Structure of the MARPOL Convention

Protocol I: Reports on incidents involving harmful substances.

Protocol II: Arbitration for settlement of disputes.

Protocol 1978: Delaying the entry into force of Annex II.

Protocol 1997: Addition of Annex VI to the Convention.

Structure of the MARPOL Convention

General Obligations (Article 1)

Parties to the Convention shall give complete effect to the provisions of this Convention in order to prevent
pollution of the marine environment by the discharge of harmful substances or effluents containing such
substances, in contravention of the Convention.
Important Definitions (Article 2)
Harmful substance: On being introduced into the sea, it will cause the following problems:

 Create hazards to human health.

 Harm living resources and marine life.

 Damage amenities.

 Interfere with other legitimate uses of the sea.

Important Definitions (Article 2)
Discharge: includes escape, disposal, spilling, leaking, pumping, emitting, or emptying harmful substances, but it
does not include the following:

 Dumping of wastes and other matter in accordance with the Dumping Convention.

 Release arising from exploration, exploitation, and processing of seabed mineral resources.

 Release for purposes of scientific research into pollution abatement or control.

Application (Article 3)
This Convention applies to all ships except warships and other ships owned or operated by the State and used only
on government non-commercial service.

Violation (Article 4)

 Flag State shall establish sanctions against its ship, in accordance with its laws, if the ship violates the
requirements of this convention anywhere.

 If a similar violation occurs within the jurisdiction of a Port State, it shall proceed against the ship in
accordance with its laws, or inform the Flag State about it.

 On being informed about any violation by its ship, the Flag State shall take action and inform IMO and the
reporting State.

 The penalty specified under the law of a State shall be adequate in severity to discourage violations.

Port State Control (Article 5)

 A certificate issued by a State under this Convention shall be accepted by all other States as having the
same validity as a certificate issued by them.

 A ship holding a certificate under this Convention is subject to inspection by the Port State. The inspection
shall be limited to verifying that the certificate is valid unless there are clear grounds for believing that the
condition of the ship or its equipment does not correspond substantially with the particulars of the
certificate. In the above cases, the ship shall not sail until steps are taken to ensure that it will not present
an unreasonable threat to the environment, or it may be allowed to sail to the nearest repair yard.

 If a State denies entry to a foreign ship within its jurisdiction or takes action against it for not complying
with this Convention, it shall inform the Flag State. It may consult the Flag State before taking the above
steps.

 No more favorable treatment shall be given to ships of States who are not a party to this Convention.
  A ship is subject to inspection by the Port State where there are clear grounds for believing that the Master
or crew are not familiar with essential shipboard procedures relating to the prevention of pollution by
substances covered by Annexes I to VI. The ship shall not sail until the situation has been brought to order
in accordance with these Annexes. (Reg. I/11, II/16, III/8, IV/13, V/8, and VI/10)

Detection of Violation of the Convention and Undue Delay to Ships

Detection of Violations of the Convention (Article 6)

 A ship may be subject to inspection in any port to verify whether it has discharged any harmful substances.
If so, a report, with evidence of discharge, shall be sent to the Flag State and Master of the ship.

 On receiving such report the Flag State shall investigate the matter, and if it is satisfied with the evidence,
it shall proceed against the ship according to its laws as soon as possible, and inform the reporting State
and IMO.

 A State may inspect a ship in its port if a request for an investigation, with sufficient evidence, is received
from another State. The report of the investigation shall be sent to the requesting State and Flag State.

Undue Delay to Ships (Article 7)

The ship shall not be unduly detained or delayed. If it happens then it shall be entitled to compensation for loss or
damage suffered.

Report on Incidents Involving Harmful Substances and Casualty to Ship

Report on Incidents Involving Harmful Substances (Article 8)

 A report of an incident involving harmful substances shall be made without delay to the fullest possible
extent in accordance with Protocol I.

 Each State shall make arrangements to receive and process all reports, and notify IMO with complete
details of the arrangements made, for circulation to all other States.

 Whenever a State receives a report, it shall relay the same without delay to the Flag State of the ship and to
any other affected State.

 Each State shall issue instructions to its maritime inspection vessels, aircraft, and other services, to report
any incident to its authorities. The State shall also inform the IMO and other concerned States.

Casualty to Ships (Article 12)

Each State shall investigate any casualty occurring to its ship if there is major damage to the environment, and send
the findings to the IMO.

Protocol I
Reports on Incidents Involving Harmful Substances
DUTY TO REPORT (Article I)

 The Master of a ship shall report any incident involving harmful substances without delay and to the
fullest possible extent.

 If the ship is abandoned or if the report is incomplete or unobtainable, the owner, charterer, manager,
operator, or agent of the ship shall assume to the fullest possible extent the obligations of the Master.

CONTENTS OF REPORT (Article III)

 Identity of ships involved.

 Time, type and location of the incident.

 Quantity and type of harmful substances.

 Assistance and salvage measures.

Protocol I
WHEN TO MAKE REPORTS (Article II)
The report shall be made for the following incidents:

 Discharge above the permitted level or probable discharge of oil (Reg. I/1.1) or NLS (Reg. II/1.10) for
whatever reason, including for the safety of the ship or for saving a life.

 Discharge or probable discharge of harmful substances identified as marine pollutants in the IMDG Code,
in packaged form, including containers, portable tanks, road and rail vehicles, and barges.

 Discharge of oil or NLS during ship operation, in excess of the quantity or the permitted instantaneous
rate.

 Damage, failure, or breakdown of a ship of length => 15m. or, 49 feet

 Affecting the safety of the ship, due to collision, grounding, fire, explosion, structural failure, flooding,
cargo shifting, etc.

 Impairing the safety of navigation, due to failure of steering gear, propulsion plant, electrical generation
system, essential navigational aids, etc.

Protocol I
SUPPLEMENTARY REPORT (Article IV)
Any person who is obliged to send a report shall when possible supplement the initial report as necessary, and
provide information concerning further developments, and also fully comply with requests from affected States for
additional information.
REPORTING PROCEDURES (Article V)

 The report shall be made by the fastest telecommunication channels available, with the highest priority, to
the nearest coastal State.

 All States shall issue regulations on the procedures to be followed in reporting incidents, based on the
IMO guidelines dealing with general principles for ship reporting requirements, and guidelines for
reporting incidents involving dangerous goods, harmful substances, and/or marine pollutants.

 Protocol 1978
 Entry Into Force of Annex II
 GENERAL OBLIGATIONS (Article I)
 The Parties to the Convention shall give complete effect to the provisions of this Protocol, which
constitute modifications of the Convention
 IMPLEMENTATION OF ANNEX II OF THE CONVENTION (Article II)
 Annex II of the Convention shall enter into force at least 3 years after the entry into force of this Protocol,
as decided by the MEPC Committee

 Protocol 1997
 Addition of Annex VI
 INSTRUMENT TO BE AMENDED (Article 1)
 This Protocol amends the MARPOL Convention.
 ADDITION OF ANNEX VI (Article 2)
 Annex VI – Regulations for the Prevention of Air Pollution is added.

Introduction
Pollution at sea and in coastal waters is a problem. The MARPOL Convention was incorporated to address this
problem and find solutions to reduce incidents of pollution. The objective of this convention is to primarily deal
with oil pollution, besides other forms of pollution including pollution from chemicals, harmful substances,
sewage, garbage, engine emissions, etc.

IMO's marine pollution regulations have continued to include progressively expanding areas of pollution
prevention from ships via its many annexes and protocols that are regularly added to the original convention; this is
now known as the MARPOL which subsumes all other earlier conventions and has 6 Annexes.

 MARPOL Convention - International Convention for the Prevention of Pollution from Ships, 1973

 MARPOL 73/78 - International Convention for the Prevention of Pollution from Ships, 1978

 MARPOL - International Convention for the Prevention of Pollution from Ships, 1997

 MARPOL Amendments
  International Convention for the Prevention of Pollution from Ships, 1973, as modified by the Protocol of
1978 relating thereto (MARPOL)


MARPOL Amendments
International Convention for the Prevention of Pollution from Ships, 1973, as modified by the Protocol of 1978
relating thereto (MARPOL)
MARPOL Amendments
International Convention for the Prevention of Pollution from Ships, 1973, as modified by the Protocol of 1978
relating thereto (MARPOL)

MARPOL Amendments
International Convention for the Prevention of Pollution from Ships, 1973, as modified by the Protocol of 1978
relating thereto (MARPOL)
MARPOL Amendments
International Convention for the Prevention of Pollution from Ships, 1973, as modified by the Protocol of 1978
relating thereto (MARPOL)
MARPOL Amendments
International Convention for the Prevention of Pollution from Ships, 1973, as modified by the Protocol of 1978
relating thereto (MARPOL)

MARPOL Amendments
The protocol of 1997 to amend the International Convention for the Prevention of Pollution from Ships, 1973, as
modified by the Protocol of 1978 relating thereto (MARPOL PROT 1997) (Annex VI on the prevention of air
pollution from ships)
MARPOL Amendments
Protocol of 1997 to amend the International Convention for the Prevention of Pollution from Ships, 1973, as
modified by the Protocol of 1978 relating thereto (MARPOL PROT 1997) (Annex VI on the prevention of air
pollution from ships)

2018 MARPOL Amendments

Lesson Summary
The MARPOL Convention was structured to have the following subjects:

 Protocol I: Reports on incidents involving harmful substances.

 Protocol II: Arbitration for settlement of disputes.

 Protocol 1978: Delaying the entry into force of Annex II.

  Protocol 1997: Addition of Annex VI to the Convention.

The Annexes and protocols are all placed under the following:

 International Convention for the Prevention of Pollution from Ships, 1973

 International Convention for the Prevention of Pollution from Ships, 1978

 International Convention for the Prevention of Pollution from Ships, 1997

 Ships have been transporting oil in barrels/drums from place to place, but it was never a problem in so far
as pollution was concerned because the quantity of oil was small.

 Steam ships started using oil-fired boilers thus increasing the use of oil as fuel on ships. Over the years,
coal as fuel found it’s way out of shipping

 From 1926 onwards, various attempts were made to convene International conferences to tackle the
problem of oil pollution but with limited success.

 In 1954, U.K. convened a conference, which created the Convention on Prevention of Pollution by Oil
(OILPOL).

 The OILPOL Convention did not effectively serve the purpose for which it was created. In addition, it was
also realized that besides oil there were other pollutants that were equally, if not more, hazardous than oil.

 IMO (International Maritime Organization) convened another conference in 1973 and adopted the
Convention on Prevention of Pollution from Ships (MARPOL), replacing the OILPOL Convention.

 MARPOL finally entered into force in 1983 only with Annex I dealing with oil. Other Annexes dealing
with other pollutants entered into force on different dates.

 Parties to the Convention shall give complete effect to the provisions of this Convention in order to
prevent pollution of the marine environment by the discharge of harmful substances or effluents
containing such substances.

 Each State shall investigate any casualty occurring to its ship if there is major damage to the environment,
and send the findings to the IMO.

Learning Outcomes
Upon successful completion of the module, you will be able to:

 Discuss the evolution of Annex I for the prevention of pollution from oily discharge.
  Explain the application scope of Annex I.

 Analyze the survey and IOPP Certification process of Annex I.

 Discuss the oil filtering and discharge equipment in the machinery space.

 Analyze the arrangements required for the reception of sludge ashore.

 Outline the pollution prevention measures under STS operations.

 Outline the requirements of machinery space for Annex I.

Application
1) Annex I applies to all ships/tankers unless otherwise specified. (Reg. 2.1)

2) For a ship, other than a tanker, having spaces for carrying bulk oil cargo of aggregate capacity ≥ 200 m3, the
following regulations shall also apply to those spaces: (Reg. 2.2)

 Segregation of oil and ballast, and carriage of oil in the forepeak (Reg. 16).

 Restriction of the length of cargo tank (Reg. 26.4).

 Slop tank (Reg. 29).

 Discharge arrangements (Reg. 30).

 ODMCS (Reg. 31).

 Interface detector (Reg. 32).

 Discharge criteria for cargo spaces of tankers (Reg. 34).

 COW operations (Reg. 36).

 If the tank capacity is < 1000 m3, then Reg. 29, 31, and 32 may not apply provided oil is retained on board
and discharged to a reception facility.

) If cargo covered by Annex II is carried in an oil tanker then the appropriate provisions of that Annex shall also
apply. (Reg. 2.3)

4) If a tanker is carrying asphalt or other products, which through their physical properties inhibit effective
product/water separation and monitoring, then the Reg. 29, 31, and 32 (slop tank, ODMCS and interface detector)
shall not apply, and instead, the residues shall be retained on board and discharged to a reception facility. (Reg. 2.4
and interpretation 7)
5) The requirement of Reg. 18, whereby crude oil tanker/product carrier of DWT ≥ 40000 tons and delivered
before 01-06-1982, may be provided with COW/CBT systems respectively, in lieu of SBT system, shall not apply,
subject to the following conditions : (Reg. 2.5 and 2.6)

 The tanker is engaged in trade within the ports of Party States, or the voyage is within a special area, or
within limits designated by IMO.

 All ballast water and tank washings are retained on board and transferred to reception facilities, which are
adequate for this purpose and approved by the respective States.

 Entry is made in the ORB and endorsed by the Port State.

 IOPP Certificate is endorsed accordingly.

Exemptions, Waivers, and Equivalents

1) Flag State may exempt hydrofoil, air-cushion vehicle, near-surface craft, submarine craft, etc., which cannot
comply with certain provisions of this Annex, provided arrangements are made to achieve equivalent protection
against pollution. If so, the Flag State shall endorse the IOPP certificate accordingly and inform IMO within 90
days so that all other States can be informed. (Reg. 3.1, 3.2, and 3.3)

2) Flag State may waive the requirements of Reg. 29, 31, and 32 (slop tank, ODMCS, and interface detector) for all
oil tankers, subject to the following conditions : (Reg. 3.4 and Interpretations 8, 9, and 10)

 Voyage duration £ 72 hours.

 A tanker is within 50 miles from the nearest land.

 A tanker is trading only between ports of the Flag State.

 All oily mixtures are retained on board and discharged to reception facilities, which are determined to be
adequate by the Flag State.

Flag State may waive the requirements of Reg. 31 and 32 for oil tankers, other than those stated above, subject to
the following conditions : (Reg. 3.5 and Interpretations 8, 9, and 10)

 A tanker is delivered before 01-06-1982, DWT ≥ 40000 tons, and trading in a specific area as stated in
Reg. 2.5 and 2.6 above.

 Voyages of the tanker are exclusively within special areas, arctic waters or 50 miles from the nearest land,
outside special area or Arctic waters, trading between ports of the Flag State, or voyage duration.

4) All oily mixtures are retained on board and discharged to reception facilities, which are determined to be
adequate by the Flag State.
5) IOPP certificate is endorsed such that a PSC officer can determine that the tanker complies with the above
conditions (Interpretation 8).

6) Appropriate entry for discharging is made in the ORB.

7) Voyage duration stated above should be counted from the time the tanker leaves a special area OR from the time
the tanker leaves a port outside a special area till it approaches a special area. (Interpretation 9)
8) Flag State may waive the requirements of Reg. 28.6 (stability instrument) for the following oil tankers if they
are loaded in accordance with the conditions approved by the State and IMO guidelines:

 Tanker on dedicated service with a limited number of anticipated loading conditions for which approved
damage stability information is provided to the Master. (Reg. 28.5).

 Tanker whose stability is verified remotely as approved by the Flag State.

 A tanker loaded within an approved range of loading conditions.

9) Flag State may allow any fitting, material, appliance, or apparatus to be fitted in a ship as an alternative, which
is as effective as that required by this Annex and communicate the same to IMO. This shall not apply to
operational methods for the discharge of oil. (Reg. 5 and Interpretation 11)
 Diagram of Annexes and Regulations


Dates of Adoption and Entry Into Force
The following are the adoption dates of the Annexes:

 1973 - (MARPOL Convention), with Protocol I and Protocol II

 1978 - (MARPOL 73/78), with 5 Annexes

 1997 - (Protocol - Annex VI)

 1997 - MARPOL with 6 Annexes

The following are the entry into force dates of the Annexes:

 2 Oct 1983 (Annexes I and II)

 1 Jul 1992 (Annex III)

 27 Sep 2003 (Annex IV)

 31 Dec 1988 (Annex V)

 19 May 2005 (Annex VI)

MARPOL: A Synopsis

 Annex I: Pollution by Oil.

 Annex II: Pollution by Noxious Liquid Substances.

 Annex III: Pollution by Harmful Substances in Packaged Form.

 Annex IV: Pollution by Sewage from Ships.

 Annex V: Pollution by Garbage from Ships.

 Annex VI: Prevention of Air Pollution from Ships

Acceptance of the convention by the national government obliges them to make the requirements part of domestic
law (Code Federal Regulations) in the U.S MARPOL 73/78 consists of six separate Annexes, each set out
regulations covering the various sources of ship-generated pollution.

Initially, Annex I and II are mandatory for all signatory nations to MARPOL while Annexes III, IV, V, and VI are
optional. Currently, the U.S. is a signatory to Annexes I, II, III, and V and VI. Annexes I, II, and V and VI have
been incorporated into U.S. law by the Act to Prevent Pollution from Ships (APPS) and implemented within 33
USC 1901 and 33 CFR 151. The U.S is not a signatory to Annex IV, pollution by sewage
Emissions into the Air and Sea

Summary of the MARPOL 73/78

The U.S. incorporates Annex III by the Hazardous Materials Transportation Act (HMTA) implemented within 46
USC 2101 and 49 CFR 171-174 and 176.

Annex I Regulations for the Prevention of Pollution by Oil (entered into force 2 October 1983) Covers prevention
of pollution by oil from operational measures as well as from accidental discharges; the 1992 amendments to
Annex I made it mandatory for new oil tankers to have double hulls and brought in a phase-in schedule for existing
tankers to fit double hulls, which was subsequently revised in 2001 and 2003.
Annex I - Regulations for the Prevention of Pollution by Oil

An important feature is the concept of special areas which are considered to be so vulnerable to pollution by oil
that oil discharges within them have been completely prohibited, with minor and well-defined exceptions. The
Annex also contains the regulations regarding:

- Discharge of oily mixtures into the sea.

- Oil and water separating apparatus and methods of holding and disposing of oil-water mixtures.
- Ship's equipment and systems for the control of oil discharge.
- Provision of facilities at ports and terminals for the reception of oily mixtures.
- Survey and certification requirements. It contains a model International Oil Pollution Prevention Certificate to be
issued by national shipping administrations.

The 1992 Amendments made it mandatory for new oil tankers to have double hulls and also brought in a phase-in
schedule for existing tankers to fit double hulls.

Annex II — Regulations for the Control of Pollution by Noxious Liquid

Substances in Bulk:

About 250 noxious substances have been identified and discharge of their residues is allowed only to reception
facilities until certain concentrations and conditions (which vary with the category of substance) are complied with.
Discharge of residues containing noxious substance is not permitted within the specified distance from the nearest
land.

Annex III — Regulations for the Prevention of Pollution by Harmful Substances carried by sea in packaged
form

It contains regulations regarding:

- Packing, marking and labelling

- Documentation and stowage of harmful substances
- Exceptions in the regulations
- Operational requireme

Annex IV — Regulations for the Prevention of Pollution by Sewage from Ships

It contains regulations regarding:

- Discharge of sewage into the sea

- Ship's equipment and systems for the control of sewage discharge
- Provision of facilities at ports and terminals for the reception of sewage
- Survey and certification requirements. It contains a model International Sewage Pollution Prevention Certificate
to be issued by national shipping administrations.

Annex V — Regulations for the Prevention of Pollution by Garbage from Ships

Its objective is to eliminate dumping garbage into the sea from ships. This deals with different types of garbage and
specifies the distance from land and the manner in which they may be disposed of.

The requirements are more stringent in special areas. An important feature is a complete ban imposed on the
dumping of all forms of plastic into the sea.

Annex VI — Regulations for the Prevention of Air Pollution from Ships

These regulations prohibit the emission of Ozone-depleting substances from ship's equipment; set limits on the
emission of Nitrogen oxides and Sulphur oxides from ship's machinery; minimize the emission of Volatile organic
compounds from the cargo of oil and chemical tankers; prohibit incineration of certain substances on board ship,
and ensure that the Attained Energy Efficiency Design Index of the ship is less than or equal to the Required Index
as prescribed.
MARPOL 73/78
The combined instrument, i.e. the 1973 MARPOL Convention and the 1978 Protocol, entered into force in October
1983. Subsequently, in 1997 a Protocol was adopted to amend the Convention and a new Annex, i.e. Annex VI was
added which entered into force in May 2005.

Other amendments have updated MARPOL over the years. The MARPOL Convention was incorporated to address
this problem and find solutions to reduce incidents of pollution. The objective of this convention is to primarily
deal with oil pollution, besides other forms of pollution including pollution from chemicals, harmful substances,
sewage, garbage, engine emissions etc. “Special areas” with stricter limitations on operational discharges are
indicated in most of these Annexes.

MARPOL Annexes Provision Summary