgaseousandparticulateemissionsfromvariousmarinevesseltypesmeasuredonthebanksoftheElbeinNorthernGermany”,Atmos.Chem.Phys.,13,3603–3618,doi:10.5194/acp-13-3603-2013,2013.BalzaniLööv,etal.,“FieldtestofavailablemethodstomeasureremotelySOxandNOxemissionsfromships”,Atmos.Meas.Tech.,7,2597–2613,doi:10.5194/amt-7-2597-2014,2014.JörgBeeckenetal.,“EmissionfactorsofSO2,NOxandparticlesfromshipsinNevaBayfromground-basedandhelicopter-bornemeasurementsandAIS-basedmodeling”,Atmos.Chem.Phys.,15,5229–5241,2015.31UnniEinemo,“ProposedIMOguidelines”,endnote27.32AnthonyMiller,“EnsuringCompliancewiththeNorthAmerican&CaribbeanEmissionControlAreasandEPA’sFuelProgram”,presentationattheUS-ChinaGreenPortsandVesselsInitiativeWorkshop,June13-16,2016.SouthCoastAirQualityManagementDistrict,“SCAQMDAwards$1.1MillionforRemoteSensingProjectstoEnhanceEmissionsMonitoringatOilRefineries,Ships,andOtherSources”,March3,2015,http://www.aqmd.gov/home/library/public-information/2015-news-archives/remote-sensing-projects(accessedJune23,2016).ZhiNing,“Portandshipemissionmonitoringandmanagement”,presentationattheUS-ChinaGreenPortsandVesselsInitiativeWorkshop,June13-16,2016.33SeethemethodologyforestimatingthefuelsulfurcontentinBalzaniLööv,J.M.etal.,“Fieldtestofavailablemethods”,endnote30,KattnerL.,etal.,“Monitoringcompliancewithsulfurcontentregulationsofshippingfuelbyinsitumeasurementsofshipemissions”,Atmos.Chem.Phys.,15,10087–10092,2015. 34JohanMellqvistetal.,IdentificationofGrossPollutingShipstoPromoteaLevelPlayingFieldwithintheShippingSector:FinalReporttoVinnova,2014.35KattnerL.,etal.2015,“Monitoringcompliancewithsulfurcontentregulations”,endnote33.36CommunicationswithAndreasWeigeltofBundesamtfürSeeschifffahrtundHydrographie(FederalMaritimeandHydrographicAgencyofGermany),April26,2016.


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37KattnerL.etal.,“Monitoringcompliancewithsulfurcontentregulations”,endnote33,andBalzaniLööv,J.M.etal.,“Fieldtestofavailablemethods”,endnote30.38CommunicationswithAndreasWeigeltofBundesamtfürSeeschifffahrtundHydrographie(FederalMaritimeandHydrographicAgencyofGermany)andBarbaraMathieu-ÜffingoftheInstituteofEnvironmentalPhysics(IUP)attheUniversityofBremen,Germany,December8,2015.39JohanMellqvistetal.,IdentificationofGrossPollutingShips,endnote34.40BalzaniLöövJ.M.etal.“Fieldtestofavailablemethods”,endnote30.41KattnerL.etal.,“Monitoringcompliancewithsulfurcontentregulations”,endnote33.42FigureextractedfromJörgBeecken,RemoteMeasurementsofGasandParticulateMatterEmissionsfromIndividualShips,ISBN978-91-7597-141-4,Doctoralthesis,ChalmersUniversityofTechnology,2015.43FigureextractedfromKattnerL.etal.,“Monitoringcompliancewithsulfurcontentregulations”,endnote33.44JörgBeecken,JohanMellqvistandK.Salo,"AirborneemissionmeasurementsofSO2,NOxandparticlesfromindividualshipsusingasniffertechnique",AtmosphericMeasurementTechniques,2014,Vol.7(7),pp.1957-1968.JohanMellqvist,etal.,“QuantificationofStackEmissionsfromMarineVessels”,ProceedingsoftheAirandWasteManagementAssociation109thAnnualConferenceandExhibition,June2016.45JörgBeecken,JohanMellqvistandK.Salo,2014.“AirborneemissionmeasurementsofSO2,NOxandparticles”,endnote44.46CommunicationswithAndreasWeigeltofBundesamtfürSeeschifffahrtundHydrographie(FederalMaritimeandHydrographicAgencyofGermany)andBarbaraMathieu-ÜffingoftheInstituteofEnvironmentalPhysics(IUP)attheUniversityofBremen,Germany,December8,2015.47CommunicationswithAndreasWeigeltofBundesamtfürSeeschifffahrtundHydrographie(FederalMaritimeandHydrographicAgencyofGermany),March3,2016.48A.Richteretal.,“IncreaseintroposphericnitrogendioxideoverChinaobservedfromspace“,Nature,437,2005.49J.M.BalzaniLöövetal.,“Fieldtestofavailablemethods”,endnote30.50N.Bergetal.,“ShipemissionsofSO2andNO2:DOASmeasurementsfromairborneplatforms”,AtmosphericMeasurementTechniques,2012,5,pp.1085-1098.

51J.M.BalzaniLöövetal.,“Fieldtestofavailablemethods”,endnote30.JörgBeeckenetal.,“EmissionfactorsofSO2”,endnote30.52FigureextractedfromAndréSeyleretal,2014.“MonitoringShippingEmissionswithMAX-DOASMeasurementsofReactiveTraceGases”.http://www.iup.uni-bremen.de/doas/posters/egu_2014_wittrock.pdf.53J.M.BalzaniLöövetal.,“Fieldtestofavailablemethods”,endnote30.CommunicationswithDenisPöhlerofEnvironmentalMeasurementsandSystemssuggestedsomedownwardlookingDOASsystemscouldbelimittheuncertaintytolessthan10%.54J.M.BalzaniLöövetal.,2014,“Fieldtestofavailablemethods”,endnote30.JohanMellqvistetal,“IdentificationofGrossPollutingShips”,endnote34.55JohanMellqvist,etal.“IdentificationofGrossPollutingShips”,endnote34.56JohanMellqvistetal.“IdentificationofGrossPollutingShip”,endnote34.57IMO,MARPOLAnnexVI–Regulation4.58TheMinistryofTransport(MOT),TheImplementationPlanoftheEmissionControlAreasforShipsinthePearlRiverDelta,YangtzeRiverDeltaandBohaiBay(Jing-Jin-Ji)Waters(交通运输部海事局关于珠三角、长三角、环渤海（京津冀）⽔域船舶排放控制区实施⽅案),December2,2015,http://www.moc.gov.cn/2016wangshangzhibo/2016zhuanti2/xiangguanlianjie/201602/t20160201_1984227.html(inChinese)(accessedJune4,2016).59EMSA,SulphurInspectionGuidance,endnote22.60IMO,2015GuidelinesforExhaustGasCleaningSystems,MEPC68/21/Add.1,http://www.mardep.gov.hk/en/msnote/pdf/msin1541anx1.pdf61IMO,2015GuidelinesforExhaustGasCleaningSystems,endnote61.


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62HåkenThoresen,“DNVGLEGCsystemapprovalandexperience-SOxExhaustGasCleaningSystems(EGCs)”,PresentationatIntertankoTankerEvent,NewYork,May9,2014.63IMO,2015GuidelinesforExhaustGasCleaningSystems,endnotes61.Wärtsilä,WärtsiläScrubberProductGuide,June2014.64IMO,2015GuidelinesforExhaustGasCleaningSystems,endnote61.65IMO,2015GuidelinesforExhaustGasCleaningSystems,endnote61.66EuropeanUnion,Directive2012/33/EUoftheEuropeanParliamentandoftheCouncilof21November2012amendingCouncilDirective1999/32/ECasregardsthesulphurcontentofmarinefuels,November27,2012.67UnniEinemo,“Interview:TridentAlliancestillconcernedaboutEUECAenforcement”,Bunkerworld,http://www.bunkerworld.com/news/INTERVIEW-Trident-Alliance-still-concerned-about-EU-ECA-enforcement-140806(February16,2016).68MichaelMcNamara,“AretheUSandCanadaleadingtheenforcementofECAregulations?”SeatradeMaritimeNews,July24,2015,http://www.seatrade-maritime.com/news/americas/are-the-us-and-canada-leading-the-enforcement-of-eca-regulations.html(accessedFebruary28,2016).69InformationcollectedbymembersoftheTridentAlliance(asofDecember4,2015).HongKongGovernment,AirPollutionControl(OceanGoingVessels)(FuelatBerth)Regulation.L.N.51of2015.CaliforniaGovernment,CaliforniaHealthandSafetyCode§39674.UnniEinemo,“ThreevesselsfinedasNorwaydoublesECAinspections”,Bunkerworld,July28,2015,http://www.bunkerworld.com/news/Three-vessels-fined-as-Norway-doubles-ECA-inspections-137870(September15,2015).USFederalGovernment,TheActtoPreventPollutionfromShips(APPS),33U.S.C.§1908(b),https://www.gpo.gov/fdsys/pkg/USCODE-2010-title33/pdf/USCODE-2010-title33-chap33-sec1908.pdf.70USFederalGovernment,TheActtoPreventPollutionfromShips,endnote66.TheActstipulatedamaximumfineofUS$25,000,andafteradjustedforinflation,thecurrentmaximumfineisUS$70,117(seehttps://www.federalregister.gov/articles/2016/07/01/2016-15411/civil-monetary-penalty-inflation-adjustment-rule#t-2).Thelawalsostipulatesthatanypersonwhomadeafalse,fictitiousorfraudulentstatementorrepresentationrelatedtocompliancewithMARPOLAnnexVIisliabletoamaximumpenaltyofUS$5,000perstatementorrepresentation.71USEPA,EPAPenaltyPolicyforViolationsbyShipsoftheSulfurinFuelStandardandRelatedProvisions,January15,2015,http://www2.epa.gov/sites/production/files/2015-03/documents/marinepenaltypolicy.pdf(accessedMay1,2015).72USFederalGovernment,TheActtoPreventPollutionfromShips,endnote66.73UnitedNationLawoftheSea(UNCLOS),Article73(2).74EugeneJ.O’Connor,etal.,“SteppedupenforcementintheNorthAmericanECA”,MontgomeryMcCrackenWalker&RhoadsLLP,December8,2014,http://www.ukpandi.com/knowledge/article/stepped-up-enforcement-in-the-north-american-eca-august-2014-update-130331/.75HongKongGovernment,“LCQ17:Measurestoreducetheemissionsofocean-goingvesselsatberth”,HongKongGovernmentPressReleases,January6,2016,http://www.info.gov.hk/gia/general/201601/06/P201601060362.htm(accessedMay31,2016).76FanlingMagistrate’sCourtsoftheHongKongSpecialAdministrativeRegion,casenumberFLS2638-9/2016andcasenumberFLS6295-6/2016.Thelevelofpenaltyimposedonthethirdnon-complaintcompanywasnotavailableatthetimeofwriting.77CrystalChan,“ECAcheatinguncovered”,IHSMaritime360website,October6,2014,http://www.ihsmaritime360.com/article/14862/eca-cheating-uncovered(accessedApril28,2015).78Seeforexample,RogerStrevens,“Theendoftheworldasweknowit”,BunkerBulletin,December15th,2014,http://www.bunkerworld.com/community/blog/133061/Roger-Strevens/The-end-of-the-world-as-we-know-it.79EuropeanUnion,“Commissionimplementingdecision(EU)2015/253of16February2015layingdowntherulesconcerningthesamplingandreportingunderCouncilDirective1999/32/ECasregardsthesulphurcontentofmarinefuels”,February17,2015,http://eur-lex.europa.eu/legal-content/EN/TXT/?uri=CELEX:32015D0253.80EMSA,SulphurInspectionGuidance,endnote22.81UnniEinemo,“2016bringsstepchange”,seeendnote17.UnniEinemo,“ThreevesselsfinedasNorwaydoublesECAinspections”,BunkerworldNews,July28,2015,http://www.bunkerworld.com/news/Three-vessels-fined-as-Norway-doubles-ECA-inspections-137870(accessedSeptember15,2015).


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82UnniEinemo,“EUsulfurrulenon-complianceabout5%in2015:EMSA”,Bunkerworld,March9,2016,http://www.bunkerworld.com/news/EU-sulfur-rule-non-compliance-about-5-in-2015-EMSA-141030(accessedMarch16,2016).83UnniEinemo,“Interview:TridentAlliancestillconcernedaboutEUECAenforcement”,Bunkerworld,http://www.bunkerworld.com/news/INTERVIEW-Trident-Alliance-still-concerned-about-EU-ECA-enforcement-140806(accessedFebruary16,2016).84CARB,2012AnnualEnforcementReport,May2013,http://www.arb.ca.gov/enf/reports/reports.htm(accessedSeptember1,2015).85CARB.AnnualEnforcementReport(2009–2015editions),http://www.arb.ca.gov/enf/reports/reports.htm(accessedJuly8,2015).86CommunicationswithAlexanderBarberofCaliforniaAirResourcesBoardonOctober24,2014.87UnniEinemo,“EUsulfurrulenon-compliance”,endnote82.88DanishMaritimeAuthorityandMinistryofEnvironmentandFoodofDenmark,2016,ActionPlan2016onefficientenforcementofregulationsonship’ssulphuremissions.SergioAlda,“Newsulfurrequirements,bestpracticesandthewayahead”,presentationatEMSASECASeminar,Barcelona,October22,2015.89TheMaritimeSafetyAdministration(MSA)oftheMinistryofTransport(MOT),Noticeregardingstrengtheningtheenforcementandmanagementoftheemissioncontrolzoneforships(交通运输部海事局关于加强船舶排放控制区监督管理⼯作的通知),February3,2016,http://www.gdmsa.gov.cn/gd/ShowArticle.asp?ArticleID=30263(inChinese)(accessedMarch16,2016).90“USCoastGuardtointroducevoluntarybunkersamplingforECAcompliance”,Bunkerspot,undated,http://www.bunkerspot.com/americas/41453-americas-us-coast-guard-to-introduce-voluntary-bunker-sampling-for-eca-compliance(accessedFebruary28,2016).91UnniEinemo,“ProposedIMOguidelines”,endnote27.92MichaelBlooretal.,2013,Effectivenessofinternationalregulation,endnote12.93MSA,Noticeregardingstrengtheningtheenforcement,endnote89.94USCoastGuard,ECAJobAid,endnote11.EMSA,SulphurInspectionGuidance,endnote22.95USEPA,EPAPenaltyPolicyforViolations,endnote71.

96NationalMSA,ShanghaiMSAhosted“EmissionControlAreaMonitoringTechnologiesandMethodologyWorkshop”(上海海事局召开“排放控制区监管技术与⽅法研讨会”)

,April13,2016,http://www.moc.gov.cn/zizhan/zhishuJG/haishiju/tupianxinwen/201604/t20160414_2013646.html(inChinese)(accessedJuly9,2016).USEPA,InternationalCooperation-EPAcollaborationwithChina,https://www.epa.gov/international-cooperation/epa-collaboration-china(inChinese)(accessedJuly9,2016).97AnthonyMiller,“EnsuringCompliance”,endnote32.98CommunicationswithPhilBrooksofUSEPAonSeptember23,2015.

99LipingLi,etal.,“DrawingontheUSexperiencestoinformthecontrolofairpollutionfromshipsinChina”(借鉴美国经验控制我国船舶⼤⽓污染),EnvironmentalProtectionMagazine(环境保护),Issue1,2015,http://www.prcee.org/wz/253197.shtml(inChinese).100USCoastGuard,“UltraLowSulfurFuelOil&CompliancewithMARPOLRequirements”,MaritimeSafetyAlert2-15,March3,2015,http://www.uscg.mil/hq/cg5/cg545/alerts/0215.pdf(accessedFebruary29,2016).CaliforniaAirResourcesBoard,“November2011AdvisorytoOwnersorOperatorsofOcean-GoingVesselsVisitingCaliforniaPorts,InformationonRecordkeepingRequirements”,MarineNotice2011-4,http://www.arb.ca.gov/ports/marinevess/documents/marinenote2011_4.pdf(accessedFebruary29,2016).101SharedbyAlexBarberofCARB,June30,2016.102JohanMellqvist,etal.,“QuantificationofStackEmissionsfromMarineVessels”,endnote44.Afullreportofthemeasurementcampaignisbeingdevelopedatthetimeofwriting.


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103TheDanishEnvironmentalProtectionAgency,“NewenvironmentalrequirementsforShipscutairpollutionbyhalf”,Newsrelease,October9,2015,http://eng.mst.dk/about-the-danish-epa/news/news-archives/2015/okt/new-environmental-requirements-for-ships-cut-air-pollution-by-half/(accessedApril1,2016).104JohanMellqvistetal.,IdentificationofGrossPollutingShips,endnote34.105KattnerL.,etal.2015,“Monitoringcompliancewithsulfurcontentregulations”,endnote33.AndréSeyler,“RetrievalofshippingemissionsfromMAX-DOASmeasurements”,MasterThesis,UniversityofBremen,May16,2014.106CommunicationswithWardVonRoyofRoyalBelgianInstituteofNaturalSciencesofManagementUnitofNorthSeaMathematicalModels,March17,2016.107J.M.BalzaniLöövetal.,“Fieldtestofavailablemethods”,endnote30.108JörgBeeckenetal.,“EmissionfactorsofSO2”,endnote30.109CostasParisandRobertWall,“EuropeTriesOutSnifferDronesforPolicingShipEmissions”,WallStreetJournal,November26,2015,http://www.wsj.com/articles/europe-tries-out-sniffer-drones-for-policing-ship-emissions-1448454246?mod=djemlogistics(accessedMarch16,2016).110IMO,2015GuidelinesforExhaustGasCleaningSystems,endnote61.111MSA,Noticeregardingstrengtheningtheenforcement,endnote89.