Protocol of 1997 Amending MARPOL ConventionSenate Consideration of Treaty Document 108-7
Treaty Document
Show OverviewText - Treaty Document: Senate Consideration of Treaty Document 108-7All Information (Except Treaty Text)
A Senate treaty document provides the text of the treaty as transmitted to the Senate, as well as the transmittal letter from the President, the submittal letter from the Secretary of State, and accompanying papers.
Text of Treaty Document available as:
- TXT
For complete and accurate display of this text, see the PDF.
[Senate Treaty Document 108-7]
[From the U.S. Government Printing Office]
108th Congress
1st Session SENATE Treaty Doc.
108-7
_______________________________________________________________________
PROTOCOL OF 1997 AMENDING MARPOL CONVENTION
__________
MESSAGE
from
THE PRESIDENT OF THE UNITED STATES
transmitting
PROTOCOL OF 1997 TO AMEND THE INTERNATIONAL CONVENTION FOR THE
PREVENTION OF POLLUTION FROM SHIPS, 1973, AS MODIFIED BY THE PROTOCOL
OF 1978 THERETO (HEREINAFTER THE ``PROTOCOL OF 1997''). THE PROTOCOL OF
1997, WHICH WOULD ADD ANNEX VI, REGULATIONS FOR THE PREVENTION OF AIR
POLLUTION FROM SHIPS, TO THE INTERNATIONAL CONVENTION FOR THE
PREVENTION OF POLLUTION FROM SHIPS, 1973, AS MODIFIED BY THE PROTOCOL
OF 1978 (HEREINAFTER THE ``MARPOL CONVENTION''), WAS SIGNED BY THE
UNITED STATES ON DECEMBER 22, 1998
[GRAPHIC(S) NOT AVAILABLE IN TIFF FORMAT]
May 15, 2003.--The Treaty was read the first time, and together with
the accompanying papers, referred to the Committee on Foreign Relations
and ordered to be printed for the use of the Senate
_________
U.S. GOVERNMENT PRINTING OFFICE
WASHINGTON : 2003
LETTER OF TRANSMITTAL
----------
The White House, May 15, 2003.
To the Senate of the United States:
I transmit herewith, for the advice and consent of the
Senate to its ratification, the Protocol of 1997 to Amend the
International Convention for the Prevention of Pollution from
Ships, 1973, as Modified by the Protocol of 1978 thereto
(hereinafter the ``Protocol of 1997''). The Protocol of 1997,
which would add Annex VI, Regulations for the Prevention of Air
Pollution from Ships, to the International Convention for the
Prevention of Pollution from Ships, 1973, as Modified by the
Protocol of 1978 (hereinafter the ``MARPOL Convention''), was
signed by the United States on December 22, 1998. I also
enclose, for the information of the Senate, the report of the
Department of State and its attached analysis of the Protocol
of 1997, as well as Resolution 2 of the 1997 MARPOL Conference
with its annexed Technical Code on Control of Emission of
Nitrogen Oxides from Marine Diesel Engines.
The MARPOL Convention is the global agreement to control
pollution from ships. MARPOL Annex VI regulates the emission
into the atmosphere of specified pollutants from ships. It
complements the other annexes to the MARPOL Convention, which
relate to the transport of oil (Annex I), harmful substances
carried in bulk (Annex II) harmful substances in packaged form
(Annex III), ship-generated sewage (Annex IV) and garbage
(Annex V). The United States is a party to all of these annexes
with the exception of Annex IV.
MARPOL Annex VI regulates the prevention of air pollution
from ships by limiting the discharge of nitrogen oxides from
larger marine diesel engines, governing the sulfur content of
marine diesel fuel, prohibiting the emission of ozone-depleting
substances, regulating the emission of volatile organic
compounds during the transfer of cargoes between tankers and
terminals, setting standards for shipboard incinerators and
fuel oil quality, and establishing requirements for platforms
and drilling rigs at sea.
MARPOL Annex VI is an important step toward controlling and
preventing emissions of harmful air pollutants from ships. U.S.
ratification of the Protocol of 1997 will demonstrate U.S.
commitment to an international solution and should hasten the
entry into force of the Protocol of 1997. Ratification will
also enhance our ability to work within the treaty framework to
obtain subsequent amendments that will require further
reductions in emissions of nitrogen oxides that are now
achievable through the use of modern control technologies which
the United States strongly supports.
I recommend that the Senate give early and favorable
consideration to the Protocol of 1997 and give its advice and
consent to ratification, subject to the declarations and
understanding set out in the accompanying report of the
Secretary of State.
George W. Bush.
LETTER OF SUBMITTAL
----------
The Secretary of State,
Washington, DC.
The President,
The White House.
The President: I have the honor to submit to you with a
view to its transmittal to the Senate for advice and consent to
ratification, the Protocol of 1997 to Amend the International
Convention for the Prevention of Pollution from Ships, 1973, as
modified by the Protocol of 1978 thereto (hereinafter the
``Protocol of 1997''). The Protocol of 1997, which would adds
Annex VI, Regulations for the Prevention of Air Pollution from
Ships, to the International Convention for the Prevention of
Pollution from ships, 1973, as Modified by the Protocol of 1978
thereto (hereinafter the ``MARPOL Convention''), was signed by
the United States on December 22, 1998. I also enclose, for the
information of the Senate, Resolution 2 of the 1997 MARPOL
Conference with the annexed Technical Code on Control of
Emission of Nitrogen Oxides from Marine Diesel Engines, and a
detailed analysis of Annex VI prepared by the Department.
The MARPOL Convention is the global agreement to control
accidental and operational discharges of pollution from ships.
It currently includes a framework agreement setting forth
general obligations, and five annexes that relate to particular
sources of marine pollution from ships. Two of these annexes
are mandatory for all MARPOL Convention Parties--Annexes I and
II, that relate, respectively, to the transport of oil and the
transport of harmful substances carried in bulk. The other
three annexes are optional--Annex III, which relates to the
transport of harmful substances in packaged form, and Annexes
IV and V, which regulate ship-generated sewage and garbage
respectively. The Convention and the Protocols of 1978 and 1997
are to be interpreted as one single instrument between Parties
to the same Protocol.
On August 12, 1980, the United States ratified the Protocol
of 1978 (which incorporates with modifications the 1973
Convention), along with Annexes I and II. The MARPOL Convention
and Annexes I and II entered into force for the United States
on October 2, 1983. On December 30, 1987, the United States
ratified Annex V, which entered into force on December 31,
1988. On December 3, 1991, the United States ratified Annex
III, which entered into force on July 1, 1992. While Annex IV,
concerning ship-generated sewage, is expected to enter into
force internationally on September 27, 2003, the Administration
is not requesting Senate advice and consent to ratification of
that Annex.
Substantive provisions of Annex VI
Annex VI seeks to reduce air pollution from ships at sea
and in port. It does so by limiting the emission of nitrogen
oxides (NOx) from marine diesel engines above 130 kW
(175 hp); governing the sulfur content of marine diesel fuel;
prohibiting the deliberate emission of ozone-depleting
substances; regulating the emission of volatile organic
compounds during transfer of cargoes between tankers and
terminals; and setting international standards for shipboard
incinerators and fuel oil quality. Annex VI also establishes
similar requirements for platforms and drilling rigs at sea,
with some exceptions. The NOx Technical Code
attached to Resolution 2 of the 1997 MARPOL Conference contains
testing and certification procedures for the engine
NOx limits. The substantive provisions of Annex VI
are discussed in this and subsequent sections of this report
and the attached analysis of the regulations.
Regulation 13 of Annex VI would limit NOx
emissions from large marine diesel engines to levels that the
negotiating States in 1997 agreed as being achievable by the
year 2000. These limits, which require the use of readily
available emission control technology, apply to any such engine
installed on a ship constructed on or after January 1, 2000,
and to any such engine that undergoes a major conversion after
that date. The limits do not otherwise apply to engines on
ships.
Regulation 14 of the Annex controls emissions of sulfur
oxides (SOx) by imposing a global cap of 4.5% m/m
(4.5% sulfur mass to total mass or 45,000 parts per million) on
the sulfur content of fuel oil used on ships for combustion and
calls on the International Maritime Organization (IMO) to
monitor the worldwide average sulfur content of residual fuel
oil once the Protocol of 1997 comes into force. Annex VI
contains provisions for the establishment of special
``SOx Emission Control Areas''. The sulfur content
of fuel used by ships operating in these areas must not exceed
1.5% m/m (15,000 ppm). Alternatively, a ship can use an exhaust
gas cleaning system or another technological method to limit
sulfur oxide (SOx) emissions. The Annex designates
the Baltic Sea as a SOx Emission Control Area and
provides a mechanism by which the IMO may designate other
SECAs. In March 2000, the North Sea was designated as such an
area. The United States may seek the establishment of
SOx Emission Control Areas in certain areas pursuant
to the procedures set out in Appendix III to Annex VI. However,
proposals for the designation of SOx Emission
Control Areas by the IMO may be made only by States that have
consented to be bound by the Protocol of 1997. The general
requirements for the sulfur content of fuel will go into effect
when the Protocol of 1997 enters into force. Ships entering a
SECA are exempt from the SECA's more stringent requirements for
the first twelve months immediately following the bringing into
force of the SECA.
Regulation 12 of Annex VI prohibits deliberate emissions of
ozone-depleting substances that are controlled under the 1987
Montreal Protocol on Substances that Deplete the Ozone Layer (a
treaty to which the United States is party). These substances
include halon compounds and five chlorofluorocarbon compounds
(CFCs). New installations containing ozone-depleting
substances, such as those found in certain fire extinguishers,
are prohibited on all ships. However, new installations
containing hydro-chlorofluorocarbons (HCFCs) are permitted
until January 1, 2020.
Regulation 16 of Annex VI establishes requirements for the
incineration of materials on board ship. These include
prohibitions on the incineration on board ship of certain
products, such as contaminated packaging materials and
polychlorinated biphenyls (PCBs).
Application of Annex VI
As with all other MARPOL Convention Regulations in force
for them, States bound by Annex VI will be required to apply
Annex VI Regulations to all ships, including those of non-party
States, using their ports or the offshore terminals under their
jurisdiction as may be necessary to ensure that no more
favorable treatment is given to the ships of non-Parties to the
Annex.
As compared to mandatory Annexes I and II on pollution by
oil and noxious liquid substances in bulk, which have been
construed to apply only to seagoing vessels, Annex VI will
apply to all ships operating in the marine environment except
where expressly provided elsewhere in the Regulations contained
in Annex VI.
Article 3 of the MARPOL Convention of 1973 exempts
warships, naval auxiliary and other ships owned or operated by
a State and used in governmental non-commercial service, from
the application of the provisions of the annexes. The State
Parties participating in the 1997 MARPOL Conference that
produced the Protocol of 1997 therefore agreed that such ships
will be exempt from the application of the provisions of Annex
VI under Article 3(3) of the MARPOL Convention of 1973.
However, each Party will still be required to take appropriate
measures not impairing the operations or operational
capabilities of such ships owned or operated by it, to ensure
that such ships act in a manner consistent, so far as is
reasonable and practicable, with Annex VI. In the case of the
U.S. Navy, most of its fossil fuel-powered ships now use gas
turbines, which are not regulated by Annex VI, for main
propulsion. U.S. Navy ships that do use diesel engines for main
propulsion use low (1%) sulfur distillate fuel that is much
cleaner than the heavy fuel oils used by many commercial marine
diesel engines. In addition, new classes of U.S. Navy surface
ships are no longer constructed to use CFCs in shipboard air
conditioning and refrigeration equipment, nor halons in
shipboard fire-fighting equipment.
Domestic regulation of NOx emissions
The Environmental Protection Agency has proposed to
regulate NOx emissions from Category 3 marine diesel
engines pursuant to section 213 of the Clean Air Act, 42 U.S.C.
Sec. 7547. This announcement, which is contained in a Notice of
Proposed Rule Making in the May 29, 2002, edition of the
Federal Register at pages 37547-37608, proposed to apply the
Annex VI standards to new diesel engines on U.S.-flag vessels
starting in 2004 and sought comment on whether the Clean Air
Act authorizes application of these standards to engines on
foreign-flag ships that enter U.S. ports. EPA also sought
comment on the feasibility, costs and benefits of additional
control measures and on whether it should consider a sulfur
content limit for marine diesel fuel in order to reduce
particulate emissions from those engines. The comment period
ended July 16, 2002.
Possibility of more stringent standards
As noted in the 1977 Secretary of State's Report to the
President on the International Convention for the Prevention of
Pollution from Ships, 1973, recommending its transmittal to the
Senate for advice and consent to ratification, the United
States and other States defeated attempts at the 1973
Conference to ``restrict national powers to apply domestic
regulations more stringent than prevailing international
standards to foreign vessels in ports.'' Such authority is also
preserved under customary international law as reflected in the
1982 United Nations Convention on the Law of the Sea. Thus, the
Protocol of 1997, does not, as a matter of international law,
prohibit Parties from imposing more stringent measures as a
condition of entry into their ports or internal waters, unless
a particular regulation in Annex VI expressly imposes such a
limitation.
In this context, it should be noted that Regulation 15,
Volatile Organic Compounds, obligates Parties to provide notice
to the IMO of the ports and terminals under their jurisdiction
to be subject to vapor emission control requirements and to
include in such notification the information specified in
paragraph 2 of that Regulation, including a requirement that
notification occur six months before the effective date of the
controls. Regulation 15 also requires such States to take into
account the safety guidance developed by the IMO, that such
systems are operated in a safe manner, and to avoid undue delay
to ships. In light of these obligations, Parties may not
specify requirements inconsistent with these obligations (e.g.,
imposing vapor emission controls on vessels or cargoes that
take effect before the six month notification period,
stipulating unsafe procedures, or causing undue delay to
ships). Regulation 15 does not, however, establish actual
emission standards. Recognizing this, Parties are free to
prescribe standards applicable to VOC emissions consistent with
the obligations noted above.
It should also be noted that Regulation 15 applies only to
VOC emission recovery associated with cargo transfer operations
between tankers and port facilities.
The Department of State believes it is important to
memorialize clearly the scope of these requirements, and
accordingly, I propose that the following declaration be
included in the U.S. instrument of ratification of the Protocol
of 1997:
The Government of the United States of America
understands that Regulation 15 applies only to safety
aspects associated with the operation of vapor emission
control systems that may be applied during cargo
transfer operations between a tanker and port-side
facilities and to the requirements specified in
Regulation 15 for notification to the International
Maritime Organization of port State Regulation of such
systems.
Apart from the legal issue of whether specific provisions
in a treaty might limit port state authorities, the United
States has basic and enduring national interests related to the
oceans and U.S. port regions, and has consistently taken the
position that the full range of these interest is best
protected through a widely accepted international framework
governing uses of the sea. A workable international regime for
the prevention of air pollution from ships is in the best
interests of all States because it will subject international
shipping to a uniform standard that is environmentally
protective. While retaining the right to impose more stringent
requirements on ships entering U.S. ports, the United States
will work to strengthen international standards by promoting
development of more stringent emission limits that reflect the
capabilities of available technology.
The NOx emission control limits contained in
Regulation 13 of Annex VI are those that were agreed in 1997 as
being achievable by January 1, 2000, on new marine diesel
engines. Consistent with the dates contained in the Regulation
13 NOx requirements, EPA has advised the Department
of State that engine manufacturers worldwide are currently
producing and selling marine diesel engines that meet these
standards. EPA also advises that engine manufacturers are now
applying a variety of basic emission-control technologies to
meet these limits, including in-cylinder technologies such as
optimized turbocharging, increased compression ratio, and
optimized fuel injection, which generally includes timing
retard and changes to the number and size of injector holes to
increase injection pressure.
Regulation 13(d)(b) of Annex VI itself contemplates that
new technology will become available to reduce onboard
NOx emissions below those limits. EPA has noted that
such technology is now available on the land-based counterparts
of these engines, in the form of innovations such as improved
fuel systems and in-cylinder controls. Other advanced
technologies have the potential to achieve much greater
reductions, including engine cooling, water emulsification and
injection after-treatment including selective catalyst
reduction, and fuel cells. EPA further advises that engine
manufacturers are developing and apply all of these
technologies in demonstration projects on marine vessels.
In view of these developments, the Department of State
favors revision of the emission standards set forth in
Regulation 13 to achieve the greatest degree of emission
reduction achievable through the application of the new
technology, taking into account the availability of such
technology and its cost. The Department of State views it as
essential that the IMO agree on such reductions in
NOx emissions on an urgent basis and amend these
technical provisions of Annex VI accordingly.
Resolution 1 of the 1997 MARPOL Conference invited the
Marine Environment Protection Committee (MEPC) of the IMO, if
the conditions for entry into force of the Protocol of 1997 had
not been meet by December 31, 2002, to initiate at its first
meeting thereafter as a matter of urgency a review to identify
the impediments to entry into force of the Protocol and any
necessary measures to alleviate those impediments. At the
request of the IMO Assembly, the MEPC has agreed to initiate
that review at its first meeting in 2003, now tentatively
scheduled for July 14-18, 2003. The United States intends to
press the IMO to set more stringent NOx emission
standards on an expedited basis and encourages other States to
ratify the Protocol so it may enter into force promptly;
amendments to Annex VI could then be adopted and enter into
force through the long-established simplified amendment
procedure specified in Article 16(2) of the MARPOL Convention
of 1973. At the same time, consistent with its rights and
obligations under the Protocol of 1997, the United States
government retains the prerogative to consider imposing more
stringent standards as a condition of port entry, especially in
the event it is not possible to develop credible and effective
NOx emission standards through the IMO.
The United States is also considering whether the Annex VI
sulfur oxide limits should be lowered under this Convention,
particularly in SOx Emission Control Areas.
With the foregoing considerations in mind, I propose that
the following declaration be included in the U.S. instrument of
ratification of the Protocol of 1997:
The Government of the United States of America notes
that at the time of adoption of the Protocol of 1997,
the NOx emission control limits contained in
Regulation 13 were those agreed as being achievable by
January 1, 2000, on new marine diesel engines, and
further notes that Regulation 13(3)(b) contemplated
that new technology would become available to reduce
on-board NOx emissions below those limits.
As such improved technology is now available, the
United States expresses its support for an amendment to
Annex VI, that would, on an urgent basis, revise the
agreed NOx emission control limits contained
in Regulation 13 in keeping with new technological
developments.
Similarly, I propose that the following understanding be
included in the U.S. instrument of ratification of the Protocol
of 1997:
The Government of the United States of America
understands that, with respect to emissions of nitrogen
oxides pursuant to Regulation 13 of Annex VI, the
Protocol of 1997 does not, as a matter of international
law, prohibit Parties from imposing more stringent
measures than those identified in the Protocol as a
condition of entry into their ports or internal waters.
The simplified amendment procedure detailed in Article
16(2) of the MARPOL Convention of 1973 has been used with
regard to all four MARPOL Convention Annexes after their entry
into force. It was established to permit more effective and
rapid adoption and entry into force of technical amendments to
the MARPOL Convention. Pursuant to longstanding practice under
the MARPOL Convention, U.S. acceptance of amendments to Annex
VI will not require further advice and consent by the Senate.
Entry into force and implementation
Only States that are Parties to the MARPOL Convention may
become Parties to the Protocol of 1997. The Protocol of 1997
will enter into force twelve months after the date on which not
less than 15 States have consented to be bound, the combined
merchant fleets of which constitute not less than fifty percent
of the gross tonnage of the world's merchant shipping. As of
October 31, 2002, six States (Bahamas, Liberia, Marshall
Islands, Norway, Singapore and Sweden) have ratified Annex VI,
constituting approximately 25 percent of the world's shipping
tonnage. Recently, a sufficient number of other States
(Belgium, Cyprus, Denmark, Finland, Germany, Greece,
Luxembourg, the Netherlands, Panama and Spain) have publicly
indicated their indication to ratify the Protocol of 1997 in
the near future. Were this to happen, the conditions for entry
into force of the Protocol of 1997 would be met by the time
MEPC meets in the early summer of 2003. U.S. ratification by
that time would significantly enhance our ability to work
through the IMO to achieve our environmental objectives as they
relate to international maritime commerce.
The Protocol will enter into force for the States
consenting to be bound after the Protocol of 1997 enters into
force three months after the date of deposit of their
instruments of ratification, accession or acceptance.
The Protocol may be denounced at any time after five years
from the date on which it entered into force for that Party,
effective twelve months after receipt of the denunciation.
Annex VI will implementing legislation that is being
submitted separately.
The Protocol of 1997, through Annex VI, will make an
important contribution to the protection of the environment by
addressing harmful air pollutants from ships. Ratification will
also strengthen our ability to work through the IMO for
international agreement on more stringent standards in the
future. The Environmental Protection Agency, the U.S. Coast
Guard, and the Departments of Defense, Justice, Interior and
Transportation, join me in recommending ratification of the
Protocol of 1997 with the declarations and understanding
described herein. I understand it also enjoys the support of a
substantial majority of the maritime industry.
I recommend that Annex VI be transmitted to the Senate for
its advice and consent to ratification at an early date.
Respectfully submitted,
Colin L. Powell.
Enclosures: As stated.
[GRAPHIC(S) NOT AVAILABLE IN TIFF FORMAT]