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Air Pollution from Ships

Emission Measurements and Impact Assessments


Department of Shipping and Marine Technology
Gothenburg, Sweden 2010

Air Pollution from Ships
Emission Measurements and Impact Assessments
ISBN 978-91-7385-420-7


Doktorsavhandlingar vid Chalmers tekniska hgskola
Ny serie nr 3101
ISSN 0346-718X

Department of Shipping and Marine Technology
Chalmers University of Technology
SE-412 96 Gothenburg
Telephone + 46 (0)31-772 1000

Ship funnel, www. iStockphoto.com
Chalmers Reproservice
Gothenburg, Sweden 2010


Air Pollution from Ships
- Emission Measurements and Impact Assessments

Department of Shipping and Marine Technology
Chalmers University of Technology


Environmental impact and air pollution from ships have received increasing
attention the last decades. Due to combustion characteristics of typical
marine engines and a wide-spread use of unrefined fuel, the global fleet
emits significant amounts of SO
, NO
In order to assess the impacts caused by ship emissions to air, infor-
mation on ships activities in an area or the corresponding fuel use is essen-
tial. In combination with an emission factor that state the mass of an emitted
pollutant related to either the work produced by ship engines or the mass of
combusted fuel, the total emitted mass of a pollutant is established.
and particles to air. Impact assess-
ments and information on emitted amounts are important inputs to decision-
making in regulation development and also for ship designers who aim at
environmentally improved designs.
Ship engines are diverse and the emission factors are insufficiently
quantified for certain operational modes and specific pollutants which makes
assessments difficult. Measurements on-board ships were thus conducted in
order to determine emission characteristics during manoeuvring periods and
for engines operating on fuels of different qualities. The measurement
studies comprised three engines and focussed on emissions of particles and
Elevated levels of numbers of small particles (0.30-0.40m) were
observed during manoeuvring periods and from combustion of marine
distillate oils. Sizes <0.30m were not covered by the study. The size distri-
bution of particles is potentially important in impact assessments since there
are indications that fine and ultrafine particles are associated with higher
health risks than coarse particles. The particle mass was reduced by half from
a shift from a heavy fuel oil with 1.6% sulphur content to a marine gasoil
with 0.03% sulphur.
The results from the impact assessments point in favour of the abate-
ment technologies selective catalytic reduction (SCR), shore side electricity
(SSE) connection and the use of fuel with low sulphur content in a local and
regional cost benefit perspective. The SSE seemed beneficial also from a
ship-owner perspective. SCR was also analysed in a life cycle perspective and
it was concluded there were overall benefits from its use for all impact
categories except global warming.

Keywords: air pollution, ship emissions, manoeuvring ships, impact
assessment, emission measurement, fuel, abatement, ships, emission



This thesis is based on the work contained in the following papers:

Paper I: Winnes, H. and Fridell, E.
Particle emissions from ships: dependence on fuel type
Journal of the Air and Waste Management Association (2009)

Paper II: Winnes, H. and Fridell, E.
Emissions of NO
Transportation Research Part D: Transport and Environment
(2010) 15(4): 204-211
and particles from manoeuvring ships

Paper III: Andersson, K. and Winnes, H.
Environmental trade-offs in nitrogen oxide removal from ship engine
Submitted to the Journal of Engineering for the Maritime
Environment Proceedings of the IMechE Part M

Paper IV: Winnes, H., Fridell, E, strm, S. and Andersson, K.
Improved air quality and associated costs from regulations on ship
emissions - case study on the Port of Gothenburg.
In manuscript

Paper V: Winnes, H. and Ulfvarson A.
Environmental improvements in ship design by the use of scoring
Journal of Engineering for the Maritime Environment Proceedings
of the IMechE Part M, (2006) 220(M1): 29-41

Distribution of work:

Paper I and II were planned by both authors. The measurements were
conducted by experienced measurement technicians from IVL together with
H. Winnes. Emission factors were calculated by E. Fridell. Analysis and
writing were done by H. Winnes in discussion with E. Fridell.

The research and writing of Paper III were carried out by K. Andersson in
discussion with H. Winnes.

The emission inventory in Paper IV was conducted by H. Winnes.
Economical calculations in the same paper were conducted by S. strm.
The planning, analysis of results and writing were mainly done by H. Winnes
in discussion with E. Fridell, K. Andersson and S. strm.

The planning, research activities and writing of Paper V were done by H.
Winnes in discussion with A. Ulfvarson. A. Ulfvarson conducted the
mathematical analysis.



1 INTRODUCTION ..................................................................................................................................................................... 1
1.1 RATIONALE FOR THE CHOICE OF RESEARCH AREA ................................................................................................ 3
1.1.1 Overview of impacts of air pollution caused by ships .............................................................................. 4
1.1.2 Absolute and relative amounts ....................................................................................................................... 8
1.2 AIM AND RESEARCH QUESTIONS ........................................................................................................................... 10
1.3 METHODOLOGICAL APPROACH AND SCIENTIFIC FOUNDATION .......................................................................... 11
1.4 FRAME OF REFERENCE ............................................................................................................................................ 14
2 SHIP ENGINES, FUELS AND POLLUTANT FORMATION ............................................................................ 19
.................................................................................................................................. 22
2.2 NITROGEN OXIDE EMISSIONS FROM SHIPS .......................................................................................................... 22
2.3 PARTICLES FROM COMBUSTION IN MARINE ENGINES .......................................................................................... 24
2.3.1 Particle composition ....................................................................................................................................... 26
3 QUANTIFICATION OF AIR POLLUTION FROM SHIPS .................................................................................. 29
3.1 EMISSION INVENTORIES .......................................................................................................................................... 30
3.1.1 Emission factors .............................................................................................................................................. 31
3.1.2 Within the ship plumes .................................................................................................................................. 36
3.2 CONSIDERATIONS IN LOCAL INVENTORIES ........................................................................................................... 38
4 EVALUATION OF ENVIRONMENTAL IMPACTS ................................................................................................ 41
5 TECHNOLOGICAL IMPROVEMENT POTENTIALS ........................................................................................... 45
5.1 LIMITATIONS DUE TO THE SHIP DESIGN PROCESS ............................................................................................... 45
5.2 TECHNOLOGICAL IMPROVEMENTS ........................................................................................................................ 46
6 THE REGULATORY FRAMEWORK ............................................................................................................................ 51
6.1 INTERNATIONAL REGULATIONS .............................................................................................................................. 52
6.2 EU REGULATIONS .................................................................................................................................................... 54
6.3 NATIONAL REGULATIVE MEASURES AND ECONOMIC INCENTIVES ...................................................................... 55
7.1 MEASUREMENT STUDIES ........................................................................................................................................ 57
7.1.1 Fuel shift study ................................................................................................................................................ 59
7.1.2 Manoeuvring study ......................................................................................................................................... 60
7.2 IMPACT ASSESSMENT STUDY OF UREA FOR SCRS ON SHIPS ........................................................................... 61
7.3 COST BENEFIT ANALYSIS (CBA) STUDY ............................................................................................................... 62
7.4 SHIP DESIGN METHODOLOGY STUDY ................................................................................................................... 64
8 PUTTING THE PIECES TOGETHER ANALYSIS AND CONCLUSIONS ............................................ 67
9 FURTHER WORK ................................................................................................................................................................ 73
REFERENCES ................................................................................................................................................................................. 75



This work has been financed by The Swedish Governmental Agency
for Innovation Systems (Vinnova), the Intermodeship project within
the European 5th RTD Framework Programme for Land Transport
and Marine Technologies, Hugo Heymans forskningsfond and
Chalmersska forskningsfonden.

I would like to thank my supervisors Associate Professor Sven
Lyngfelt, Associate Professor Karin Andersson and Adjunct Professor
Erik Fridell for scientific support and guidance during the work on this
Professor Anders Ulfvarson and Adjunct Professor Herbert Nilsson
were my supervisors the first years of my PhD studies and gave me an
introduction to the world of shipping and ship design that I will always

I would also like to thank:
Trntank Rederi AB and the ferry company who made the emission
measurement studies possible. The Masters, Chief engineers and their
crew onboard Tarnbris and the ferry are also greatly thanked, their
efforts in connection with the measurements were absolutely essential
for successful results.

Kjell Peterson and Erica Steen at the Swedish Environmental Re-
search Institute IVL, who conducted emission measurements onboard
with great skill despite the waves.

sa Wilske, Environmental Manager at the port of Gothenburg and
Maria Holmes at the City of Gothenburg for their help in connection
to the emission inventory.

Dr Ida-Maja Karle who has been there whenever I have needed
advice, support or just someone to talk to.

friends and colleagues at the department who has helped me by
answering my many questions or simply by giving me something else
to think about for a few moments.

my lovely family .



As part of the great system of nature, human actions inevitably
influence the environment. Air pollution has been a problem in
different forms for centuries. Problems with the London sulphurous
smog were documented by the Englishman John Evelyn already in the
Health problems caused by air pollution can be severe, and thus
many cities around the world monitor a set of criteria pollutants that
informs them of peak concentrations and average ambient levels of
these harmful pollutants. Generally, ceiling values that should not be
exceeded more than a specified number of instances per year
accompany those monitoring schemes. Evelyn wrote about sulphur
and soot in 1661, and these pollutants still constitute a significant part
of the air pollution problem. Typical criteria pollutant species related
to health issues are particulate matter (PM), nitrogen oxides (NO
century, at which time the domestic use of high-sulphur coal was
common: no sooner [the visitors] enter into it [London], but they
find a universal alteration in their Bodies, which are either dryed up or
enflamed , as he wrote in his work Fumifugium (1661, reprinted in
sulphur dioxide (SO
), ozone (O
The contribution to air pollution by airborne emissions from ships
was brought to scientific attention during the 1990s, and the literature
on related subjects rapidly increased during the beginning of the 21
), carbon monoxide (CO), a set of
heavy metals and possibly some hydrocarbon species. In addition to
the health effects they cause, these pollutants also contribute to
acidification, eutrophication and damage to crops.

century. Figure 1 gives an indication of this increased awareness by
showing the rise in the number of published articles within the area in
the scientific literature database ISI web of knowledge.






Figure 1. Count of search results for the search string emissions AND ships
in the ISI web of knowledge collection of databases. No hits before 1991.

The International Maritime Organization (IMO) is a UN agency with
a central position for the regulations of air pollution from ships. IMO
has 169 member governments that works to develop and adopt new
international regulations on different maritime topics, primarily safety,
security and pollution prevention. The first rules for regulations to
limit airborne emissions from international shipping resulted from the
entry into force of the Annex VI of the International Convention for
the Prevention of Pollution from Ships (MARPOL) in May 2005.
MARPOL was adopted in its first state in 1973 by the IMO. The
Annex VI to the convention regulates several pollutants, including
from newly built ships, and SO
. Certain maritime regions are
designated emission control areas (ECAs) where the regulated
emission levels are lower than in the rest of the ocean. Accordingly,
regulations of air pollution from ships are only effective for certain
aspects of the present shipping activities. The regulations will become
tighter in a stepwise manner and additionally, the number of emission
control areas will potentially increase.


Shipping has an essential role in the global transport system. One
estimate claims that the shipping industry carries more than 80% of
the total volume of transported goods in the world (Asariotis et al.
2009). The amount of goods in sea borne trade has grown throughout
the last century, and from 1970 to 2008 the increase was more than
threefold (Wijnolst et al. 1997; Asariotis et al. 2009). Also, the average
ship size has increased; the average age of a ship was 23 years in 2009
while the average age of a dead weight ton (DWT) of the same fleet
was 14 years. Another characteristic of the world fleet is that the
amount containerised goods has increased more than other types of
goods (Asariotis et al. 2009).
Different ship types, such as roll-on/roll-off ships, dry and liquid
bulk carriers, and passenger ferries, will differ in several design aspects
in order to fulfil the logistical requirements for a particular cargo type
or for passenger transport. A few obvious examples of differing
designs include the shape of the cargo space and the cargo handling
equipment, but differences could also be related to the value of the
cargo, for example, because it is desirable to transport valuable goods
quickly, which requires powerful engines. Typically, containerised
goods are generally on the high end regarding value, and bulk goods
are on the low end.
An increasing fleet with large engines will without technological
changes require more fuel and cause more pollution. The regulative
measures are incentives to implement existing technologies abating
airborne emissions and counteract an increasing environmental impact
from a growing fleet. Several technological options exist for the
abatement of CO
, NO
and SO
Todays society depends heavily on a functioning transport system.
Compared to other transport modes, sea transport typically consumes
the least fuel oil per ton-km (Michaelowa and Krause 2000).


The work presented in this thesis contains characterisations of
emissions from ships and assessments of subsequent environmental
impacts. Although the utility of the transport is seldom mentioned in
the following text, and even though it is difficult to present definite
and intelligible figures of this utility, it should be kept in mind.
The previously mentioned pollutants, NO
, particles, ozone, SO
, and
Table 1
, all of which are products of combustion of fuel oil, can be
classified as either primary or secondary pollutants. Primary
pollutants is a term used for the pollutants that are formed during the
actual combustion process, while secondary pollutants are formed in
the atmosphere as a consequence of chemical reactions involving the
primary species. The potential impact categories influenced by air
pollution from oil combustion are health problems, acidification,
eutrophication, photo-oxidant formation and climate change, to name
the most important (Jackson and Jackson 1996). An overview of these
pollutants and their corresponding impact categories is presented in


Table 1. Primary pollutants from the combustion of oil and their major
potential impacts.
Impact categories Particles SO NO
Health effects X X X X
Acidification X X
Eutrophication X
Climate change X X(CH

Health risks
Several of the primary and secondary air pollutants from fuel
combustion cause health problems. The correlation between adverse
health effects and particulate matter is well established, and ozone,
and NO
Particulate matter is a heterogeneous group that can be divided into
subgroups based on characteristics that are believed to determine
health risks: particle surface area, particle size, elemental composition,
composition of organic compounds are supposed to be more important
than particle mass for determining associated health risks (Lighty et al.
2000; World Health Organization 2006). Which properties that involve
most health risks are not fully understood. Several epidemiological
studies, however, suggest elevated mortality risks are correlated to the
concentrations of particles and some of them indicate that fine
particles are more harmful than coarse particles (Pope and Dockery
2006). In addition to the mortality risks, there are several different
types of health risks including cardiovascular diseases and respiratory
have also been shown to alter lung function (World
Health Organization 2006).


failure. It is the ultrafine particles that primarily have been observed
to cause damage to other parts of the body than the lungs (Pope and
Dockery 2006). In 2007, Corbett et al. reported that, globally, up to
64,000 premature deaths per year could be attributed to emissions of
from ships in 2002, and that number is predicted to increase to
91,000 by 2012 (Corbett et al. 2007).
When sulphates or nitrates are abundant in aerosol particles, these
particles become acidic and precipitate as acid rain. Acidification is
tightly coupled to H
and HNO
, which are formed by the
oxidation of SO
and NO
(Finlayson-Pitts and Pitts 2000). The
associated environmental impacts range from effects from wear on
buildings and materials to the release of metal ions from lake
sediments, altering the life of water living species and ultimately
leading to fish death (see e.g. (Ottar 1986)). Dalsren et al. (2009)
show that shipping contributes to 25-50% of NO
wet deposition and
15-25% of sulphur deposition in northwestern North Western North
America and Scandinavia. Another study considering acid deposition
in Europe due to shipping indicates that the effects are most
significant in the area around southern Scandinavia and the English
channel (Derwent et al. 2005).
Nitrogen oxides are also involved in the eutrophication issue.
Eutrophication is a problem associated with elevated levels of plant
nutrients such as nitrogen and phosphor in waters and soils. Excess
growth of certain nutrient-loving species occurs at the expense of
others. In sea areas, algal blooms are typical examples related to
eutrophication. The Baltic Sea has episodes of blooms of

Particulate matter (PM) is often categorized by the aerodynamic
diameter of particles. PM
comprises all particles of <2.5m diameter


cyanobacteria in the summertime, which ultimately causes oxygen
depletion at the sea floor when dead organic material is decomposed
(Jackson and Jackson 1996). A Finnish project concluded that at
certain locations in the Baltic Sea, 25% of the nitrogen load originated
from atmospheric deposition, and half of that could be attributed to
ships emissions of NO
Photo-oxidant formation
(Stipa et al. 2007).
Photo-oxidant, or photochemical oxidants is a term used for
atmospheric oxidants that are formed by photo-chemically induced
processes of volatile organic carbons (VOC) and CO. Typically, the
most important species is O
In the presence of sunlight, VOC and NO
(Kley et al. 1999).
can lead to a net
formation of O
. High O
Ships emissions of NO
concentration are typical of smog incidents,
a phenomenon first described in the 50ies (Haagen-Smit 1952). The
damages caused are eye and lung irritation and damage to crops (Kley
et al. 1999).
Climate change
were reported by Lawrence and Crutzen
(1999) to double the ozone formation over the open oceans. The effect
is however less obvious in coastal areas (Lawrence and Crutzen 1999;
Endresen et al. 2003).
Shipping also contributes to the build up of gases that are believed to
affect the climate of the earth. Certain mechanisms lead to higher
atmospheric temperatures while other will reflect the incoming solar
light and cool the atmosphere. CO
is an important warming gas and
emissions from ships increase due to increased transport
activities. Other, more potent, climate gases are methane (CH
) and
nitrous oxide (N
O), which are emitted from ships in minor amounts
(Cooper 2001; Cooper and Gustavsson 2004) and the secondary
pollutant ozone. Emissions of particles and SO
, which forms
sulphate-containing particles, contribute to cloud formation that
probably has a negative impact on the radiative forcing of the earth


(Seinfeld and Pandis 2006). The sulphate particles also reflect
incoming solar light directly (Finlayson-Pitts and Pitts 2000). The
radiative forcing capacity is often presented in terms of global
warming potential (GWP). As the involved chemical species have
different decay rates in the atmosphere, the value on GWP is
integrated over time in order to account for changes in atmospheric
chemical composition. The net effect of ship emissions on radiative
forcing has been estimated to be negative in a short term perspective
despite CO
and O
production (Lee et al. 2006; Eyring et al. 2007;
Lauer et al. 2007), though the warming effects of CO
will be
dominant in a long term perspective (Buhaug et al. 2009).
The reason that ships are large emitters of certain polluting
compounds can technologically be explained by combustion and fuel
characteristics. The use of fossil fuels in marine engines has dominated
since the beginning of the 20
As the fuel oil is combusted, a variety of pollutant species is
dispersed into the air. Typical exhausts from ships contain high levels
century (Wijnolst 1995). Most ships in
the world fleet are equipped with large diesel engines for propulsion
and electricity production. Recent extensive inventories have
estimated the fuel consumption of the global fleet for different years
during the first decade of this century (Corbett and Koehler 2003;
Endresen et al. 2003; Eyring et al. 2005; Endresen et al. 2007; Buhaug
et al. 2009; Dalsren et al. 2009; Paxian et al. 2010). The lowest
estimate of 158 million tonnes refers to the year 2000 (Endresen et al.
2003), and the highest estimate, 333 million tonnes refers to the year
2007 (Buhaug et al. 2009). Differences in the scope of the inventories,
i.e. which ships that are included, account for some of the differences
in these inventory results. An estimate for the fuel consumption for
road-based transport from Borken et al. (2007) is 1,448 million tonnes
per year (year 2000).


of SO
, particles and NO
1448 4282 30 1.9 1.4















Road transport (Borken et al, 2007) base year 2000
Marine transport (Corbett and Koehler, 2003) base year 2001
Marine transport (IMO 2nd GHG study, 2009) year 2007 (int'l shipping)
Marine transport (Dalsren et al, 2009) base year 2004
Marine transport (Paxian et al, 2010) year 2006
. Estimates of total global emissions of
selected pollutants from ships from four different studies are
compared to emissions from road transport in Figure 2.

Figure 2. Relative global yearly emissions from road transport and marine
transport. The emissions from road transport in million tonnes/year are
indicated above the respective bars; road transport = 1. Note that no
adjustments of transport demand changes between the years have been
As can be seen in Figure 2, the annual fuel consumption used for
marine transport is substantially less than that of road transport. The


amount of SO
from marine transport is considerably higher than SO

from road transport, while the picture is not as clear for PM. The NO
The global inventories on emitted amounts expose ships relatively
large contributions of NO

emissions are higher per unit of fuel but with a lower total.
, SO

and PM. This is partly a result of the
differences in environmental regulations concerning the different
transport modes along with a set of technological differences.
The aim of this thesis is to quantify negative environmental effects on
a local scale caused by airborne emissions from ships and to evaluate
results of technological as well as political measures of improvement.
Most of the reasoning here is applicable in a global perspective as
the discussed pollutants are transported in the atmosphere over long
In order to acquire results relevant to reach this aim, several more
specific objectives are pursued. The following research questions cover
these objectives:

1. How will a fuel shift towards low-sulphur fuels within the maritime
sector affect emissions of particles to air?
2. What are the emissions of NO
3. Which aspects need focus when performing emission inventories
on a local level and how should these aspects be treated?
and particles during ships
manoeuvring phases?
4. What improvements in air quality and damage reduction will
follow political incentive-based systems that target ship emissions?


The methodological approach for this research is founded in both
quantitative research with descriptive purposes and in more
qualitative research approaches. Although the descriptive analytical
studies (compare to the first and second research question) provide a
backbone for the research, a description of the methodological
approach using terms from the social sciences was found to be useful
in order to place the research in a wider scientific context. The
description of methodological approaches relevant for this work and
their influence on the choice of methods mainly follow terminology
from Arbnor and Bjerke (1997).
Science builds on different co-existing paradigms. Two of those that
are used in social science are the analytical theory and the systems
theory. This thesis, as a whole, has a scientific foundation in systems
theory, which considers a system to be more than the sum of its
interacting parts. However, specific studies within this research work
are of such character that they would more correctly be described by
means of analytical theory. Analytical theory can be described as
having an objective conception of reality that consists of summative
A system on a conceptually high level is depicted in Figure 3. It is
believed that a high level representation of the system comprising the
studies will present a relevant context for the studies. The three
spheres of the system in Figure 3 are nature which presents us with
resources to use and limits our actions when those resources are finite;
society which comprises any human artefacts and also all decision-
making that influences both technology use and the environmental
consequences; and finally the ship sphere which represents
technology, which is all manmade and that causes changes in nature.


These spheres are by no means specific for this research. All three
contain subsystems and a few of these subsystems are studied in this

Figure 3. The naturesocietytechnology system. The directions of
interactions that are studied in are indicated by arrows

Typical subsystems of nature that have been considered in this thesis
are air and human health. Ships represent technology in this research,
and two examples of ships subsystems are engines and fuel. The
societal part of the system is, in a few aspects, part of the analyses but
in a static way; regulative measures are studied and provide input to
the work, although the potential influence of environmental
degradation on decision-making is not assessed. The interactions
between the society sphere and the other two has thus only been
regarded in one direction. The directions of the interactions that have
been studied are indicated by arrows in Figure 3.
Arbnor and Bjerke (1997) use the term operative paradigm to
describe how a methodological approach is connected to a specific
study area. Another similar term is research design, as seen in Yin
(1994) and Bryman (2001), for example. The operative paradigm
comprises a study plan and a range of methods that suits the
methodological approach (Arbnor and Bjerke 1997), basically a way


to move from research questions to conclusions. Following the systems
approach, for example, the case study is frequently used, since these
studies are able to treat whole systems with interacting units and can
then be used to represent certain types of systems. It is also common
to conduct personal interviews to gather information. Due to the
explicit focus on synergistic effects, analytical experiments that are
performed to reproduce causal relations are not relevant (Arbnor and
Bjerke 1997). Validation techniques in the systems approach school
relies on data collection from as many perspectives as possible and on
acceptance from groups within the system under study, while validity
in analytical research answers to what is measured by the technique
used, and whether the achieved results are true (Arbnor and Bjerke
Paper I and II are based on emission measurement studies. Focus in
paper I is the influence of a fuel shift from heavy fuel oil to marine
distillate oil while paper II quantifies emissions of certain pollutants
from ships during manoeuvring in and out of harbour. Referring to
Figure 3, the results have been placed in a context where they contri-
bute to a description of how technology affects air quality, a sub-
system of nature.
Paper III is a trade-off study with a life-cycle perspective that
covers environmental effects within different impact categories. Also
in this study, the consequences in nature from factors of technology
are assessed. This study comprises expansion of system boundaries in
order to better depict the actual system under study.
Paper IV presents a cost benefit study of regulative and voluntary
initiatives including a local emission inventory. Ships that called
Gothenburg during 2008 provide the study with case specific data. The
study considers costs and benefits from the initiatives and their effect
on emission levels. This study covers all three spheres; restrictions and
strategies to reduce emissions originate in the society, which leads to
technological abatement (subsystems of technology), and conse-


quently changes pollutant levels in the air and reduces effects in
Paper V includes a study on ship design. The approach in this study
takes a shipowner perspective and considers how requirements from
ship industry stakeholders could be used to design a ship based on
environmental objectives. The aim is to develop methods for use in
ship design and is mainly a study of how information on environmental
situations can be transferred to technological parameters during
design. Relations between subsystems on a ship were in focus. Two
interview series were conducted to provide information for the
This thesis is comprised of elements from the disciplines of chemistry,
environmental science and engineering. It also (although very
shallowly) touches upon both economics and law. The fact that a
research area cannot be placed in any single scientific discipline is a
main characteristic of interdisciplinary research. The qualities and
difficulties of interdisciplinary research as such, however, are in this
thesis only considered on an elementary intellectual level. A broad
research approach has a potential to produce results and descriptions
that are close to being put into use in, for example, decision-making.
The research work was started in 2001 as a response to an
increasing interest in environmental issues at the department of Naval
Architecture and Ocean Engineering at Chalmers University of
Technology. It was realised by many at this time that the
environmental effects from a ship throughout its lifecycle were
insufficiently considered when new ships were to be designed.
The initial theme of this research work comprised the incorporation
of environmental performance parameters in the design process of
ships and ship-based transport chains. The scope was focused around,
but not limited to, emissions to air from marine engines.


As a set of environmental impact assessment methods were
examined, it became evident that some characteristics coupled to the
ship industry and ship transportation called for special attention in the
choice of assessment method:

1. The geography in the vicinity of the ship changes constantly and a
number of related factors such as local population density and
bedrock, determine the severity of any effect caused by emissions
from the ship.
2. The element of risk associated with environmental damage needs
to be treated in a life cycle assessment of ships transportation
due to the potentially large environmental consequences of a
single ship accident. The risk issue, which could be an oil spill to
give one example, is also traditionally managed by regulations
and indeed, certain ship dimensions are determined by risk
related aspects.
3. Ships are complex structures with subsystems that interact and
influence each other. Any adjustment in design parameters that
change the environmental performance of one subsystem will
affect the performance of others.

These three assumptions were considered in the study of suitable
methods for environmentally aware ship design methodologies.
Another assumption that was not directly related to the assessment
method but that became evident during the initial study on ship design
concerned the availability of data was:

4. There are indications of poor data on emissions from marine
engines for certain defined operational setups.

The research was presented in a licentiate thesis in February 2005 after
which there were two options for which direction to pursue: either the
environmental design methods should be validated with professional


ship designers within the industry, or the relevant data for
environmental impact assessments, the input to the methods, should
be studied and improved. The focus was lifted from the design and
company issues to questions concerning the quantification and
characterisation of emissions caused by ships and their effects.
Assumptions 2 and 3 were thus no longer relevant for further
The initial study, presented in Paper V, shall consequently be
considered as a way to find the research questions for the following
A few air-borne pollutants were then more closely studied as they
could be determined to cause a major part of the harm done by ships.
These were nitrogen oxides (NO
), sulphur dioxide (SO
Because several new regulations that affect the emission factors for
) and
, SO
In Figure 4 the relation between the studies conducted within the
scope of this thesis are presented together with the most important
defined areas within the frame of reference. The rectangles represent
divisions within different disciplines that have provided essential
information to the studies. The ellipses represent the conducted
studies. The results of the studies have contributed to the knowledge
base concerning abatement technology, emission factors and
evaluation of environmental damage, and taken together they
contribute knowledge of the local impacts of airborne emissions from
and particles had been developed around this time (~2007),
the fourth assumption listed previously seemed relevant to examine
more closely. This led to two field-measurements aimed at better
accuracy of input data under certain defined conditions. Thereafter, a
cost benefit study of policy options for reductions of ships emissions
including an inventory study considering effects in a port city was
conducted. The final study was completed in 2010.


ship design
LCA study
Evaluation of
Ship design
Plume chemistry
CBA/ Emission
inventory study
perspective on
air pollution
from ships

Figure 4. Representation of the knowledge areas treated in the research. The
arrows represent outputs and inputs between the areas.

The disposition of the following text is such that each of the rectangles
will initially be treated followed by presentations of the conducted
studies (the ellipses) considering methods used, results and an overall
analysis of the results. The conducted studies are thoroughly described
in the appended Papers I-V.



Ship engines are usually diesel engines of considerable sizes.
Approximately 67% of the world fleet use four-stroke diesel engines
for propulsion, and the rest are almost exclusively driven by two-
stroke diesel engines (data representative for 2002) (Corbett and
Koehler 2003). The speed of the engine in revolutions per minute
(rpm) at the crank shaft at design speed is another measure used to
determine the type of an engine. Slow speed diesel (SSD) engines are
typically large engines, mainly of the two-stroke principle, that run
between approximately 60 and 240 rpm; medium speed diesel (MSD)
engines are of smaller sizes in general, follow the four-stroke principle
and run between 240 and 960 rpm; and the high speed diesel (HSD)
engines are four-stroke engines that run at more than 960 rpm
Table 2
. In
, some characteristics of different engine types are depicted.
About twice the amount of fuel combusted in medium speed
engines is used by ships with slow-speed engines (Buhaug et al. 2009).
Typical characteristics of marine diesels are that the combustion relies
on direct injection, that the inlet air is turbocharged and that they have
high thermal efficiencies (Heywood 1988). The thermal efficiency of
marine two-stroke engines can be up to 53% (Buhaug et al. 2009).

The limits between HSD, MSD and SSD used in Kuiken, K. (2008). Diesel Engines
I, for ship propulsion and power plants., have been used here, the engine speed intervals are
not definite


Table 2. Some typical characteristics of slow- medium- and high speed
Engine type
Speed at crankshaft at
design speed (RPM)
<240 240-960 >960
Typical combustion cycle



Specific fuel oil
consumption (g/kWh)
165-200 180-250
Share of installed power in
the global fleet (2002)
~60% >40%

The combustion in diesel engines occurs at lean conditions when there
is an excess of air, even at low engine loads. In order to change power
output during the diesel combustion cycle, the amount of fuel injected
in the combustion chamber is varied while the inlet air volume is kept
almost constant. For ship engines, variations in the amount of inlet air
will occur despite this because the turbocharger operations depend on
the exhaust flow (Heywood 1988). Another important aspect for
pollutant formation in marine engines is direct injection, which causes
significant local variations in the combustion chamber in terms of
temperature and fuel to air ratios (Heywood 1988).
The majority of fuel types used by the international fleet today are
variants of heavy fuel oil (HFO). Heavy fuel oil contains residues from
refineries processing of crude oil and are highly viscous and need
heating before being used on board a ship. The trend in using heavy
fuel oil as a marine fuel started in the 1950s (Goodger 1982). In this
text, the term heavy fuel oil will be used for all fuel qualities
containing refinery residues, also covering so-called intermediate fuel
oil (IFO), which is HFO blended with refined oil qualities. There are


also marine distillate fuels (MD), which are refined products, although
certain classes of these might contain blend-ins of residues as well. A
selection of marine fuels and their typical characteristics are presented
in Table 3. In the previously referred to report from IMO a yearly
consumption of 76 million tonnes of MD and 256 million tonnes of
HFO were concluded upon for year 2007 (Buhaug et al. 2009).

Table 3. Typical physico-chemical properties of Heavy Fuel Oil and the
Marine Distillate Fuel types Marine Diesel Oil and Marine Gas Oil
(CONCAWE 1998; King et al. 2001; International Organization for
Standardization 2010).

Fuel type

ISO classification
RMA, -B, -D,
Sulphur content (%)
(according to ISO

<2.0 <1.5
Contains residual oil Yes Yes No
Viscosity at 40C (mm2/s) 10-700 11-14 1.40-6.00
Density at 15C (g/cm3) 0.920-1.010 0.890 0.890
Ash (% m/m) 0.04-0.15 0.01 0.01


The sulphur content of MD are often below 0.5% (Cooper and Gustavsson
2004) and regional limits stipulate lower limits for both HFO and MD
The marine heavy fuel oil is characterised by high sulphur content,
high viscosities and densities and also high content of aromatics and
minerals (Cooper et al. 1996; CONCAWE 1998; King et al. 2001).


Also the marine distillate oils have high sulphur contents compared to
fuels used for land based transport. The content of polycyclic aromatic
hydrocarbons (PAH) in the fuel varies depending on whether it is
HFO or MD. Fuel analyses have also shown significant differences
within each fuel category that are due to differences during the
refining process (Buhaug 2010).
The sulphur content of exhaust gases is directly proportional to the
amount of sulphur in the fuel burnt. The sulphur is chemically bonded
to the hydrocarbons of the fuel and during the combustion, most
sulphur is oxidised to SO

. SO
will also be formed in minor amounts.
The ratio between SO
and SO
is typically 15:1, according to MAN
B&W Diesel (1996). SO
will react readily with water to form H
Sulphur contents in marine fuels are limited by the IMO to 4.5%
(45000 ppm). The worldwide average, as estimated by Eyring et al., is
around 2.4% (24000 ppm) although subject to change due to coming
legislations (Eyring et al. 2005). The sulphur limits are lower in certain
areas, and a schedule for the regulation of overall sulphur limits exists.
However, the limits are significantly higher than those for transport
modes on land, which can be in concentrations of 10 to 50 ppm.
which is very corrosive.
The SO
oxidation process and the formation of sulphate particles
in the atmosphere are further described in .
is a collective name for NO and NO
, where NO is by far the
most abundant in exhaust gases. About 5-7% of NO is converted to
in the exhaust system or engine (Henningsen 1998). The share of
in NO
that leaves the combustion chamber is partly determined
by local temperature conditions (Heywood 1988). According to MAN
B&W Diesel, approximately 1% of NO will form N


Diesel 1996), although this figure is significantly higher than what is
presented by Cooper (Cooper 2001). The high rate of NO formation is
related to high temperatures during combustion, the duration of these
periods, as well as high oxygen concentrations (Heywood 1988).
The chemical reactions underlying the majority of NO formation
are referred to as the extended Zeldovich mechanism and include the
reaction steps (1) - (3):

O + N
(1) NO + N
N + O
(2) NO + O
N + OH NO + H. (3)

NO production is very efficient at temperatures above 2,000 K,
resulting in a net production of NO during combustion and in the post-
combustion gases (Bowman 1975). The peak temperature during
combustion in large marine diesel engines is between 2,200 and 2,400
K (Lyyrnen et al. 1999; Henningsen 2010). Slow speed engines have
higher specific emissions of NO
Additional NO is formed from nitrogen in the fuel or via reactions
between molecular nitrogen and the hydrocarbon species in the fuel.
While Heywood states an average nitrogen content of heavy distillates
of typically 1.40% by weight (Heywood 1988), the nitrogen contents of
nine marine HFOs from published emission measurement studies
were all below 0.5% (Lyyrnen et al. 1999; Cooper 2003; Fridell et al.
2008; Winnes and Fridell 2009; Winnes and Fridell 2010). Nitrogen in
fuel has been shown to be an important source for NO, especially at
high air to fuel ratios (lean to stoichiometric conditions) during
combustion (Bowman 1975). The lean combustion of diesel engines
and a relatively high concentration of nitrogen in heavy fuel oils make
fuel nitrogen a potential contributor to significant NO
than engines of higher speeds
(Cooper and Gustavsson 2004).


in ship exhausts. Other formation pathways exists but are less
important (Bowman 1973; Heywood 1988).
A particle is defined by Finlayson-Pitts and Pitts (2000) accordingly:
Particles, or particulate matter, may be solid or liquid, with diameters
between ~0.002 and ~100 m. The lower end of the size range is not
sharply defined because there is no accepted criterion at which a cluster
of molecules become a particle. The upper end corresponds to the size
of drizzle or very fine sand; these particles are so large that they quickly
fall out of the atmosphere and hence do not remain suspended for
significant times.
Particle formation during combustion (primary particles) occurs via
different routes that start with the condensation of volatilized species
in the hot exhaust gas which occurs at supersaturation conditions.
These particles have diameters between 0.01 m and 0.08 m (Amann
and Siegla 1982). Particles of these sizes undergo coagulation when
they collide with other particles, increasing the size of the average
particle and reducing the number of particles. The mode of primary
particles from combustion in marine diesel engines has been
quantified from observations on board or in test beds by Lyyrnen et
al. (1999), Kasper et al. (2007), Fridell et al. (2008), Moldanov et al
(2009) and Petzold et al. (2008). Growth of particles also occurs by
surface condensation of volatile species on already existing particles
(Finlayson-Pitts and Pitts 2000).
Particles from marine diesel engines have been observed to differ in
certain aspects from particles from other sources. Moldanov et al.
(2009) observed differences in the typical soot like particles and
Kasper et al. (2007) observed different mass size distribution than
what was seen in tests on a car engine exhausts.
Exhaust gas measurements on marine diesel engines have shown
particle mass size distributions of bimodal character with one mode at


0.06-0.5 m and one mode around 7-10 m (Lyyrnen et al. 1999;
Lyyrnen et al. 2002; Fridell et al. 2008; Moldanov et al. 2009). The
mass size distributions are different from number size distributions.
Typically, a mode where particle diameters are <0.1 m will dominate
in number, and the particles in the coarse mode (diameters >2.5 m)
will dominate in mass, see Figure 5. Number concentrations have been
observed to be less when running marines engines on HFO compared
to combusting MD, while the mass of emissions are higher during
periods of HFO combustion (Kasper et al. 2007; Winnes and Fridell

0.1 1 0.01
Accumulation mode
Coarse particles
Particle diameter (m)
Mass concentration
Number concentration
Fine particles

Figure 5. Schematic picture depicting typical primary particle size
distributions from marine diesel engines. Names and ranges of size classes
adapted from Finlayson-Pitts and Pitts (2000).
As particles of around 10 m diameters are not generally formed by
coagulation mechanisms, there is reason to believe that these particles
are caused by re-entrainment of particulate material attached to the
walls of the exhaust gas system (Lyyrnen et al. 1999). Another
explanation is that these particles come from incomplete combustion
of less volatile fractions of HFO. Moldanov et al. (2009) found char
and char-mineral in sizes up to 5 m particle samples, while


Popovicheva et al. observed char particles of up to 10 m diameters
(Popovicheva et al. 2009).
The generally high levels of particles found in ship exhausts are due to
both fuel quality and the diesel combustion characteristics. In general,
the particulate emissions from ships are constituted by the fractions
elemental carbon, organic carbon, sulphates and ash residues.
Typically, soot formation can to a large part be explained by
combustion aspects.
Several chemical mechanisms are involved in the formation of soot
from the hydrocarbon molecules in the fuel (Heywood 1988). Soot
consists mainly of hydrogen and carbon with a molar ratio in freshly
formed soot of H/C of 1 (Warnatz et al. 2006). In the diesel cylinder,
soot particles originate as a hydrocarbon chain or aromatic ring onto
which other hydrocarbon compounds attach. PAHs in particular have
been identified as precursors of soot formation (Amann and Siegla
1982; Warnatz et al. 2006). The precursors of soot, the uncombusted
hydrocarbons, result from the combustion of fuel air mixtures that are
too lean or too rich. Too lean mixtures will not ignite and too rich
mixtures will not fully oxidise the hydrocarbons. Therefore, the local
variations within the combustion chamber are central to the formation
of particles (Warnatz et al. 2006). The mechanisms involved in the
formation of soot are still not completely understood.
Typical fuel characteristics that may cause elevated levels of
particles in exhaust gases of ships are the content of sulphur, minerals
and aromatics.
Sulphur, which is mostly oxidised to SO
during combustion, is a
major constituent of the primary particles in the exhaust from marine
engines from the combustion of HFO (Kasper et al. 2007; Agrawal et
al. 2008; Petzold et al. 2008; Moldanov et al. 2009; Popovicheva et al.
2009). Sulphate particles in the exhaust system form during the cooling


of the exhausts and a reaction between SO
and water, which forms
The transition metal content of the particles varies but typically
includes vanadium, nickel, calcium, zinc and iron (Lyyrnen et al.
1999; Moldanov et al. 2009; Popovicheva et al. 2009). These elements
originate from the fuel and also from fuel additives and lubricant oils
(Lyyrnen et al. 1999; 2002). Lyyrnen et al. also observed that
particles were formed around minerals from the heavy fuel oil and
both number and mass concentrations were observed to increase with
an elevated ash content (Lyyrnen et al. 1999).
. Kasper et al. (2007) found that 1.4% of the sulphur in the fuel
was in the form of sulphate in exhaust gas particles. Agrawal et al.
(2008) showed a sulphate particle formation between of 3.7-5% for
the same mechanisms during exhaust gas measurements after dilution
with air, while Moldanov et al. concluded on 1.3% (Moldanov et al.
Aromatics ignite slowly, and the higher the aromatic content in the
fuel, the longer it takes before the fuel spray is ignited, known as the
ignition delay period. This effect, however, can be partly compensated
for by the addition of fuel additives according to Heywood (1988). A
long ignition delay period may cause lean mixtures in the combustion
chamber which leads to elevated amounts of hydrocarbons in the
exhausts (Lyyrnen 2006).



The atmospheric transportation of pollutants from ships will influence
regional background pollution levels. The dispersion, pathways and
fates of NO
, SO
As a plume is dispersed, the primary particles (diameters <0.1m)
within it will coagulate or condensate onto existing surfaces which
results in decreased number concentrations and larger average sizes of
particles (Russell et al. 1999; Petzold et al. 2008; Lack et al. 2009). As
the particles grow to between approximately 0.08 and 1-2 m, often
referred to as the accumulation mode, they typically stay in the
atmosphere for 1 to 10 days. Also, NO
and particles in ship exhaust have been the subject
of many plume measurements (Russell et al. 1999; Hobbs et al. 2000;
Isakson et al. 2001; Sinha et al. 2003; Chen et al. 2005; Lu et al. 2005;
Petzold et al. 2008; Lack et al. 2009), satellite observation studies
(Beirle et al. 2004; Richter et al. 2004), and chemical transport
modelling studies (Kasibhatla et al. 2000; Davis et al. 2001; von
Glasow et al. 2002; Endresen et al. 2003; Song et al. 2003; Derwent et
al. 2005; Dore et al. 2006; Corbett et al. 2007).
and SO
As ships influence their surroundings with pollutant emissions, the
effects at different places depend on the dose or concentration that
reaches that specific place and the sensitivity or response at that
particular location.
have been shown to
remain in the atmosphere long enough to cause a large amount of
these pollutants to reach coastal areas (Davis et al. 2001; Endresen et
al. 2003; Sinha et al. 2003; Beirle et al. 2004; Chen et al. 2005; Petzold
et al. 2008; Lack et al. 2009).


The approach to emission inventories can be categorized as either
bottom-up or a top-down. An inventory with a bottom-up approach
will consider spatially resolved ship activity data including specific data
on engine sizes, engine loads, fuel type, operating profiles and other
aspects related to the combustion and the ship in order to determine
the emission load. Top-down approaches break down data on fuel
consumption and attribute emissions totals to the emission sources.
Top-down approaches have benefits over bottom-up approaches as
they are less time-consuming while the detail level can be higher in the
bottom-up approach. Global inventories can use models with elements
from both methods; details on specific ships or ship types result in
estimates on global fuel consumption and emissions and are combined
with spatially resolved models on the activity of the global fleet
(Endresen et al. 2003; Eyring et al. 2005). The result of top-down
approaches have been seen to deviate considerably from local port
inventories with bottom-up approach (Wang et al. 2007).
Three modes of ship operation should be distinguished in any study
of emission to air from ship. These modes are at sea, manoeuvring
and at berth, which besides the obvious features inherent in their
names, are also characterised by different typical engine operations.
Ships at berth only employ the auxiliary engines while the main
engine(s) normally are shut down. During the at sea and manoeuv-
ring modes, the main engine(s) are used for propulsion, and auxiliary
engines are kept running in order to supply the ship with electricity.
Many ships also use the auxiliary engines to supply power to their bow
thrusters during the manoeuvring stage. One exception to these
general statements is the option to connect the ship to shore side elect-
ricity when at berth, which is a service that is provided in a limited
number of ports. Another exception is that auxiliary engines can be
shut down at sea if a generator is installed, which can provide elect-
ricity needed from the main engine. A few studies also point at a


significant contribution of certain emissions from boilers that are used
to produce steam on board. This seems limited to certain ship types
(Whall et al. 2002; Hulskotte and van der Gon 2010).
The majority of marine fuels are combusted during ships at sea
mode. The main engines ideally run on the speed they were designed
for, and the combustion is typically very efficient. Dalsren et al.
estimate that approximately 5% of the total global fuel consumption
by ships are used in port (Dalsren et al. 2009).
Emission inventories covering the global fleet have been produced
from 1997 and onwards (Corbett and Fischbeck 1997; Corbett et al.
1999; Corbett and Koehler 2003; Endresen et al. 2003; Eyring et al.
2005; Endresen et al. 2007; Buhaug et al. 2009; Dalsren et al. 2009;
Paxian et al. 2010). There are some discrepancies concerning methods,
base year, and the scope of covered ships and ship engines among the
different studies, and consequently the results differ between the
studies. A brief overview of inventories from different research groups
and their respective results are presented in Table 4.
Specific emissions (typically mass of pollutant per work performed by
the engine or per mass of combusted fuel) of pollutant species differ
between the operational modes due to the combustion characteristics
at different loads and at transient operations. The units of specific
emissions, g/kWh or g/kg fuel, are related to each other by the specific
fuel consumption (sfc), which differs among engine types. The sfc will
also depend on the fuel type due to the differences in specific heat
among fuels. The sfc for modern marine engines range between 165
g/kWh for the most efficient two-stroke engines to around 230 g/kWh
for small four-stroke engines (Buhaug et al. 2009).
Emission factors play an important role in inventories of air
pollutants. In Table 4 the emissions factors for CO
, NO
, SO
, PM,


HC and CO in g/kg fuel used in the inventories mentioned previously,
are presented together with their cited sources.
The values presented in Table 4 merely demonstrate the difficulties
of drawing conclusions on emission factors for even the most abundant
pollutants from ship engines. The reader should remember that the
inventories cover the global fleet, which makes aggregated factors like
the ones presented subject to many estimates, for example estimates
on average fuel type and average engine type. Emissions from test bed
engines can be suspected of deviating from emissions from engines in
operation due to wear on the engine and how it is operated. However,
correlations of specific emissions based on engine size or engine age,
for example, have proven difficult to determine due to limited datasets
and large variations in data (Whall et al. 2002). The specific emissions
from 155 measurements from ships and test bed measurements in
Wrtsils facilities comprising five of their most common models are
related to the rpm of the engine in Figure 6 (Whall et al. 2002; Agrawal
et al. 2008; Winnes and Fridell 2009; Winnes and Fridell 2010). The
measurements from Whall et al. are reported in an aggregated way. In
Figure 6, these measurements are presented as average emission
factors at 500 rpm for MSD engines and at 100 rpm for SSD engines.
They are also weighted by the number of measurements.


Table 4. Emission factors and estimates of fuel consumption for the
international fleet from recent global inventories.
Inventory study

Corbett and
Paxian et
al., 2010
Dalsren et
al., 2008
Buhaug et
al., 2009
Source of
emission factor
Entec, 2002

Test bed
(see Eyring et
al 2005)
Cooper, 2004,
Entec, 2002


Total Fuel
289 (2002) 221 (2006) 217 (2004) 276 (2007)
Included in the
fuel estimate
All ships All ships
3179 (g/kg fuel) 2905 3179 3130/3190
PM (g/kg fuel) 6.1 6.0 7.6 6.7/1.1
82.5 (g/kg fuel) 76.4 41 - 92 85 and 56**
S content of
fuel (%)
2.5% 2.4-2.6%
54 or 10
(g/kg fuel)
HC (g/kg fuel) 2.9 7.0 2.45 2.7
CO (g/kg fuel) - 4.67 7.4 7.4

* Original emission factors are in the unit g/kWh; these values have been
converted to emissions in g/kg fuel by division of a specific fuel consumption
of 206 g fuel/kWh which is used in by Corbett and Koehler (2003)
** kg NO

/tonne fuel for slow-speed and medium-speed diesel engines,
respectively, independent of fuel type.
The report from Entec, referred to as Whall et al. (2002), contain an
extensive data set from on board measurements. The relative uncer-
tainties at a 95% confidence interval related to the different emission
factors are estimated in the report. Manoeuvring operations are
estimated such that the most uncertain emission factors vary from 30
to 50%. For at sea operation, the uncertainties range from 10% for


, CO
to 25 % for HC and PM, while the NO

emission factor has
an uncertainty of 20%. Emission factors for at berth operations are
between 20 and 40%. In two of the global inventories, the largest
sources of uncertainty for fuel consumption estimates is reported to be
average engine load and the days at sea (Corbett and Koehler 2003;
Buhaug et al. 2009).
0 500 1000 1500 2000




RPM of crankshaft at design speed
NOX (g/kWh)
IMO Tier I

Figure 6. Specific emissions from 155 measurements on board ships (113)
and in test beds (42). The grey solid line is an approximated function of
specific emissions related to the rpm, based on the measurements.

Ship emission inventories that cover a local scale and aim at a detailed
analysis of ships contribution to the air quality of port cities often rely
on very specific data on number of ship calls, ship types and sizes as
well as time at berth. In these studies, pollutants such as NO
, SO
PM and ozone are more interesting than CO
, which has effects on a
global scale. Examples of studies that cover a local area are (Trozzi et
al. 1995; Saxe and Larsen 2004; Lucialli et al. 2007; Marr et al. 2007;
Yang et al. 2007; Yannopoulos 2007; De Meyer et al. 2008; Schrooten
et al. 2008; Vutukuru and Dabdub 2008; Deniz and Kilic 2010; Song et
al. 2010; Tzannatos 2010).


Uncertainties related to the emission estimates in local inventories
are discussed in a few studies (Yang et al. 2007; Schrooten et al. 2008;
Tzannatos 2010) while other studies focus primarily on the
performance of the dispersion models used (Lucialli et al. 2007;
Yannopoulos 2007; Song et al. 2010) and the correctness of
assumptions that are used as input to these models such as chimney
height and surface roughness (Saxe and Larsen 2004; Yannopoulos
2007). It is likely that on a local scale, the operational phases of the
ships can be determined with a higher degree of certainty than in a
global analysis since the number of days out of service during a year is
unimportant and because the time at berth and time spent
manoeuvring can be determined by speed limits and port data. Yang
et al (2007) list the applicability of generic emission factors as the
major source of uncertainty followed by the uncertainties related to
engine power estimates.
The case of particles
Particle emission factors contain a high level of uncertainty, especially
for the manoeuvring mode and at berth conditions. The reasons for
this are variations in emissions due to differences in fuel and
combustion specifics and too few input data, which most likely is a
consequence of two factors; fewer incentives for measuring particles
than regulated emissions: and second more complicated measuring
techniques compared to the gas measurement techniques.
Results from epidemiological studies indicate that particles in the
fine and ultrafine size modes cause more health risks than particles in
the coarse mode (Lighty et al. 2000; Pope and Dockery 2006). This is
an indication that number concentrations is a more accurate measure
than mass concentrations to describe particle emissions; coarse PM
can dominate the mass concentration of the aerosol particles, while the
number concentration is a more relevant value in order to conduct
evaluations of potential impacts.


A literature review on particle emission factors was conducted in
connection with one of the on board emission measurement studies. In
accordance with theory, the data clearly indicated a dependence of PM
emissions on sulphur content in fuel, although there is very little
available data from similar studies. Results from test-bed emission
measurements are vast but not always made available and are rarely
presented in refereed material. A report by IMO presents a set of test-
bed measurement results from combustion in large-scale diesel
engines and the dependence of particle emissions of sulphur content of
fuel. The fuel types are not specified (Buhaug et al. 2009).
The exhaust plumes from ships at sea can remain in the relatively still
marine boundary layer for a long time. Estimations by measurements
and chemical modelling of ship plumes have shown that they can last
from one to two days (von Glasow et al. 2002; Petzold et al. 2008).
The plumes are physically dispersed and mixed with air. Plume
dispersion depends on the wind strength and air turbulence. Chemical
species within the plume react with each other and are removed by
particle scavenging and surface deposition. Within the plumes, the
concentrations of pollutant species are high relative to the ambient air,
which leads to elevated reaction rates. The concentrations of reactive
radical species are important in these reactions. The reaction rates and
deposition rate of a pollutant will determine its atmospheric lifetime
The number concentrations of particles found in ship plumes have
been observed to peak at diameters of 0.01-0.10 m (Russell et al.
1999; Hobbs et al. 2000; Petzold et al. 2008; Lack et al. 2009), which is

and its fate.

The lifetime of a compound is defined as the time it takes to reduce the
concentration of the compound to 1/e (~37%) of the initial concentration.


in accordance with results from on board measurements. The
timescale for a particle in this size mode is in the range of minutes to a
day at atmospheric conditions. Hobbs et al. also observed that ships
burning distillate fuels (with gas turbine propulsion) emitted smaller
particles than engines burning heavy fuel oil. Typical number
concentrations are between 10,000 and 100,000 per cm
The dominating fates for SO
measurements in a fresh plume (Hobbs et al. 2000; Sinha et al. 2003;
Chen et al. 2005; Petzold et al. 2008).
in the atmosphere are oxidation or
dry deposition. Endresen et al. (2003) estimated that approximately
half of the amount of emitted SO
from ships was deposited, mainly
on the sea surface, by dry deposition. SO
oxidises to H
sulphates in the atmosphere. Two different pathways for H

formation: either gaseous SO
reacts with hydroxyl radical molecules

The levels of SO
OH), or it reacts heterogeneously in the liquid phase or on surfaces
(Finlayson-Pitts and Pitts 2000).
in a plume have been observed to reach
background concentrations after a couple of hours, (Chen et al. 2005),
and the lifetime of SO
in a plume has been estimated by modelling to
be 0.5-2 days (Davis et al. 2001). SO
increases the hygroscopicity of
particles, which reduces the lifetime of the particles in the atmosphere
due to cloud formation around the particles and the subsequent
is involved in several photochemical reactions in the
atmosphere, and due to the high NO
concentrations in ship plumes,
their chemistry is influenced by the incoming solar radiation.
Consequently, the chemical pathways and lifetimes of NO and NO
Lifetimes of NO

will differ between tropical regions and mid-latitudes, and between
emissions at night and during the day.
have been estimated from observational studies.
Chen et al. found that 80% of the emitted NO
from a ship off the
coast of California were removed within 2.5 hours (Chen et al. 2005).
Beirle et al. concluded that NO
lifetime was, on average, 3.7 hours


based on data from satellite detections of NO
There are two major sinks for NO
from ships in service
between Sri Lanka and Indonesia (Beirle et al. 2004).
in the ship plume. One is HNO

that is formed in a reaction between NO
and OH. The other main
sink for NO
is the nitro organic compound peroxyacetyl nitrate,
PAN. Chen et al. (2005) estimate that about 20% of NO forms PAN,
which can be transported over long distances. The reactions are
chemically reversible and none of the sinks permanently remove NO

from the atmosphere.
Locally, air quality can be affected by intense traffic, and criteria
pollutants often exceed guideline limits in large cities. Port cities do
not necessarily experience worse situations than other busy cities but
have an additional source of air pollution that has been recognised in
several studies (Isakson et al. 2001; Saxe and Larsen 2004; Itano et al.
2005; Lucialli et al. 2007; Marr et al. 2007; Wang and Corbett 2007;
Yang et al. 2007; De Meyer et al. 2008; Schrooten et al. 2008;
Vutukuru and Dabdub 2008; Winnes and Fridell 2010). The ships
influence on air quality depends on meteorological conditions, local
topography and ship traffic density.
In order to determine the contribution to local air pollution from
ships, all operational modes should be considered. The relative
importance of the modes manoeuvring and at berth will increase
compared to their influence in global inventories. The time at berth is
partly related to the type of ship, and lay times for different segments
and ship sizes vary. Dalsren et al. studied times at different opera-
tional modes and found that the time at sea during a year varied from
280 days for large cargo vessels to 130 days for small cargo vessels
(Dalsren et al. 2009).
During manoeuvring in and out of a harbour, the main engines are
exposed to variations in loads that result in fluctuating levels of


pollutants in the exhaust gas. Typically, NO
emissions will fluctuate
at low levels, while particles, hydrocarbons and carbon monoxide
fluctuate at high levels. SO
and CO
Emissions at different places and at different times will cause
different degrees of damage to surrounding environments and to
human health: susceptibility to acid deposition will depend on the
buffering capacity of the bedrock; typically carbonate rich minerals
such as limestone have a high buffering capacity while granites have
low buffering capacity and thereby are sensitive to acid deposition,
different crops are reacting differently to similar levels of ozone
(Sellden and Pleijel 1995; Ashmore 2005) and population density and
demographic composition will determine the effects of health altering
pollutants in the atmosphere. These responses may be linearly or
exponentially related to ambient concentrations. Certain response
functions are characterised by critical concentration threshold levels
above which the effect of the pollutant becomes increasingly severe.
Others, such as particles, seemingly have no such no-effect
concentration and have effects at the lowest potential ambient levels
as well (World Health Organization 2006). Therefore, peak
concentrations that may occur during specific meteorological
conditions such as ground inversions or during periods with extreme
pollutant loads will potentially cause proportionally large damage.
will be low due to low oil
consumption. Emissions of particles have observable peaks in number
concentrations at engine start up and shut down. However, the
manoeuvring period is normally short and the absolute amounts of
emissions are often negligible in a global perspective. In previous
research little attention has been paid to emissions from manoeuvring



There are numerous frameworks for the assessment of environmental
impacts. The studies within this thesis use three different approaches
to evaluate environmental impact. Two of those, life cycle assessment
(LCA) and external cost estimates used in cost-benefit analyses, will
be briefly presented in the following paragraphs. The third is based on
methods from the systems engineering discipline and directs the design
team of a ship. For a description of this method the reader is referred
to Winnes (2005) and Winnes and Ulfvarson (2006).
When using life cycle assessment methods, an inventory that covers
resource use, energy use and emissions from activities within chosen
system boundaries is conducted. The collected data are related to a
functional unit: a measurable unit that describes the utility provided by
the studied product or service. The data on emissions and other
aspects are then grouped in categories corresponding to their
characteristic impacts. Within each category, the relative importance
of the different activities can be assessed in order to determine which
activities are most detrimental. A following step can be to conduct a
valuation analysis where impact categories are weighted and
aggregated to a one-dimensional value. The valuation procedure is an
optional step in the standard from International Standardisation
Organization (ISO) that treats LCA (SIS 2002).
By following the LCA procedure, the environmental impact from a
set of studied activities can be accounted for. The impact is also
related to the purpose of a product or a service. If the study comprises
several alternative services or products with similar functions,
estimations on favourable options from an environmental perspective
can be made.
A valuation of environmental effects is often based on subjective
judgements. In LCA practice, methods can be based on expert


judgments (Goedkoop and Spriensma 2000), the distance to a political
target (Baumann and Tillman 2004) or other approaches. In order to
conduct cost-benefit analyses (CBA), the environmental damage
needs to be quantified in terms of costs. The benefits that society
experiences from avoiding costs like these external costs or
externalities can then be related to project costs such as installation of
abatement equipment. CBAs are used for both project evaluation and
regulatory review and has a longer tradition in the US than in Europe
(Navrud and Pruckner 1997).
The calculation of external costs is an estimation of the costs that
originate from degradation of environmental assets and damage to
human health. Goods without a market price are valuated by revealed
preference methods and stated preference methods, where the first
method estimates values for goods based on what people pay for them,
and the last bases estimates on what people state that they are
prepared to pay for a good.
A European project, the ExternE, developed an approach for
calculation and valuation of externalities of energy that has become
widely used. It is referred to as the Impact Pathway Approach (Institut
fr Energiewirtschaft und Energieanwendung and Universitt
Stuttgart 2005). Essentially, it suggests that potentially harmful
substances should be followed from exhaust gas emissions via
dispersion, transformation, exposure and quantification of impacts to a
final valuation of the effects. ExternE, as far as possible, bases its
valuation of air pollution on willingness-to-pay studies based on
revealed preferences but also uses market prices (Institut fr
Energiewirtschaft und Energieanwendung and Universitt Stuttgart
2005). External cost factors for emissions from ships have been
estimated by this methodology in several studies. Together, the
differences in valuation of life years and statistical life, the different
estimates of what part of the emission reaches shore and the level of
detail concerning the effects produce the range of values that are


presented in Figure 7 (Holland and Watkiss 2002; Holland et al. 2005;
Bickel et al. 2006; SIKA 2009).

(Emissions from
the North Sea)
(Emissions from
the North Sea)
(Emissions from
the North Sea)
Urban (City with
SO2 NOX PM2.5 PM2.5




Figure 7. Ranges of external cost estimates for SO
, NO
, and PM
three different projects; CAFE-CBA, HEATCO and ASEK. CAFE-CBA
and HEATCO are projects with European scope while ASEK only considers
effects in Sweden. Costs are in

/tonne pollutant.
As is seen in Figure 7, there are large variations between the estimates
of the same pollutant. In order to produce reliable results in a study of
externalities, a single estimate is not sufficient.
Wang et al. (2007), Bosch et al. (2009) and Tzannatos (2010) are
examples of studies on externalities caused by ships. Tzannatos
estimate the experienced externalities from ferries and cruise ships in
the port of Pireaus. The two other studies investigate the costs and
benefits associated with regulatory measures. Wang et al. (2007) study
the potential effects of reducing SO
emissions from ships by


designating the US west coast as an emission control area. The ratios
of benefits over costs are in favour of regulations to limit SO
over a
range of fuel costs and benefit values. Bosch et al. (2009) study
alternative scenarios and the potentials of expanding the European
emissions control areas. The study is conducted for the European
Commission as a support in the revision of the Directive 1999/32/EC
on the sulphur content of certain liquid fuels.


Several options that reduce air pollutant emissions from marine
engines are available today. The increased widespread use of them is
largely driven by regulative measures, although some examples of
successful voluntary initiatives exist.
A study of the life cycle of ships as constructions reveals several
obstacles for environmental improvement. The expected lifetime of a
ship is around 30 to 35 years. UNCTAD reports that the average age
of ships at demolition yards was around 30 years in 2009 for selected
ship types (Asariotis et al. 2009). As a consequence, a large part of the
fleet has technical solutions that are restricted to a knowledge base
from the year that the ship was constructed. The data used during the
decision-making process of the ship design will influence the environ-
ment around the ship for tens of years.
Ships are different from many other technical devices in the sense
that they are normally produced as one of a kind. This means that no
prototypes are made, but instead experience from one ship is assessed
and may cause incremental improvements on subsequent designs.
Narrow time limits during the design process place further demands
on precise information on environmental performance at early stages
in the design phase in order to achieve high environmental perfor-
mance. As described in Paper V, all data for decision-making on
exhaust gas cleaning equipment needs to be treated within a time
window, open in the range of a few weeks to a couple of months,
concurrently with decisions on speed and power requirements
(Interview series 1 2001 - 2002; Interview series 2 2003).


Following the initial mission analysis that describes what types of
goods are to be transported, how they will be loaded onto the ship,
which routes the ship will sail, how long it will be in service, and other
factors, a series of iterative decision-making about hull dimensions,
powering and on board arrangements are started. Parameters become
more and more inflexible as the process proceeds, allowing only minor
detail changes in the final iterations (Wijnolst 1995; Interview series 2
2003). The complexity of technical systems on board a ship together
with the limited space means that the introduction of new equipment
will be costly for the shipowner. This is a contributing reason to the
low frequency of integration of environmental aspects into the ship
design process.
The strategy for the abatement of a pollutant will be designed in
consideration of the mechanisms behind the formation of the
pollutant. Accordingly, NO
emissions are abated by modifying
engine parameters that reduce the temperature of the combustion air
or the time at peak temperatures. Sulphur dioxide emissions are
reduced by removing sulphur from the fuel in a refinery. Both of these
species can also be abated by after-treatment, which means that they
are allowed to form but are removed from the gas phase emissions.
Particles are complex pollutant groups that comprise a number of
chemical species. Particles are mainly targeted by the same abatement
strategies that are used for SO
Using low-sulphur oil is an obvious way to reduce SO
The switch from fuel oil with high sulphur content to oil with lower
sulphur concentrations can be done either by switching to heavy fuel
oil with low sulphur content or to marine distillate oil (MD). The finer
quality oil is more common to use in medium and high-speed engines.
An alternative to using the low-sulphur fuels is to use scrubbers of
different designs. The scrubber decreases the concentrations of SO


and particle levels in the exhaust gases by capturing them in an
alkaline liquid stream. Sea water as well as aqueous alkaline chemicals
can function as scrubber liquid. Scrubbers that use sea water are
referred to as open systems while scrubbers using an industrially
produced alkaline chemical are referred to as closed systems. In both
systems the scrubber liquid is filtered before effluents are released into
the surrounding water. The sludge from the process is disposed of at
port facilities. Allowing water that has cleaned the exhaust gases from
The technological solutions that are used to reduce NO
and particles into the water can cause damage to marine eco-
systems because it contains contaminant residues from the exhaust
gases. The effluent from the open scrubber system will also be acidic
unless it is diluted prior to the outlet (Karle and Turner 2007). Model-
tests indicate rapid dilution from ships in full speed in open water,
although the dilution in ports is likely to be slower and will rely more
on local conditions (Buhaug et al. 2006). The scrubber has been
proven to be a cost-efficient alternative to low sulphur fuels. The
number of installations of scrubbers on commercial ships is, however,
very low and installations are therefore associated with uncertainties
regarding operational reliability and costs. The cleaning capacity of
scrubbers is determined by the amount of the scrubber fluid and by its
alkalinity (Andreasen and Mayer 2007).
In order to comply with Tier I, a few basic internal engine
modifications are sufficient. These modifications include valve and
nozzle modifications of slow speed engines. The modified valves lower
the NO
from new ships are developed to suit the requirements in the three
tiers of MARPOL Annex VI. Tier I requires reductions of
approximately 5-15% from a base line value for slow and medium
speed engines (Cooper and Gustavsson 2004), with further reductions
of 15-20% in Tier II. Additional reductions of 75% for ships in the
emission control areas of Tier III will be valid from 2016.
emissions by approximately 20% but were originally inten-


ded to reduce HC and particulates (Goldsworthy 2002; Entec UK
Limited et al. 2005; Henningsen and Aabo 2007).
More advanced internal engine modifications entail changes in
compression ratio, injection rate shaping, and time of injection, among
others. Most of these technologies lead to reductions in NO
The scheduled NO
sions of up to 30% due to lowered temperatures during different
combustion stages, but will as a side effect reduce combustion
efficiency (Goldsworthy 2002; Entec UK Limited et al. 2005).
regulations in Tier III require NO
The water-based technologies can be divided into three groups:
direct water injection (DWI), humidification of inlet air (e.g. Humid
Air Motor (HAM)) and oil-water emulsion. At DWI, a water jet is
injected simultaneously with the fuel towards the combustion flame
(Prior et al. 2005). NO
to be so low that installations of cleaning technologies are necessary.
There is a range of water-based technologies available and together
with exhaust gas recirculation (EGR) and the selective catalytic
reduction (SCR) technique, these are likely to constitute a main part
of the installations on ships susceptible to Tier III. Tier III introduces
emission limits that are not to be exceeded for low engine loads, which
may cause challenges to both the EGR and SCR technologies
(International Maritime Organization 2009).
formation is reported to be reduced by
approximately 50% without an increase in fuel consumption (Entec
UK Limited et al. 2005; Prior et al. 2005). Some technologies humidify
the inlet air by evaporated water and one example of this is the Humid
Air Motor (HAM) technology. These technologies are sometimes
referred to as fumigation technologies. The HAM technique uses sea
water and is unique in this aspect. HAM installations are reported to
achieve a 70% NO
reduction (Riom et al. 2001; Entec UK Limited et
al. 2005), while other fumigation techniques have reached 30-60%
reductions (Prior et al. 2005). The third water-based technique consists
of letting water in oil emulsion replace the oil as fuel. A 20-25%
reduction of NO
emissions has been estimated (Srgrd et al. 2001),


but this figure is highly dependent on the water/oil ratio (Prior et al.
2005). All water-based technologies involve a certain risk of H
None of the water-based technologies will be able to reduce NO

formation, which leads to corrosion when it sticks to the walls of the
exhaust system and engine and the technologies can influence the
specific fuel consumption (Entec UK Limited et al. 2005; Ghojel et al.

to Tier III levels. As a consequence, combinations of water-based
technologies and EGR are being developed at the engine
manufacturer MAN Diesel & Turbo. Wrtsil are similarly developing
EGR systems for their engines to be used in combination with other
techniques. EGR cools and re-circulates a portion of the exhaust gases
to the combustion chamber, which increases the heat capacity of the
cylinder gases and lowers the oxygen level, thus leading to lower
combustion temperatures and lower NO
The NO
emissions. The reason that
the technique is not yet common on board ships is that combustion of
HFO produces large amounts of particles and sulphur compounds in
the exhausts, causing soot deposits and corrosion. The gases cannot be
directed back to the cylinder without prior cleaning (Srgrd et al.
2001; Entec UK Limited et al. 2005). In order to fit the equipment on a
ship burning HFO, an extra device to scrub the recirculated gas is
needed. Another potential solution is to use low sulphur fuel and a
filter that traps particles (Henningsen and Aabo 2007).
reduction efficiency of EGR depends on the amount of
recirculated gas. Larger fractions of exhaust gas in the cylinder give
greater reductions but increased smoke formation and fuel
consumption. According to Goldsworthy, 69% NO
reduction at 28%
EGR and 22% NO
reduction at 6% EGR has been reported by
engine manufacturers (Goldsworthy 2002). The function of the EGR
is influenced by the engine load; the recirculated portion of gases at
reduced loads is less CO
dense than at operations at full speed when
both the turbo charger efficiency and the fuel injection are high
(Larsson 2010; STT Emtec Emission and Engine Technology 2010).


Selective Catalytic Reduction (SCR) is a NO
abatement techno-
logy installed on approximately 300 marine engines in 2006 (Lvblad
and Fridell 2006). The exhaust gas is treated with urea that reacts with
to form N
, CO
and water. The reaction takes place in an SCR
reactor that contains ceramic catalyst elements coated with metal
oxides such as vanadium oxide and titanium oxide (Sletnes et al. 2005).
Urea production is energy demanding and the environmental tradeoffs
related to the operation of an SCR on a ship are described and
discussed in Paper IV (Andersson and Winnes 2010 in preparation).
SCRs should not be operated below 300C. Lower temperatures lower
the efficiency of the reaction (Sletnes et al. 2005). A potential reduc-
tion of NO
Few alternative fuels are being considered as potential substitutes
for the conventional marine fossil fuels. One option that has become
more frequently used is liquefied natural gas (LNG). LNG has
previously been used as a fuel for LNG carriers but is being
introduced in other segments of the fleet. However, the lack of
infrastructure for LNG in many ports limits the extent of the
technologys use. Two other issues that are likely to hold back the
development of LNG use in ships are the costly engine changes on
existing ships that its use necessitates and the additional space
requirements for LNG storage (Sletnes et al. 2005). A change from
residual fuels to LNG reduces NO
exceeding 90% is accomplished when the temperatures
are 270C to 500C (Entec UK Limited et al. 2005; Lvblad and
Fridell 2006).
emissions by approximately 90%
compared to traditional four-stroke diesel combustion, and it almost
eliminates emissions of SO
and particles (Sletnes et al. 2005).


Public opinion is expressed through laws and regulations in order to
protect people, their properties and nature from being damaged.
Environmental damage is sometimes regulated by international
conventions or protocols when the environmental effect extends
beyond national boundaries. The first international convention con-
cerning air pollution was the Convention of Long-range Trans-
boundary Air Pollution (CLRTAP) in 1979. CLRTAP regulates
damage to human health and the environment caused by
transboundary air pollution (www.unece.org 2010).
Improvements in the environmental performance of ships are to a
large extent dependent on the status of international conventions even
though several examples of national or regional incentive-based
schemes have proven successful in increasing installation rates for
exhaust gas cleaning equipment. In order to promote clean techno-
logies, a number of economic incentive systems exist that may also
regulate the discrepancies between costs associated with abatement
technologies and the externalities from air pollution. Emissions from
ships are in this sense under regulated since the external costs from air
pollution from ships have been much higher per tonne pollutant than
the corresponding abatement costs (Wang and Corbett 2007; Bosch et
al. 2009; Winnes et al. 2010 in preparation). A study by IIASA also
concluded that the abatement of emissions from ships was
considerably more cost-efficient than the abatement of emissions from
land-based sectors (Cofala et al. 2007). The thematic strategy of the
European Commission aims at 81% reduction of SO
and 60%
reduction of NO
by 2020. The emission control costs were estimated
to be reduced by between 23 and 57% if ships were included in the
strategic scheme (Cofala et al. 2007).


Following the United Nations Convention on the Law of the Seas
(UNCLOS), regulations concerning international shipping are
established with an international consensus. These regulations can
then, upon entry into force, be established as national laws by the
states that ratify them. The UNCLOS entered into force in November
1994 with the purpose to orderly regulate ocean related matters in
such fields as scientific research and commercial activities. It states a
territorial zone to be within a 12 nautical miles distance from shore
and an exclusive economic zone (EEZ) to be within 200 nautical miles
from shore. In the territorial zone, the coastal states exercise sove-
reignty while their rights in the EEZ are somewhat limited (UN 1982).
The International Maritime Organisation (IMO) is, as mentioned
previously, a UN agency with a main task to develop and maintain a
comprehensive regulatory framework for shipping (www.imo.org
2007). The IMO convention entered into force already in 1958.
Suggestions for, and adoptions of, new conventions in IMO can
involve any of the IMO member states. The entry into force of the
IMO conventions is normally conditioned by the signatures of a
specified number of member states with a specified minimum fraction
of the world fleet tonnage. When the conditions are met, the
convention enters into force for the states that have accepted it. Air
pollution is, as mentioned previously, regulated by the Annex VI of
MARPOL. The Annex regulates ship emissions of ozone depleting
substances, NO
, SO

, volatile organic carbons from tankers, and
certain uses of incinerators (International Maritime Organization
2009). As mentioned in the introductory chapter, emission control
areas have been introduced. In these ECAs the emission limits are
lower and the adaptation to new limits occurs at a more rapid pace
than in the rest of the ocean. The scheduled limits as stated in
MARPOL Annex VI are presented in Figure 8.


0 1000 2000 3000

Tier I, 2000
Tier II, 2011
Tier III, 2016

2005 2010 2015 2020







Figure 8. Limits of NO

emissions from marine engines and limits of allowed
sulphur content in marine fuels as scheduled by MARPOL Annex VI
(International Maritime Organization 2009)
Regional conglomerations of states have been founded in so-called
Memoranda of Understandings (MoUs) on port state control in
several instances. For example, several Western European countries
and Canada are parties in the Paris Memorandum of Understanding
on Port State Control. This is an international agreement in which port
states require ships entering their ports to fulfil standards of
international conventions. The same requirements are placed on all
ships regardless of whether or not they have signed the conventions.
Similar agreements have been met in other regions of the world
(DeSombre 2006). The MoUs are powerful in keeping safety and
pollution protection standards at the level of international
conventions. Ships flying the flags of nations with records of low
compliance are frequently inspected and held in port if risks are
identified (DeSombre 2006).
It is possible for shipowners to register their ships in essentially any
countrys ship register. This option makes it possible for shipowners to


follow the regulations and commitments of any country and thereby
find solutions that might be beneficial economically, sometimes at the
expense of safety and environmental protection (Goss 2008). Flag of
convenience is a term used for ship registers that offer shipowners a
low cost alternative.
The use of flags of convenience became common in the 1920s when
US cruise ships were registered in Panama in order to be allowed to
serve alcohol on board. According to an estimation from the year
2000, 40% of the worlds tonnage sailed under flags that could be
classified as flags of convenience (DeSombre 2000). UNCTAD lists
ten major open and international registry fleets that held 56% of the
worlds tonnage in 2009. However, countries that traditionally have
been categorised as flags of convenience are not necessarily reluctant
to sign the recent regulations on environmental protection by IMO.
For example, Liberia, which is a register with a foundation in US
tanker ships, has signed several international treaties relevant to safe
shipment of oil due to pressure from shipowners (DeSombre 2006).
The European Union limits the sulphur content of marine fuel oils
used in the region in directive 2005/33/EC
. The directive states that
all passenger ships that operate in regular service to or from
community ports as well as ships that sail in the SO

A directive is a legislative act of the
emission control
areas specified by the IMO should not use fuel with a sulphur content
exceeding 1.0% by July 2010. Exhaust gas cleaning equipment, such as
sea water scrubbers, can be used as long as the resulting emission
levels correspond to the levels from combustion of the specified low
European Union which requires
member states to achieve a particular result without dictating the means of
achieving that result.


sulphur oil provided they have no adverse effects on ecosystems. From
January 2010 onward, a 0.1% sulphur cap for marine fuel used in EU
ports and inland waterways is in effect (The European Parliament and
the Council of the European Union 2005).
National rules, besides those following the international conventions,
are limited geographically to the territorial waters along a countrys
coast and inland waterways. Several nations have implemented
incentive-based systems for emission reductions from ships that traffic
their waters, and any shipowner can voluntarily have their ships
participate in the program.
The economic incentives to manage airborne emissions from ships
basically consist of a reduction or a retroactive repayment of harbour
and fair way fees. Examples are the Green Award Foundation from
1994 in Rotterdam, the Swedish environmentally differentiated fair
way due and similar systems in the port of Vancouver in Canada and
the port of Turku in Finland (Green Award Foundation 2007; Port of
Turku /Turku Port Authority 2010; Port of Vancouver /Vancouver
Port Authority 2010). Another approach is the speed reduction
program adopted by the port of Long Beach in 2001 where ships
voluntarily reduce speed in a defined area close to shore (Alexander
2007). In Norway, a NO
Obviously, shipowners can, on a voluntary basis, use more or less
standardised tools to profile themselves as environmentally conscious,
implement environmental management systems or join corporate
social responsibility (CSR) formations, though this would probably be
in response to customer requirements. More ship specific are the
notations on environmental performance issued by some of the
tax comprising ships in domestic traffic was
introduced in 2007 (Sjfartsdirektoratet 2010).


leading classification societies (Det Norske Veritas 2000; Lloyd's
Register 2004).
An example of a tradable emission permit scheme for NO
inclusive of ship emissions is running in California. However, the
ships as such are participating as part of the transport chain of land-
based industries and the shipowners are not a main participant player
on this market (Harrison et al. 2005).


In addition to the short versions of the studies described in the
following paragraphs, they are also presented in the appended papers:
the measurement studies are presented in Papers I and II, the LCA
study of a ship transport with the use of a urea dependent catalyst is
presented in Paper III, the cost-benefit study of emissions from ships
in Gothenburg is presented in Paper IV, and the study on integration
of aspects of ships environmental performance in the ship design
process is presented in Paper V. The methods used in the research are
literature surveys, interview series, case studies and on board
Emission measurements of gaseous pollutant species and particulate
matter were carried out on board two ships. One of the ships was an
11.000 dwt tanker dwt with a four-stroke main engine of 4,500 kW and
600 rpm. On this ship, the main objective was to determine potential
differences in emissions from using two different fuels: one a HFO and
the other an MGO. Emissions from the combustion of the two fuels
were measured during three steady state loads of the engines at
around 50%, 70% and 90% of maximum continuous rating (MCR),
respectively. The second ship was a ferry with four, four-stroke main
engines, each of 12,600 kW and 500 rpm. Emission measurements
were done on two of those engines with the purpose of quantifying
emissions from the main engines when leaving and approaching quay.
The data from the ferry were complemented by data from one
manoeuvring period of the tanker. In total, nine manoeuvring periods
were covered by the studies, although the collected data differed in


scope between the periods due to occasional problems with the
measurement equipment.
The measurements were made at decks high up in the engine room,
close to the end of the funnel. At these locations, holes were cut in the
exhaust pipes. The sampling from the exhausts and parts of the
instrument setup on the tanker is pictured in Figure 9 and Figure 10.

Figure 9. Sampling from the exhaust pipe

Figure 10. Dilution tube and parts of the equipment used for particle


Concentrations of gas constituents were measured continuously in the
hot exhaust. NO
, CO, CO
, O
, total HC, and SO
The two fuels used on the tanker comprised a HFO with 1.6%
sulphur content and a MGO with 0.03% sulphur content. It was found
that besides its effect on SO
were monitored.
Particle emissions, which were the focus of the study, were measured
both as number concentrations and mass concentrations. The
instrument used to measure number concentrations had a detection
range from 0.30 m to 20 m. The potentially numerous mode with
particle diameters <0.1 m was thus not included in the analysis.
Analyses of the fuels were carried out by an accredited laboratory.
The number concentrations of particles were, however, not reduced
by the fuel shift for any of the load settings that were tested. In all tests
the smallest sizes of particles were in slightly higher concentrations
from combustion of MGO than during periods with HFO combustion.
A clear numerical dominance of particles with diameters from 0.30 m
to 0.40 m was observed for both fuels. It is likely that the highest
number concentrations comprise particles of even smaller diameters.
emissions, the fuel type had a large effect
on the particle mass concentrations. The combustion of MGO reduced
the mass of particles to approximately half of what was seen at HFO
combustion. As less sulphur is present, less sulphate containing
particles form. In addition, the ash content is generally significantly
higher in the heavy fuel oils, which reduces the number of condensed
mineral species around which particles may form. A third explanation
is the likelihood of a higher content of poly aromatic hydrocarbons in
the heavy fuel oil, which might increase soot formation.
Average PM emission factors for HFO and MD were calculated
after combining the results from these observations with previously
published values from refereed journals and where the measurements
followed the ISO standard 8178. Emissions from combustion of heavy
fuel oil were concluded to be 1.34 g/kWh with a standard deviation of


0.78 g/kWh. The average particle emission factor for combustion of
marine distillates was concluded to be 0.33 g/kWh with a standard
deviation of 0.15 g/kWh. The respective average sulphur contents of
the fuels in these studies were 1.89% for HFO and 0.21% for MD.
There is a dependence of the emission factor on engine type and
engine load that was not considered in the recommended average
emission factors due to the low amount of data available. The PM
emission factors from measurements with fuels that were high in
sulphur were almost exclusively from slow speed diesels. The fact that
the data represented several different engine loads was another factor
that made conclusive remarks difficult.
There is a potentially low generality of results when only a few
objects are included in a study. The data from the study were validated
by comparison to previous studies. The results from this study were in
the range of previous values of emission factors and particle number
Paper I gives further details on the methods and results from these
The other component of the emission measurements were aimed at
determining emissions during manoeuvring in and out of harbour. The
focus was once again particle emissions, but this time also on NO
The number concentrations of particles (mainly particles with
diameters of 0.30-0.40 m) were clearly elevated during the
manoeuvring periods. Even after calculations to a per hour basis, the
number concentration of particles in the exhausts appeared higher
than during normal operations. A distinct peak in concentration,
which to 76-79% consisted of particles with diameters 0.30-0.40 m,
was observed every time the engine was started and similarly at engine
shut-down. Once again, 0.30 m represent the lower detection limit of



the instrument. No significant differences in number concentrations
were observed between ships approaching port and ships leaving port.
Standard deviations for these particle concentrations varied from 26%
to 56% around the average value in the seven manoeuvring periods
covered by the measurements. This is inclusive of the peak
concentrations at the engine start-up and shut-down. At constant load
during cruising, the standard deviations never exceeded 13% of the
average value.
The SCRs installed on the ferry reduced the NO
emissions at
cruising speed conditions by 89%. When the SCRs were not operated,
the NO
emissions during manoeuvring were lower than during
cruising operations. NO
Details on this study are presented in Paper II.
levels fluctuated during manoeuvring.
This impact assessment study is a change-oriented life cycle
assessment that estimates the effect on environmental impact from
using or not using a selective catalytic reduction system on board a
ship. Emission data from previous measurements (Cooper 2001) on
one ship with an SCR system in operation and another one without
any abatement technology installations were used to represent
emissions from ship operation. The data gathered from the activities
involved in urea production and the transport of urea was related to 1
kWh of propulsion energy from the engine and added to the emission
data from the ship with SCR.
Most data on energy use and emissions from the production of urea
were collected from reports and personal contacts with manufacturers,
which is not an unusual method in LCA practice.
The data from the inventory were used in an impact assessment in
which they were grouped into impact categories (classification), and
the respective and total impact potentials of the studied pollutants


were calculated (characterisation). All the assumptions made and a
more thorough description of the method can be found in Paper III
(Andersson and Winnes 2010 in preparation).
The urea is produced in an energy-intensive process in which
natural gas and coal are common energy sources. Although this
increases the global warming potential related to transport with SCR,
the results from the LCA study point in favour of using SCR on ships.
All impact categories (photo oxidant formation, acidification,
eutrophication and human toxicity) except global warming potential
are substantially lower when using the SCR as compared to the
alternative without abatement measures. The global warming
potential, on the other hand, is higher when the SCR is used. The
transport of urea was shown to have very little influence on the results,
regardless of its origin.
In order to estimate potential benefits and costs related to policy
options for the reduction of emissions to air from ships, a case study of
emissions of NO
, SO
and PM from the 8,500 ships calling
Gothenburg in 2008 was conducted. The choice of pollutants was a
consequence of the fact that NO
and SO
The inventory is conducted with a bottom-up approach which
estimates emissions based on calculations of the activity and
consequent energy consumption of each individual ship within the
geographical and temporal limits of the study. For an inventory of
emissions on a local scale, the information on energy use by ships will
by necessity be based on assumptions or specific information on the
included ships, as opposed to global inventories where fuel sales
statistics can provide information that enables top-down approaches.
were targeted by the
studied regulative initiatives, and that PM is considered to be
significantly reduced by regulations on the sulphur content of fuels.


During the process of calculating the total emission, estimates and
generic values were used in combination with very site-specific data.
The site specific data were ship calls, ship main engine power and time
at berth to name three significant factors. Details on the data sources
are found in Paper IV (Winnes et al. 2010 in preparation).
The total emissions were approximately 4,300 tons of NO
, 0.3 tons
of PM and 1.7 tons of SO
Reductions in emissions of NO
. Around 55% of all emissions occur while
the ship is at berth in a base scenario. Manoeuvring emissions
account for approximately 18-19%, and the at sea emissions
correspond to 27%. The emissions from at sea depend on the chosen
geographical limit from which point emissions are considered to reach
the city.
, SO
The use of a monetary evaluation method for assessing the impacts
of emissions has the benefit of making the societal costs comparable to
costs for reducing or eliminating the emissions at the source. When
applying the evaluation model on a local scale, the dispersion of the
pollutants are essential to consider. In this study, pre-defined values of
damage related to the emitted mass of different pollutants are used.
These factors are country specific or based on the population of large
cities and contain information from dispersion models and dose-
response functions. Mainly health effects from primary and secondary
pollutants are considered.
and PM attributed to the
environmentally differentiated fair way due system, a directive limiting
the sulphur content in marine fuels and the option to connect to shore
side electricity, were evaluated. All emission reductions achieved by
installations and use of emission abatement technologies were
assessed from actual installations on board the ships.
In an analysis of the costs associated with abatement and damage to
health and the natural environment (external costs) it was established
that a complete transition to low sulphur fuels when ships are at berth
has so far been most beneficial solution from a societal point of view.
The ratio between benefits and costs ranges from a low estimate of


approximately 1.4:1 to a high estimate of approximately 5.9:1. This
means that in an overall analysis of the costs, the value invested in low
sulphur fuel will return 1.5 to approximately 6 times this value as
avoided external costs.
Similar ratios for the fair way due system was estimated to 1.2:1 to
3.7:1. Both options were thus beneficial from a societal perspective.
The shore side electricity was associated with negative costs, which
means that this option presented a potential win-win situation from
which both ship-owners and society in general could benefit.
The uncertainties involved in this study are described in detail in
Paper IV. Some assumptions that are believed to have a large impact
on the results and their uncertainties are related to the lack of a site
specific dispersion model, the low resolution of fuel qualities that are
used and also the emission factors, mainly for particles. The analysis of
externalities of elevated pollutant levels is presented as a plausible
range that is believed to capture the costs of the covered damage.
The generality of the values on emissions and effects are limited
since the local composition and number of calls is site specific.
However, the methodological approach and the discussion about
uncertainties are useful in other inventories on a local scale.
The initial study concerned the potentials of a more flexible approach
towards environmental thinking during the ship design process. The
results that can be considered as relevant in the context of subsequent
work are mainly indirect and concern the lack of data for specific
operational modes.
The options to introduce environmental aspects in the early phases
of the ship design process were investigated by interview series with
experienced ship designers and other stakeholders from the shipping
industry. The data from these interviews were treated with methods
from the systems engineering discipline. For further details the reader


is referred to the licentiate thesis published on the subject (Winnes
2005) and the appended Paper V.



The issue of reducing environmental problems that result from air
pollution from ships needs to be approached from different levels. In
this thesis, a local approach is taken and aspects of air pollution from
ships in port cities are in focus. Particle emissions in particular are
interesting in a local context due to their potential negative effects on
A high level system comprising nature, technology and society is
described as a background framework of the conducted studies. Local
differences in effects on nature from ship emissions require detailed
emission factors of certain pollutants for accurate evaluation. This
work contributes to a better understanding of fuel dependency of
particle emissions and quantifies emissions during manoeuvring in
port areas. Particles are in contrast to SO
and NO
not limited as
such in regulatory texts. Instead, decreased emission levels rely on the
reduction that occurs when SO
Answers to the research questions introduced in chapter
emissions are abated. Specific limits
are necessary in order to control particle emissions since the
composition of particles are diverse and depend on both fuel and
engine characteristics. Up-coming strengthened emission limits within
the regulatory framework around ship emissions emphasise a need for
efficient abatement technologies that also function at low engine
loads. Judging by the cost benefit study, the air pollution in port cities
and their surroundings are much benefitted by technologies used in
the port area.
1.2 are in
the following paragraphs discussed based on results from the
conducted studies.


1 How will a fuel shift towards low-sulphur fuels within the maritime
sector affect emissions of particles to air?

Many measurement studies account for the abundance of sulphate
particles from combustion of the sulphur dense marine fuels (Kasper
et al. 2007; Agrawal et al. 2008; Lack et al. 2009; Moldanov et al.
2009; Murphy et al. 2009). The approach in the study that was
conducted during the work for this thesis was to measure emissions of
particles on board a ship. In addition, two fuel qualities were used in
the same engine, each fuel during three different steady state engine
loads. This approach was beneficial for comparison of emissions from
the different fuels since all effects on particle emissions could be
attributed to the fuel shift.
It could be concluded from the conducted study, and in
consideration of related published literature, that the particulate mass
from marine engines will be reduced by a shift to low sulphur fuels.
However, the particle formation is also related to the fuel ash content
and the content of aromatic compounds and asphaltenes in the fuel,
and all of those are generally reduced by the same fuel shift. It was
also concluded that further studies on number concentrations of
particles from combustion of different fuel types are needed in order
to be able to accurately conclude on the potential damage caused by
particle emissions to air from ships.

2 What are the emissions of NO

and particles during ships
manoeuvring phases?
The reasoning preceding the question concerns four factors: first, the
increasing awareness of health issues related to particle levels in the
atmosphere; second, the regulations on emissions to air from ships,
which cover NO
directly but treat PM only as an effect from the
reduction of sulphur in fuels; third, technologies for NO
that are less efficient during manoeuvring; and lastly, the lack of


available data from this operational mode, which is contradictory to
the fact that manoeuvring often occur in populated areas.
The size distribution from the manoeuvring periods was measured
on three medium speed four stroke engines. Two of those were of the
same make and model. All measurements indicated that the small
sized particles were more abundant during manoeuvring operations
compared to operations at cruising speed. Similar to what is stated in
the answer to research question 1, more studies on the subject are
needed to confirm these observations.
The NO
emissions from one ship were abated by SCR during the
operations at sea. The result was that, for this particular journey,
during two manoeuvring periods of 25-30 minutes each approximately
30 kgs of NO
were emitted compared to approximately 45 kgs
emitted during the at sea mode, which lasted 2 h 30 minutes. The
reduction efficiency of the SCR results in low emissions during the at
sea mode, but these results imply a need to find effective abatement
techniques that operate at low exhaust temperatures. In the light of
the MARPOL Tier III regulations on NO

-emissions, a development
of technologies in this direction may be necessary.
3 Which aspects need extra attention in emission inventories on a local
level and how should these aspects be treated?

An appropriate answer to this question needs to be based on an
evaluation of the effects caused by the emissions. The inventory of
emissions in the port of Gothenburg and the results from the cost
benefit study were used to answer this issue. The question was thus
approached from different directions: the health effects and a limited
number of environmental effects that are caused by ship emissions to
air in a port city were evaluated; results from the measurement studies
were used to provide information on the amounts of emissions during
manoeuvring; and inconsistency in emission factors for the pollutants
were studied.


An evaluation of air pollution caused by ships requires accurate
emission factors. It has often been said that ships are individuals. This
makes generic factors on pollutant emissions related to engine work or
fuel consumption uncertain. The emission factors are strong contri-
buting factors to uncertainties in local emission inventories.
The issue of particle reduction is urgent considering the amounts of
particles emitted from ship engines and the damage they cause to
human health. The elevated numbers of small size particles emitted
during the manoeuvring operations should be considered when the
health effects from ship emissions are assessed. All air quality
guidelines that have been examined in the line of this work refer to
mass of particulate matter. Characteristics of particle emissions
referring to number concentrations and toxic content, to name two
examples, are likely more descriptive than mass of particles as a means
of assessing impact on health.
Advanced modelling on plume chemistry and weather conditions
are required in order to make the most accurate assessments of the
fates of pollutants. No such modelling was done in the studies of
Gothenburg. The contribution of ship emissions to concentration
levels in a port city is not necessarily high even though the total
emitted amounts from ships are high. The ship plumes originate at
around 10 to 50 m height above sea level and are lifted and dispersed
over large areas. One exception can be during periods of ground
inversions, when the emissions from ships will occur below the
inversion layer. On such occasions, emissions below the inversion layer
including those from ships will be trapped in a limited volume of air.

4 What improvements in air quality and damage reduction will follow
political incentive based systems that target ship emissions?

There are several political incentives that target NO
and SO

emissions from ships. Particle emissions are considered to be abated
by the same technologies that reduce SO


The international regulations and the various priorities of the
different member states of IMO can delay progress of environmental
regulations where investments are costly and the benefits are diffuse.
However, taking the opportunity to introduce local or regional
incentive based systems can reduce the air pollution caused by ships.
In the CBA study it was concluded that the effects from the Swedish
fair way due system and the option to connect to shore side electricity
had accomplished societal benefits equal to the EU directive that
limits sulphur concentration for ships at berth.
In October 2008, the International Maritime Organization (IMO)
agreed upon new international regulations on air pollution of NO

from new ships (MEPC 2008), which has increased the need for
abatement technologies. Technologies that clean NO
The downside of SCR is the energy intensive production of urea.
Considerations of the lifecycle of urea production, its transportation
and its use in an SCR installed on a ship showed higher overall
contribution to global warming potential from a case with SCR, as
expected, compared to ship operation without the use of SCR and
urea. However, the benefits from reduced acidification potentials,
photo oxidant formation, eutrophication and human toxicity were
more distinct.
from the
exhaust will be more widespread after the likely tightening of
permitted emission levels by IMO in Tier III of MARPOL Annex VI.
Two abatement technologies that are expected to be frequently used
are SCR and EGR in combination with water-based technologies.
Considering the replacement rate of old ships with newer ones that
comply with the different Tiers, it will take many years before
improved air quality resulting from this regulation is experienced.
Sulphur oxide emission levels are directly reduced by lower sulphur
contents in fuel. The mass concentrations of particle emissions are
related to the sulphur content of the fuel. However, the particle
number concentrations in the exhausts following combustion of low-
sulphur marine gasoil were observed to be on levels equal to or higher


than the concentrations from heavy fuel oil combustion during the
measurement campaign. This implies that although the mass of
particles in the exhausts is greatly reduced after a fuel shift to low
sulphur oils, the damage experienced by the surroundings of the ship is
not necessarily reduced.


The contribution of this work is in line with the aim to quantify
environmental effects that emissions to air from ships may cause on a
local scale and to consider effects of technological as well as political
measures of improvement. A few of the aspects that would benefit
from further studies in order to come closer to this quantification are
listed below.
It is clear that the emission factors of particles in particular are
connected to many uncertainties and that these uncertainties need to
be reduced in order to make accurate estimates of health risks and
potential environmental effects caused by airborne emission from
ships. The particles of diameters below approximately 0.1 m are very
rarely studied, even though it has been indicated that they are
abundant in the exhaust gases and are considered to be related to
potentially high health risks. There is thus a need for further on board
studies of particle emissions targeting particles of these size classes.
The results from the measurements of emissions from ships in
manoeuvring operations should be considered as preliminary.
Complementary studies are needed to clarify which observations from
the three engines in the study are of a general character and those that
were specific to the studied engines and engine types.
An impact assessment can always be done in more detail. A local
emission inventory should ideally be followed by site-specific
dispersion modelling and site specific response calculations. In order
to stay within the limits of available resources for this project, this part
was left out of the CBA and inventory study in this work. This
limitation introduced uncertainty to the results by reducing the
potential to conclude on ships contributions to peak concentrations of
pollutants the air masses, for example. Further efforts to conclude on


external cost factors suitable for the studies area should also be a
priority in a future study.



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