The 5th International Conference on Transportation Information and Safety, July14 – July 17, 2019, Liverpool, UK
Analysis of Influencing Factors of Ship Operational
Energy Efficiency
Ailong Fan
School of Energy and Power Engineering, Wuhan
University of Technology
Wuhan, China
fanailong@whut.edu.cn
Junteng Wang
School of Energy and Power Engineering, Wuhan
University of Technology
Wuhan, China
juntengwang81192@whut.edu.cn
Abstract—The international shipping industry is facing with
increasingly strict emission regulations and depressed market;
lowering the cost and increasing the efficiency is becoming a
universal practice. For a long time, global community and the
International Maritime Organization (IMO) have been closely
working together, a list of regulations and solutions are worked
out; in the meantime, many energy efficiency improvement
methods are proposed. In this study, global efforts in tackling
climate change are summarized using a timeline approach, which
includes the important outcomes of the United Nations Climate
Change Conference and the IMO Marine Environment Protection
Committee meeting. Then, aiming at the energy efficiency
operational indicator proposed by the IMO, the mechanism
analysis method is used to summarize the influencing factors of the
ship’s energy efficiency. Last, these influencing factors are
analyzed from different perspectives. This study provides a basis
for the requirement analysis of the ship energy efficiency
monitoring system and also benefits in working out energy
efficiency improvement measures for the operational ships.
Keywords—climate change; CO2; international shipping; ship
energy efficiency;
I. INTRODUCTION
In recent years, with the aggravation of the global warming,
climate change has attracted increasingly attention and worries
throughout the world. The shipping industry is commonly
recognized as one of the major greenhouse gas (GHG) emission
sources, its emission-reduction has become the consensus of the
global community, relevant GHG mitigation regulations are
becoming increasingly stringent. Apart from that, the global
shipping market is rather depressed in the recent decade, which
can be reflected in the low hovering of the Baltic Dry Index
(BDI); the depressed market brings tremendous difficulties to
the majority of the shipping companies, cost-reduction and
efficiency-improvement is now the priority and most concerned
topic within the industry. According to the statistics, the ship’s
fuel cost takes up the 40% of the total cost on running the
shipping company. Against the background, reducing the fuel
cost becomes one of the most effective methods in improving
the competitiveness of the companies. It can be found that
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Yapeng He
School of Energy and Power Engineering, Wuhan
University of Technology
Wuhan, China
aiyapeng521@qq.com
energy saving and emission reduction (ESER) within the
shipping industry is not only the need to fulfill the requirements
of international emission reduction regulations, but also
becomes the effective methods to improve the companies’
economic benefit. Optimizing the ship’s operation and
upholding the energy efficiency is now the common practice in
the ship’s ESER, especially for the ships in operation.
Compared to the stationary land-based systems, the ship’s
working environment is much more complex with more
influencing factors, therefore, the ship’s ESER is faced with
more complexity. In order to push forward the ship’s ESER, the
Marine Environment Protection Committee (MEPC) of the
IMO has entered enforced a list of convention and regulations,
among them, the energy efficiency operational index (EEOI)
has been proposed as the key performance index (KPI)
evaluating the CO2 emission efficiency of ships. In this study,
the climate change mitigation measures that are put forward by
the global community in recent decades would be thoroughly
analyzed, which includes the consensus of the previous key
United Nations climate change conferences and the IMO
Marine Environment Protection Committee meetings; then,
take the operational ship as a target, the influencing factors of
the EEOI would be summarized via mechanism analysis
method; at last, these factors would be analyzed from different
perspectives.
II. SHIPPING ENERGY SAVING AND EMISSION REDUCTION
UNDER GLOBAL CLIMATE CHANGE
After the industrial revolution, the GHG emissions caused
by the human activities have increased dramatically, which is
widely recognized as the main cause to the global warming. The
adverse impacts of the global warming are mainly reflected in
the following four aspects: the rising of the sea level, increased
natural disasters, threats to the survival of plants and animals,
and threats to the human health. The main element of the GHG
emitted by the human activities is the CO2, which contributes
nearly 63% to the global warming in terms of temperature uplift
effect. Against this background, the global community pays
 The 5th International Conference on Transportation Information and Safety, July14 – July 17, 2019, Liverpool, UK
more and more attention to the mitigation of the GHG
emissions, relevant responsible institutions are established, in
the meantime, conventions and regulations are brought in.
A. Efforts of the global community on climate change
In 1988, the United Nations Intergovernmental Panel on
Climate Change (IPCC) is established by the World
Meteorological Organization (WMO) and the United Nations
Environment Program (UNEP). The first assessment report was
released in 1990; this report recognized the scientific basis of
the climate change issues, which prompted the United Nations
General Assembly to make the decision to develop the United
Nations Framework Convention on Climate Change
(UNFCCC); the UNFCCC was finally adopted at the United
Nations Conference on Environment and Development (Earth
Summit) in 1992 and entered into force in 1994. From 1995, the
parties of the Convention held annual Conferences of the
Parties (COPs) to assess the progress in addressing climate
change. UNFCCC is the world's first comprehensive
international convention on control of the GHG emissions,
which is to cope with the adverse effect of the global warming
on human’s economy and society; the convention also serves as
the basic framework for the international cooperation on global
climate change. In December 2015, the COP 21 was held in
Paris and nearly 200 parties arrived a new consensus on global
climate change - the Paris Agreement, this agreement has
already entered into force in November 2016. This is the second
legally binding agreement on the 2020 global action to address
and make an effective response to climate change since the
Kyoto Protocol. The Paris Agreement sets a number of goals
for controlling global GHG emissions, that is to keep the global
average temperature “well below 2 ć above pre-industrial
levels and to pursue efforts to limit the temperature increase to
1.5ć above pre-industrial” and to achieve net-zero emissions
in the second half of this century [1].
B. Efforts of shipping industry on climate change
It is known that the shipping industry undertakes more than
80% transportation of the international trade, which is the
lowest level of transport mode in terms of energy consumption.
However, the total CO2 emissions from the international
shipping is tremendous. However, according to the third IMO
GHG report released in 2014, total shipping emissions of CO 2
comprised approximately 938 million tonnages, which
represents 2.6% of the world’s total emissions of CO 2 for the
year 2012 [2]. Due to the mobile, unbounded, and cross-
regional characteristics of the shipping emissions, the
international shipping industry together with the international
civil aviation industry were delegated to the International
Maritime Organization (IMO) and the International Civil
Aviation Organization (ICAO) in the Kyoto Protocol
respectively; the two agencies were required to develop the
GHG emission reduction measures for its own industry [3].Just
for this reason, international shipping industry and international
civil aviation are not directly included in the Paris agreement.
Although the international shipping industry has not been
directly incorporated into the Paris Agreement, it still has a
responsibility to make its own contribution to achieve the global
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GHG emissions target. As a matter of fact, since the mid-1980s,
IMO's Marine Environment Protection Committee has been
exploring the issues on ship’s fuel quality and air pollution. By
1997, affected by the then fact that global community began to
focus on the issue of GHG emissions, the new Annex VI, the
ship Air Pollution, was added to the IMO’s International
Convention on the Prevention of Pollution from Ships
(MARPOL) by the parties of the convention.
However, the international shipping industry has not yet
reached a specific target of curbing GHG emission so far; the
shipping industry is also lagging far behind other sectors in
coping with climate change. According to a report released by
the European Environment Agency (EEA) in 2013, the shipping
industry is one of the least regulated sources of air pollution [4].
The third GHG report also indicates that the GHG emissions
caused by the shipping industry will be expected to account for
17% of the global emissions by 2050, if no response is taken [2].
The Figure 1 lists the principle efforts that have been made by
the global community and IMO; the upper part shows some
important COP events while the lower part list some important
MEPC meetings.
C. Establishment of the key performance indicator for
evaluating ship energy efficiency
Quantifying GHG emissions is a prerequisite for further
research on GHG emission reduction. In order to quantify and
calculate GHG emissions, the Greenhouse Gas Protocol on
Enterprise Accounting and Reporting Standard, published by
the GHG Protocol, provides a methodology for calculating
GHG emissions, which is currently the most widely used tool
for GHG calculation in the world. This guideline divides the
CO2 emissions sector into static combustion (i.e. power
generation) and mobile combustion (transport), respectively.
Regarding the transport industry, the CO2 emission efficiency
(ECO2) is represented as follows [5]:
mCO2
ECO2 (1)
mc arg o u D
Where mc arg o indicates the mass of cargo transported (t);
D indicates the transporting distance (km); mCO indicates the
2
corresponding amount of CO2 emitted (g).
The methodology measuring the environmental benefits of
transport modes (the amount of CO2 emitted per unit of
transportation turnover), proposed in this guideline, is an
internationally recognized measure and is the earliest key
performance indicators (KPIs) for evaluating the CO2 emission
efficiency of transport modes.
At the 53rd MEPC meeting held in July 2005, the Interim
Guidelines for Voluntary Ship CO2 Emission Indexing for Use
in Trials were adopted [6], setting out the simplest form of the
CO2 Emission Efficiency Index, which is shown as follow:
 The 5th International Conference on Transportation Information and Safety, July14 – July 17, 2019, Liverpool, UK

United Nations Framework Convention on Climate Change (UNFCCC)/Conferences of the Parties (COP)

UNFCCC First COP 3 adopted COP21 adopted COP22 in

adopted annual legally binding the second legally Marrakech˗
COP in Kyoto Protocol binding Paris Paris Agreement
berlin to curb GHG COP 11 COP 15 Agreement
COP 7 adopted COP 13 entered into
emissions from adopted Copenhagen targeting
UNFCCC Marrakech adopted Bali COP 17 COP 18 force
developed Montreal Agreement 1.5°C/2°C
entered Accords Roadmap in Durban in Doha
countries Action Plan
into force

Year 1992 1994 1995 1997 1998 2000 2001 2003 2005 2007 2008 2009 2011 2012 2013 2014 2015 2016

IMO IMO 23 MEPC 53 MEPC 58 MEPC 59 MEPC 62 Energy MEPC 67 Europe MEPC 70
amended adopted Adopted ship Changed released the adopted efficiency released Union (EU) adopted a
MARPPOL MEPC 42 MEPC 45 CO2 emissions CO2 second IMO mandatory regulations the third mandatory data
policies and Monitring,
and added agreed to released the emissions GHG emissions amendment to entered IMO GHG collection system
practices index˗ reporting,ver
Annex VI- begin a first IMO index into MARPOL Annex into force emissions for fuel
related to MARPPOL report˗ ifing (MRV)
Prevention study of GHG EEOI Ⅵ, adding report consumption of
reduction of Annex VI Adopted entered into
of Air GHG emissions ships
GHG entered into SEEMP and chapter Č- force
Pollution emissions report
emissions force EEOI guideline energy efficiency
from Ships from ships regulations for
Marine Environment Protection Committee (MEPC)/International Maritime Organization (IMO) ships

Fig. 1. Timeline of COP and MEPC events on GHG emissions

mCO2 Apart from the IMO, some other organizations developed

IndexCO2
Tturnover
Where Tturnover indicates transport turnover, mCO indicates
2 Social Responsibility (BSR) and the INTERTANKO indicator
the corresponding amount of CO2 emitted.
At the 59th MEPC meeting held in July 2009, the ship's CO2
emissions index was officially renamed as Energy Efficiency
Operational Indicator (EEOI) [7]. At the 62nd meeting of the
MEPC held in July 2011, the MARPOL Annex VI was
amended to add the Chapter IV - Energy Efficiency Regulations
for Ships, which marked the establishment of the first
mandatory regulation for global GHG emission reductions in
the international shipping industry. This new regulation
introduces two mandatory mechanisms for the reduction of
GHG emissions from ships, namely the Ship Energy Efficiency
Design Index (EEDI) for newly-built ships and the Ship Energy
Efficiency Management Plan (SEEMP) for all ships; in SEEMP,
IMO recommends the use of the Ship Energy Efficiency
Operational Indicator (EEOI) as an indicator for setting energy
efficiency targets and for evaluating energy efficiency levels.
Figure 2 presents the evolution of the IMO MARPOL
Convention on ship energy efficiency regulation [8].
The formula suggested by the IMO for calculating the EEOI
on one voyage is presented as follow:
(2) the key performance indicators (KPIs) aiming at the ship’s CO2
emissions based on the standard proposed by the GHG Protocol,
for instance, the BSR indicator proposed by the Business for
proposed by International Association of Independent Tanker
Owners (INTERTANKO). In this paper, the EEOI of the
operational ship is chosen as the research target, the influencing
factors of the EEOI will be thoroughly analyzed, which could
provide a basis for the further study on the ship energy
efficiency monitoring and improvement.
III. INFLUENCING FACTORS OF SHIP OPERATIONAL ENERGY
EFFICIENCY
According to the (3), the factors that impact the ship’s EEOI
come from four aspects, namely: fuel consumption, fuel type,
cargo volume and voyage distance. Take a single voyage and a
single ship for example, the influencing factors of the ship’s
EEOI is to be to analyzed, as shown in the Figure 3.
A. Influencing factors of the fuel consumption
In the (3), both the fuel consumption and the voyage
distance are accumulated variables during a period of time,
indicating the integration of the instantaneous variables in the
time dimension, which means the (3) can be represented as
follow:

¦ FC u CFj CF qut
mc arg o ³ Vground u t
j
j
EEOI u dt (4)
EEOI (3)
mc arg o u D
Where q indicates the fuel consumption of the ship's main
where j represents the fuel type; FC j is the total fuel engine per unit time, namely instantaneous fuel consumption
consumption on the voyage; CFj is the carbon content of the (kg/h), t indicates the voyage time (h); Vground indicates the
fuel j ; mc arg o is the mass of cargo transported; and D is the ship speed over ground (kn).
voyage distance. It can be seen that the EEOI follows the above
standard proposed by the GHG Protocol, a specific application
in the shipping industry.

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 The 5th International Conference on Transportation Information and Safety, July14 – July 17, 2019, Liverpool, UK

International Convention for the Prevention of Pollution from Ship

(MARPOL)

Annexĉ AnnexĊ Annex ċ Annex Č Annexč AnnexĎ

harmful air
noxious liquid substances in
oil substances sewage garbage pollution
packaged form

Adopted in 1997 and entered into force

in 2005 Chapter ċ
Chapterĉ ChapterĊ Chapter Č
... Energy Efficiency
Regulation

Adopted in 2011 and entered into force in 2013

GHG emission reductions regulation with mandatory
enforcement in the shipping industry
Reg.19 Reg.20 Reg.21 Reg.22 Reg.23
Attained Required SEEMP Technology
Application cooperation
EEDI EEDI (EEOI)
and transfer
Mandatory preparation and implementation of SEEMP for international ships of 400 gross tonnage and
over; seeking to improve a ship's energy efficiency through 'Planning-Implementation-Monitoring-Self-
evaluation and improvement'
IMO recommends the use of the EEOI as an indicator for setting energy efficiency targets and for ¦ FC j
u CFj
j
evaluating energy efficiency levels, representing the amount of CO2 emitted per unit ship's transport EEOI
turnover. mc arg o u D

Fig. 2. Evolution of the IMO MARPOL Convention on ship energy efficiency regulation

Influencing factors of ship operational energy efficiency

fuel fuel type cargo volume voyage distance

consumption

Main Auxiliary Heavy Diesel ... Loading Voyage Ship speed

Boiler incinerator floatation
engine engine oil oil rate time over ground

Ship speed Ship Electrical Steam Full Ballast Ship speed Water
SFOC Efficiency Trim Heel
over water resistance demand demand load load over water velocity

Frictional Viscous Wave Additional Working Electrical

Cargo turnover
R. pressure R. R. R. time power

Appendage and R. increment in Ship pumps Domestic electrical ... Shipping market sailing ...
Air R. Fleet size
fouling R. shallow water and funs equipment index line

Fig. 3. Principal influencing factors of ship’s EEOI

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 The 5th International Conference on Transportation Information and Safety, July14 – July 17, 2019, Liverpool, UK
For an ordinary ship, the main fuel-consuming equipment
onboard are main engine, auxiliary engine, boiler and
incinerator, in which the oil consumption of the main engine for
the ship propulsion takes up the largest proportion; in the
meantime, compared with the other three equipment, the
influencing factors of the main engine is more and also more
complex, therefore only the fuel consumption of the main
engine is taken into account in (4).
In order to analyze the dynamic characteristics of ship
voyage, the dynamic expression of EEOI can be obtained by
differentiating the (4) with respect to time [9]:
CF q
f EEOI d ( EEOI ) u (5)
mc arg o Vground
According to the theory of ship motion, the fuel
consumption of the main engine is much related to the ship
resistance. The marine propulsion system is essentially an
energy transformation system composed of the hull-engine-
propeller, namely, When the ship sails in the water, the hull will
receive resistance R from the water, the air and others. To
overcome this resistance, the marine engine needs to produce a
certain power PB (through burning a certain amount of fuel q )
to rotate the propeller. Consequently, a thrust force T that can
propel the ship forward is also created [10]. Figure 4 presents
the schematic diagram of the hull-engine-propeller system of an
ordinary ship.
VS
PB q Fuel
PE PD Marine
Shafting Engine
T TE Gearbox
Propeller
Figure 4. Schematic diagram of the hull-engine-propeller
system
The fuel consumption of the main engine q PB ˜ SFOC ˈ
PB PE / K RVS / K , where PB indicates the power delivered
by the marine engine, SFOC indicates the specific fuel oil
consumption of the main engine, PE indicates the effective
power generated by the propeller, K indicates the overall
efficiency of the propulsion system. It can be concluded that
RVS SFOC
q .
K working parameters (ship speed, main engine speed,
The resistance of the ship on the voyage can be expressed
as [11-12]:
R R0  ' R
R0 =R f  Re  Rw
' R =' RA  ' RS
Where R0 indicates the ship resistance in still water, ' R
indicates the additional resistance, the frictional resistance
R f 0.5C f UVS2 S , the viscous pressure resistance
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Re0.5Ce UVS2 S , the wave resistance Rw 0.5Cw UVS2 S ;
normally ' R is composed of the air resistance
' RA 0.5C X U AVA2 AT , the resistance increment in shallow water
' RS =fs ˜ R0 0.065VS2 ˜ R
0
/ ^>(H / d )  1)@ d ` as well as the
resistance caused by the fouling and appendage; C f , Ce and C w
indicate resistance coefficient, U and U A indicate the density
of the water and air respectively, S indicates the area under
waterline, VA indicates the relative wind speed, AT indicates
the transverse projected area above waterline, H indicates the
water depth, and d indicates ship’s draft.
B. Influencing factors of the transport turnover
In (5), the cargo volume and the voyage can be concluded
as the transport turnover. Normally, the turnover of a single ship
is determined by the shipping company’s operating department
according to the contract of transport, while the cargo turnover
of the shipping company is related to the prosperity index of the
shipping market, fleet size and sailing line etc. The effect of
cargo volume on ship energy efficiency is also manifested in
the loading of cargo, firstly, increasing the energy efficiency
level of the ship shall increase the loading rate of the cargo and
reduce the ballast water quantity; Secondly, the stowage of the
cargo should be optimized with consideration of the ship draft
and speed, on this basis, a best trim angle could be worked out.
IV. RESULT AND DISCUSSION
In summary, the influencing factors of ship operating
energy efficiency are diverse. From the class point of view,
these factors can be divided into static ship parameters,
Rdynamic operating parameters, environmental parameters, and
some other micro-factors alike.
x Ship type parameters. Mainly including the basic
parameters of the ship hull (such as ship length, ship
width, depth, displacement, block coefficient, midship
coefficient, prismatic coefficient, water level coefficient,
buoyancy position and wind area of superstructure);
power system parameters (such as main engine type,
rated power, rated speed, specific fuel oil consumption);
propulsion system parameters (such as gear box
reduction ratio, propeller diameter, pitch, blade number
and expanded area ratio); parameters of other fuel-
consuming equipment (such as auxiliary engine, boiler,
and incinerator); and electrical equipment parameters.
x Operating parameters. Mainly including the ship
etc.); cargo loading parameters (loading rate - draft,
floatation - trim angle, etc.); ship fouling level; ship
sailing line and fuel type.
x Natural environmental parameters. Mainly including
(6) water velocity and direction, wind speed and direction,
water depth, wave height, etc.
x Ship efficiency. Mainly including thermal efficiency
(main engine thermal efficiency, boiler thermal
efficiency, etc.), propulsion system efficiency (propeller
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efficiency, shafting transfer efficiency, hull efficiency, Indirect factors

gearbox efficiency, etc.). (Macro)

The above parameters can have a direct impact on the Direct factors
energy efficiency level of a single ship, however if ˄Micro˅
aiming at the entire fleet, the influencing factors of the Natural
environmental
energy efficiency on the company level should also parameters:
include the shipping company management level, Operating parameters: x water
x ship working parameters x wind
shipping market environment, shipping industry’s x cargo loading parameters x Wave etc.
policies and regulations on ESMR. These macro factors x ship fouling level Ship efficiency:
will also indirectly affect the shipping company's ESMR. x ship sailing line x thermal efficiency
x ship fuel type x propulsion system
efficiency etc.
x Shipping company management level. Mainly Ship type parameters:
including staff’s awareness training on energy x ship hull parameters
x power and propulsion system
conservation, fuel-saving incentive to crews, onboard parameters Policies and
Shipping market x fuel-consuming equipment regulations on
application of new technologies on ESMR (such as environment: parameters ESER:
energy efficiency monitoring and management system x transport price x electrical equipment IMO ship energy
parameters etc.
or software), fuel-saving target settings, and fuel-saving x oil price efficiency regulation, EU
x shipping prosperity MRV mechanism and the
comparison between ships of the same type. index etc.
carbon emissions market
Company management level: mechanism etc.
x Shipping market environment. Mainly including the x staff’s ESER awareness
x ESER incentive to crew
transport price of cargo (determined by the balance x application of ESER technologies
between supply and demand), international oil price, x fuel-saving target settings
x fuel-saving comparison etc.
shipping prosperity index. From the historical practice
of the shipping market, the prosperity degree of the
shipping market is negatively correlated with the energy Fig. 5. Classification of the factors affecting the ship
saving and emission reduction of the shipping operational energy efficiency
companies. When the global shipping market is in the
doldrums and the transport price is low, the shipping
companies usually adopt the energy-saving measures, V. CONCLUSIONS
like lower ship speed, to cut the fuel cost, so as to
enhance the economic benefit of companies; while when In this paper, the international conventions and regulations
the shipping market is turning for the better, shipping on climate change proposed in recent decades have been studied
companies are more inclined to improve the ship's speed in depth. Based on the method of mechanism analysis, the
to improve the cargo turnover to enhance the overall influencing factors of the ship operational energy efficiency are
benefit of companies, under this circumstance, summarized; besides, these factors are further analyzed in depth
environmental protection is fed to second. In addition, from the microcosmic and macroscopic aspects. The IMO is
the international oil prices have a great impact on the carrying out the top-level design of the energy consumption
shipping industry’s ESMR; normally when oil prices are monitoring system for ships. This research on the influencing
high, companies usually pay more attention to ESMR. factors of ship operational energy efficiency will provide a
theoretical basis for establishing the monitoring mechanism of
x Policies and regulations on energy saving and the ship energy consumption and navigational environment; in
emission reduction (ESER) in shipping industry. the meantime, it will be beneficial to the study of ship energy
Mainly refers to the international and regional efficiency improvement methods.
mandatory ship emissions policies and regulations, such
as the IMO ship energy efficiency regulation, the EU ACKNOWLEDGE
Monitoring-Reporting-Verifying (MRV) mechanism This work is supported by the National Natural Science
and the carbon emissions market mechanism. To control Foundation of China (51809202), the High-tech Ship from
the emission of GHG in the international shipping MIIT (2018/473) and the Fundamental Research Funds for the
industry, it is necessary to rely on the strict international Central Universities (2019IVB028 and 2019IVA021).
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 The 5th International Conference on Transportation Information and Safety, July14 – July 17, 2019, Liverpool, UK

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