STEP 2006 Application Form 

U.S. Coast Guard, March 2006 

Application Subheading Required Tables and Figures 

Preamble, Instructions

Section 1.0 Applicant’s Test Program Organization and Management Plan 

1.1 STEP’s Ballast Water Treatment Objective None 

1.2 Letter of Commitment None 

1.3 Program Organization and Management Plan Figure 1-1 “STEP Program Organization Chart” 

1.4 Contact information Table 1-1 “Key Points of Contact” 

1.5 Proposed Schedule Table 1-2 “Proposed STEP Project Schedule” 

1.6 Public Funding Sources None 

Section 2.0: Vessel and Existing Ballast System Specifications 

2.1 Vessel and Crew Information Table 2-1 “Vessel and Service Information” 

Table 2-2 “Crew and Watchstanding Information” 

2.2 Existing Ballast System 

Table 2-3a “Process/Equipment Design Criteria for 

Existing Ballast/Deballast System” 

Table 2-3b “Required Drawings, Ship’s Ballast System” 

Table 2-4 “Ship Tank Table” 

Include 3 or more ship system drawings in Appendix A 

2.3 Current Ballast/Deballast Practices None 

Section 3.0: Proposed Ballast Water Treatment System 

3.1 BWT System Overview Figure 3-1 “Process Flow Diagram of Proposed Ballast 

Water Treatment System” 

3.2 Design Criteria 

Table 3-1 “Process Design Criteria for Proposed BWT 

System” 

Table 3-2 series “Treatment Stage Design Criteria for 

Proposed BWT System” 

a- “Physical Removal/Disruption and Thermal 

Treatment”” 

b “Chemical Systems” 

c “UV Disinfection” 

d “Ozone” 

e “Other Treatment” 

3.3 Physical Configuration 

Table 3-3. “BWT System and Installation Drawings”, 

including system drawings in Appendix A: 

“Equipment Drawings for Major Components” 

“Equipment Arrangement, Proposed Ballast Water 

Treatment System” 

“Piping Arrangement Drawing, Proposed Ballast 

Water Treatment System” 

“Skid, Foundations, Proposed Ballast Water 

Treatment System” 

3.4 Shipboard Support System Requirements None 

3.5 Electrical, Instrumentation and Control 

Requirements None 

3.6 Operations and Maintenance Requirements None 

3.7 Crew Health and Safety, Vessel Safety None 

3.8 Cost Estimates Table 3-4 “Cost Estimates for Proposed BWT System” 

1 
STEP 2006 Application Form 

Table of Contents 

Application 

Subsection 

No. 

Application Subheading Required Tables and Figures 1

Section 4.0: Proof of Ballast Water Treatment Performance

4.1 Literature Summary of Laboratory 

Experiments, Bench Scale 

Table 4-1 “Summary, Prior Laboratory Experiments, 

Literature and Studies, Bench-Scale” 

4.2 Literature Summary of Laboratory 

Experiments; Pilot scale 

Table 4-2 “Summary, Prior Experiments, Literature and 

Studies, Pilot-Scale” 

4.3 Literature Summary of Laboratory 

Experiments; Full Scale 

Table 4-3 “Summary, Prior Experiments, Literature and 

Studies, Full Scale” 

4.4 Summary Experimental Data for Bench-Scale 

Ballast Water Treatment System 

Table 4-4a “Summary of Existing Bench-Scale Test 

Data for the STEP BWT System” 

Table 4-4b “Summary of Existing Bench-Scale Test 

Data for Individual STEP BWT Components” 

4.5 Summary Experimental Data for Pilot-Scale 

Ballast Water Treatment System 

Table 4-5a “Summary of Existing Pilot -Scale Test Data 

for the STEP BWT System” 

Table 4-5b “Summary of Existing Pilot -Scale Test Data 

for Individual STEP BWT Components” 

4.6 Summary Experimental Data for Full-Scale 

Ballast Water Treatment System 

Table 4-6a “Summary of Existing Full-Scale Test Data 

for the STEP BWT System” 

Table 4-6b “Summary of Existing Full-Scale Test Data 

for Individual STEP BWT Components” 

4.7 Program Summary for BWT Experiments at All 

Scales 

None 

Section 5.0: STEP Study Plan

5.1 Test Team Responsibilities Table 5-1 “Test Team Responsibilities” 

5.2 Treatment Performance Goals Table 5-2 “Treatment Performance Goals for Evaluation 

Under STEP” 

5.3 Ballast Water Treatment Experimental 

Methods 

Table 5-3 “Ballast Water Treatment Experimental 

Methods” 

Figure 5-1 “BWT Sampling Schematic ” 

5.4 Analyses None 

5.4.1 Biological Analyses Table 5-4 “Biological Sampling and Analysis” 

Figure 5-2 “Generalized Analytical Scheme for BWT 

Test Program” 

Figure 5-3 “Sampling Port Design” 

5.5.2 Environmental Analyses Table 5-5 “Environmental Parameters & Water 

Chemistry” 

5.5 Test Voyage(s) Itinerary Table 5-6 “Test Voyage Schedule” 

5.6 Long Term Performance Monitoring 

5.6.1 Treatment Performance Goals None 

5.6.2 Experimental Design Table 5-7 “BWT System Biological Treatment 

Performance Monitoring, Equivalency Period” 

Table 5-8 “BWT System Engineering Performance 

Monitoring, Equivalency Period” 

5.6.3 STEP Reporting Requirements None 

2 
STEP 2006 Application Form 

Table of Contents 

3 

Application 

Subsection No. Application Subheading Required Tables and Figures1

Section 6.0: Environmental Compliance 

6.1 Operational Issues None 

6.2 Water Quality and 

Discharge of Treated Ballast 

Water 

Table 6-1 “Environmental Compliance: Water Quality and Discharge 

of Treated Ballast Water ” 

6.3 Storage, Handling, and 

Exposure to Ballast Water 

Treatment Chemicals 

6.4 Management of Ballast 

Water Treated Waste 

Streams 

Table 6-2 “Regulations and Agencies Checklist, Ballast Waste 

Streams” 

6.5 Biological Issues Table 6-3: “Regulations and Agency Checklist, Wildlife” 

Appendix A Supplemental Information 

on Proposed BWT System 

and Shipboard Installation 

Appendix B Literature Review Technical 

Papers 

Appendix C Supplemental 

Environmental Compliance 

Information 
STEP 2006 Application Form 

Section 1: Applicant’s Test Organization and Management Plan 

Preamble 

The United States Coast Guard Shipboard Technology Evaluation Program (STEP) for 

onboard ballast water treatment systems provides incentive to ship owners and 

operators to install and operate experimental or prototype treatment systems with 

demonstrated potential for effective removal or destruction of unwanted organisms in 

ballast water. General program guidance is available both in the STEP Application 

Instructions and in the Coast Guard Navigation and Vessel Inspection Circular (NVIC) 

no. 01-04, “Shipboard Technology Evaluation Program (STEP): Experimental Ballast 

Water Treatment Systems”. 

Instructions 

The Applicant must provide all requested data in the text boxes and tables. However, 

the STEP application is flexible and the Applicant may modify it as needed to suit a 

particular test project. Any additions or omissions of information must include a 

satisfactory explanation of the change. Leaving blanks or simply citing references to 

other technical documents in lieu of preparing a response will be considered as a nonresponsive application. The Applicant may cite technical references to support 

responses in the application. Key technical literature, drawings, and other documents 

cited in the application should be included in the appendices. 

Introductory, explanatory, and instructive text in this document appears in non-bulleted 

format. Directions indicating action required of the Applicant appear in bulleted format. 

References in the text to required data tables and figures are highlighted yellow. 

Text boxes are provided for the input of information in a narrative format (text box size 

adjusts automatically). There are also areas of the application that include multiple 

options to be chosen as appropriate, for example, the series of tables in Section 3 

requesting information particular to several types of treatment technologies. 

Note to prospective applicants: The Coast Guard and the Volpe Center Review Panel 

strongly recommend that you read the STEP Application Instructions document and 

NVOC 01-04, with enclosures, before preparing and submitting a STEP application. 

SECTION 1.0: APPLICANT’S TEST ORGANIZATION AND MANAGEMENT PLAN

1.1 STEP’s Ballast Water Treatment Objective 

The STEP policy and guidance in NVIC 01-04 specify treatment performance as 98% 

removal of organisms larger than 50 microns. Acceptance into STEP requires 

documentation of this level of removal or inactivation from a ballast water treatment 

(BWT) system or unambiguous data showing promise of such performance at shipboard 

scale based on smaller scale experiments. Before moving forward with this application, 

the Applicant should check the box below indicating that this entry criterion is met: 

Proposed BWT system meets NVIC treatment criterion [ X ] (check if yes). 

1.2 Letter of Commitment 

• Prepare a Letter of Commitment, indicating the identities of the ship operator (if 

different than owner), the manufacturer or developer of the treatment system, 

and the principal investigators conducting the biological and engineering tests. 

Identify Applicant’s authorized STEP project manager and state the intent to 

4 
STEP 2006 Application Form 

Applicant’s Test Organization and Management Plan 

carry out all components of the study plan for which they are responsible. 

Submit letter with the Application Package. 

The Government does not specify the form of the Commitment Letter. 

1.3 Program Organization and Management Plan 

The Applicant must provide a clear picture of the management structure of the STEP 

project team, showing key elements of all organizations involved, and including the 

owner, operator, treatment system vendor(s), biological test team, and laboratory(ies). 

Complete Figure 1-1 and use the following text box to briefly describe the team 

structure, including any deviations from the suggested structure in Figure 1-1. 

TEXT BOX: Team Structure Description 

The management of this STEP program will be per the org chart below. The project, at 

least in it’s initial stages, will have an emphasis of support from the vendor, NEI 

Treatment Systems. 

Define the role and functions of the STEP project manager by checking the boxes below, 

if they apply in your case. If any do not, explain, in the provided text box, how the 

proposed team management structure will function effectively. 

 X Acts with the authority of the Applicant, i.e., of the ship owner or operator, 

especially with regard to financial, operational, and scheduling matters 

 X Coordinates test plan and shipboard operations, including schedules and 

activities of the Applicant’s operations personnel and subject matter experts (see Figure 

1-1) with those of the BWT system vendor(s) and the biological test team. 

 X Functions as the primary point of contact with the Coast Guard and Volpe 

Center Review Panel in matters of scheduling and coordinating STEP review activities, 

status of application, etc. (subject matter experts for both parties may correspond 

directly on technical matters only) 

 Directs shipboard BWT installation and testing activities, with the assistance of 

the port engineer ad the ship’s chief engineer 

 X Oversees preparation of all documents for submission to the Coast Guard, 

including the STEP application, application revisions, and long-term performance 

monitoring reports 

TEXT BOX: Description of project manager’s role 

The APL STEP project manager is the Applicants point of contact for Coast Guard with 

respect to the STEP Program. Responsible for program coordination with; vendor, Ports 

and State Agencies as well as; system testing program, document submittal. 

APL runs a large integrated fleet and schedule. The scheduling of an individual vessel 

and the ride-aboard installation is not the direct responsibility of the STEP Project 

manager. 

5 
STEP 2006 Application Form 

Applicant’s Test Organization and Management Plan 

6 

1.4 Contact information 

• Provide contact data for key STEP personnel, in Table 1-1. 
STEP 2006 Application Form 

Section 1: Applicant’s Test Organization and Management Plan 

Figure 1-1. STEP Project Org. Chart 

APPLICANT 

American Presidents Line (APL) 

Environmental 

Compliance 

Mr. Robert 

Clark 

APL Director of 

Environmental 

Affairs Americas 

Company 

Operations

Alam 

Khorshed 

APL Director 

Engineering 

& Research 

Development 

STEP Project Manager

Alam Khorshed 

APL Director Engineering & 

Research Development

Ship's 

Officers 

Captain 

Ngwe Lin

Chief Eng

Sachin 

Saharawat

Port 

Engineer 

Vendor (1, 2, ...n) 

Tech Rep/Engrg 

Giles Candy 

NEI Treatment Systems 

Biological Test Team 

Org/P.I. 

Dr. Mario Tamburri 

MERC/CBL University of Maryland 

Ship's 

De

Obtain Contact 

Info, Applicant Test Staff 

Senior 

Scientist 

Dr. Greg 

Ruiz 

7 
STEP 2006 Application Form 

Applicant’s Test Organization and Management Plan 

8 

Obtain Contact 

Info, Others 

Field 

(Exp) Field (Analytical) 

Lab 1 

Bigeow

Lab 
STEP 2006 Application Form 

Section 1: Applicant’s Test Organization and Management Plan 

Table 1-1. Key Points of Contact 

Add rows as necessary 

APPLICANT (corporate office Company Name Street Address State/Province 

data) APL 456 Alexandra Road Singapore/Singap

Personnel Organization Name Phone 

APPLICANT 

STEP Project Manager APL Alam Khorshed 65-6371-7946 Port Engineer Company Operations APL Alam Khorshed 65-6371-7946 Environmental Compliance APL Robert Clark 310-548-8822 Engineering Services (NA/ME) APL Alam Khorshed 65-6371-7946 

Ship personnel 

Captain NSSPL/APL NGWE LIN 356372250/1 Chief Engineer NSSPL/APL SACHIN SAHARAWAT 356372250 Chief Mate NSSPL/APL CHONG JIA CHYUAN 356372250 BW and BWT system operations

VENDORS 

Vendor #1, Technical Rep. NEI TREATMENT SYSTEMS GILES CANDY 2133835855 Vendor #1, Sales/service rep. NEI TREATMENT SYSTEMS GILES CANDY 2133835855 Vendor #2, Technical Rep. Vendor #2, Sales/service rep. Vendor #3, Technical Rep. 

9 
STEP 2006 Application Form 

Applicant’s Test Organization and Management Plan 

Vendor #3, Sales/service rep. 

10 
STEP 2006 Application Form 

Applicant’s Test Organization and Management Plan 

11 

Table 1-1. Key Points of Contact (continued) 

Add rows as necessary 

[Insert names of individuals] Company Name Street Address State/Provi

BIOLOGICAL TEST TEAM 

Principal Investigator [Mario Tamburri and

Greg Ruiz ] 

Field(s) of expertise 

 Univ. of Maryland and (MERC/CBL) Smithsonian Environmental Research Center (SERC) 

 One Williams Street, Solomons MD 

Senior Scientist #1 [George Smith] 

Field(s) of expertise: 

 SERC 

Senior Scientist #2 [Tim Mullady ] 

Field(s) of expertise: 

 SERC 

Laboratories 

Lab. #1, and role: 

 Bigelow Laboratories 

180 McKown Point P.O. Box 475 West Boothbay Harbor

Maine 

Director [ ] STEP Project PI [ ] 

Lab. #2, and role: 

Director [ ] STEP Project PI [ ] 
STEP 2006 Application Form 

Section 1: Applicant’s Test Organization and Management Plan 

1.5 Proposed schedule 

Summarize planned activities supporting the installation, test, and operation of the 

proposed shipboard BWT system. 

• Complete Table 1-2 “Proposed STEP Project Schedule” 

o Proposed future dates for system shipboard installation (or date of completed 

installation, if applicable) and engineering tests both dockside and at sea. 

Include brief description of the tests to be run, and the results if already 

completed. 

o A rough schedule for all work related to the Year 1 shipboard biological 

experiments. Applicant should make sure to allow time for application review 

by Review Team and the Coast Guard’s environmental review process (see 

Instructions, Figure 1) and should provide an approximate time frame only, 

e.g., month or season. 

1.6 Public Funding Sources 

Identify any public funding received or expected for development of the BWT system and 

planning and implementation of the shipboard operation sources (if applicable). The 

application must also identify any potential impact on the Applicant’s STEP project, 

whether technical (design or operational constraints) or management (e.g., impact on 

partner relationships, schedule delays) in nature in the event of a loss or reduction in 

identified outside funding. 

12 
STEP 2006 Application Form 

Section 1: Applicant’s Test Organization and Management Plan 

Table 1-2. Proposed STEP Project Schedule 

Add rows as necessary. 

Treatment 

stage(s) Date(s) Comments 

BWT System, Shipboard Installation and Engineering Brief description of test and 

organization(s) inv

Shipboard system installation Stage 1 9/2008- present 

 In progress. Installation is on-going finainstallation is being sought (5-09) for thVOS system (inert gas generator, inert tank P/V protection Venturi Injector risesystem). 

Dockside engineering tests Stage 1 8/2009 Commissioning and initial testing will b

installation is complete. 

Test 1 

 The need for any further engineering teafter the installation is approved by ClaNEI. 

Test 2 Test 3 

Engineering tests at sea Stage 1 10/2009 

 It is expected the system will be used toperational changes are foreseen for aVOS system 

Test 1 Test 2 Test 3 

13 
STEP 2006 Application Form 

Applicant’s Test Organization and Management Plan 

14 

Table 1-2. Proposed STEP Project Schedule (continued) 

Year 1 Shipboard Biological Testing Work) 

Date(s) Description of work, organization(s) 

Ship system mods. (e.g., sampling ports, temporary lab spaces) 9/2009 As needed, e.g. A CA spec sampling port will be installeBiological testing plan coordinated with ship 

 Schedule to be determined. Biological testing will includtreatment measurements of physical water quality and IMO D2 Standards 

Test equipment acquired and staged Spring 2010 Schedule TBD. It is planned to install 6 Mesocosm’s +/- 

pumps and other sampling hardware 

Test equipment onboard the ship Spring 2010 Initial quantitative analysis equipment and preserving sTest equipment trial runs Spring 2010 Once the biological testing team establishes an exact da

announced. 

Biological experiment #1 Summer 2010 It is expected the test will be spaced over the course of 

effects of seasonal and environmental variations. 

Biological experiment #2 Fall 2010 Shoreside laboratory work In association with each shipboard test. Test report to Coast Guard Within a month of the test run biological testing team w

summary. Within four months of testing team will provid
STEP 2006 Application Form 

Section 2.0: Vessel and Existing Ballast Water System Specifications 

SECTION 2.0: VESSEL AND EXISTING BALLAST WATER SYSTEM SPECIFICATIONS

The purpose of Section 2.0 is to provide information about the engineering and operation 

of the existing ballast water system on the ship proposed by the Applicant for STEP. 

2.1 Vessel and Crew Information 

• Provide essential vessel and service, data. Note that Table 2-1 requests 

information for up to two “typical” voyages only. Applicant may add additional 

rows if needed. 

• Complete Table 2-1 “Vessel and Service Information” 

Table 2-1. Vessel and Service Information 

Vessel Data 

Name APL ENGLAND 

IMO # and/or CG VIN 9218650 

Owner APL BERMUDA PTE LTD 

Operator APL CO PTE LTD 

Type Vessel (e.g., tank ship, dry cargo ) CONTAINER CARRIER 

Principal dimensions (L, B, D {meters}) L-277.255m,B-40.0m,D-24.3M 

Deadweight (if applicable), metric tons 67965.9 

Propulsion, type and power Samsung HSD M.A.N B&W 12k90mc 74640bhp 

Build Year 2001 

Flag State SINGAPORE 

Home Port SINGAPORE 

Classification Society DET NORSKE VERITAS 

Service Description 

Typical voyage 1 

Cargo type(s) CONTAINER 

Route and port(s) served 

PRE7: Singapore - Hong Kong – Chiwan – 

Kaohsiung – San Pedro– Lazaro Cardenas – 

Manzanillo – Yokohama 

Voyage duration, days 49 

Voyage frequency, per year 7.45 

Seasonality, if applicable 

15 
STEP 2006 Application Form 

Section 2.0: Vessel and Existing Ballast System Specifications 

Table 2-1. Vessel and Service Information (continued) 

Typical voyage 2 (if applicable) 

Cargo type(s) 

Route and port(s) served 

Voyage duration, 42 days 

Voyage frequency 

Seasonality, if applicable 

Add rows if necessary 

• Provide crew profile and watchstanding information in Table 2-2. This 

information will provide an understanding of system operations and added crew 

burden. 

Table 2-2. Crew and Watchstanding Information 

Crew Profile 

Engineering # of personnel 

1st Engineer One 

2nd Engineer One 

3rd Engineer Two 

Unlicensed crew Nil 3 x Engine cadets with WKC. 

Deck # of personnel 

1st Mate One 

2nd Mate One 

3rd Mate One 

Unlicensed crew Nil Bosun, 2 x AB, 2 x cadets with 

Watch Keeping Cert 

 

Watchstanding Data 

 Deck Personnel Engineering Personnel 

Typical Sea Watch 

One licensed Officer & One AB 

or cadet with watch keeping 

certificate for every 4 hour 

UMS watch one senior 

watchkeeper &one junior 

watchkeeper 

Port watch One licensed Officer, one cadet 

& one AB. 

UMS watch one senior 

watchkeeper &one junior 

watchkeeper. 

2.2 Existing Ballast System 

• Provide a general description of the operation of the existing ship’s ballasting 

system, including principles of operation, cross-connections with other systems 

(including purpose and frequency of operations, flushing of piping after use, and 

16 
STEP 2006 Application Form 

Section 2.0: Vessel and Existing Ballast System Specifications 

17 

how system is segregated), and system monitoring and control at local and 

remote control stations. 

TEXT BOX: Description of operation of ship’s ballast system 

>> Onboard Ring Main system allows retention of ballast and maintains tolerable 

stability condition during cargo operation. Two electric operated pumps, capacity 

1000m3/hr each are used to perform the operation. Each operation is usually carried 

out by using single pump. The ballast lines are blanked with other piping system so that 

it is considered to be dedicated ballast tanks for normal operation. 

The operation is carried out from Ballast Control Room (BCR) and monitored by gauge 

meters and taking manual sounding. The respective tanks valves and cross over valves 

are operated by remote electro-hydraulic system. These valves can be operated 

manually in case of system failure. Procedures are available in the BCR. 

• Complete Table 2-3a “Process/Equipment Design Criteria for Existing 

Ballast/Deballast System”. Provide a brief description of the ballast water system, 

including piping arrangement, and design criteria on system components such as 

pumps, sea chests, strainers, and filters. Table 2-3 includes a cell for a general 

description of the system configuration and operation, standard operating 

procedures, backup arrangements, integration and cross-connections with other 

systems, and special features such as "mixing manifolds". 

• Complete Table 2-3b “Required Drawings, Ship’s Ballast System”. Provide a list 

of ship’s drawings showing the existing ballast and associated systems, including 

components suggested below (submit F or D size drawings). F or D size 

drawings should be included in Appendix A. 

o Ballast system and cross-connected systems’ piping diagrams 

NOTE: BWT system installation drawings required for section 3.3 

presenting adequate space arrangement information are acceptable and 

do not require duplication with as-built drawings. 

o Arrangement drawings for spaces with machinery (e.g., pumps, filters) for 

ballast water and cross-connected piping systems (these should show 

scaled lay-outs of the spaces and important mechanical and structural 

features such as major propulsion and electrical components, bulkheads 

and columns, and doors and other means of access/egress) 

NOTE: BWT system installation drawings required for section 3.3 

presenting adequate space arrangement information are acceptable and 

do not require duplication with as-built drawings. 

o Ballast water system: existing electrical and instrumentation and control 

schematics. 

NOTE: BWT system installation drawings required for section 3.4 

presenting adequate space arrangement information are acceptable and 

do not require duplication with as-built drawings. 
STEP 2006 Application Form 

Section 2.0: Vessel and Existing Ballast Water System Specifications 

Table 2-3a. Process/Equipment Design Criteria for Existing Ballast/Deballast Syste

General Description No.1 & 2 Ballast P/P <> Ballast Tanks; Backup arrangements >> Bilge, Fi

Overboard; Bilge & Ballast Eductor for stripping tanks; 

Cross-connections to other 

systems (Y/N) Segregation: valves & controls Procedural Descriptio

pumps and valves, 

Firefighting Y BA005F D-B-TKS>> V/V BA001F>

BA005F>> To Bilge, Fire 

Gray water N [Describe valves and controls related to each cross-tie system] [Describe line-up of pum

number of tanks 

Bilge N [Describe valves and controls related to each cross-tie system] [Describe line-up of pum

number of tanks 

Other Y BG043F D-B-TKS>> V/V BA001F>

BA051F>> Edu

Other [Describe valves and controls related to each cross-tie system] [Describe line-up of pum

number of tanks 

Design Parameter Units Criteria/Description Comments (op

BW System Design Flows Average Uptake Flow Rate MT/hour >900 By gravity for D/Average Discharge Flow Rate MT/hour >900 

Ballast Pumps Number of Pumps No. 2 Manufacturer and model # NA NANIWA PUMP MFG.CO.LTD MODEL:-FEWV-350 Design Flows M3/hour 1000 Discharge Pressure kg/cm^2 2.5 Motor Size KW 440V/110 KW Motor Type CS or VFD 

18 
STEP 2006 Application Form 

Section 2.0: Vessel and Existing Ballast System Specifications 

Table 2-3a. Process/Equipment Design Criteria for Existing Ballast/Deballast System (con

Design Parameter Units Criteria/Description Comments (op

Sea Chests Number No. TWO Opening area M2 Low Sea chest= 0.764 m2 High sea chest= 0.885 m2 Manual MA-08,Drwg

mf439.20 

Location(s) (frame and height ABL) meters 

 Low sea chest –fr100. 

ABL-2.730 

High sea chest -fr94-fr95 

ABL4.604 

Manual MA-08,Drwg:- dw

Rack/screen Opening Size mm High sea chest=600x800 (3set) Low sea chest = 600x1000(2set) Manual MA-08,Drwg:- dw

Screen/Filter/Strainer Units Number and type No. STRAINER /W S004F Manufacturer and model NA SUNBO INBO/W S004F Capacity MT/hour 10 K x600A Maximum Retained Particle Size mm NA Backwash Type Manual or Automatic Backwash Flow Rate MT/hour Tank Level Monitors Type NA AIR PURGE UNIT Typical tank arrangement NA Ancillary Equipment Type NA BILGE AND BALLAST EDUCTOR Number No. 1 Capacity MT/hour 70 Power Requirements KW NA 

19 
STEP 2006 Application Form 

Section 2.0: Vessel and Existing Ballast System Specifications 

20 

Table 2-3b. Required Drawings, Ship’s Ballast System 

Title Dwg. Number Prepared by (shipyard 

Ship Side Distance PC’s Inst in E/R dwg no-mf439.20 and 439.30 SAMSUNG HEAVY INDUS

Ballast System, Piping Diagram MB601.10 Cross Connected System(s), Piping Diagram(s) 

1 MB601.10 SAMSUNG HEAVY INDUS2 EF702.55 SAMSUNG HEAVY INDUS3 MB 601.30 SAMSUNG HEAVY INDUS

Machinery arrangement(s), space(s) with BW system components MB 601.25 SAMSUNG HEAVY INDUS

1 2 MB 601.15 SAMSUNG HEAVY INDUST3 

Add rows as necessary 
STEP 2006 Application Form 

Section 2.0: Vessel and Existing Ballast Water System Specifications 

• Complete Table 2-4 “Ship Tank Table”, listing all ballast tanks and capacities, 

including dedicated tanks and other tanks and compartments used as ballast 

tanks. In the column “Multiple use”, provide information on non-ballast use of 

the tank or compartment, e.g., for holding black or gray water, even if such use is 

only occasional 

2.3 Current Ballast/Deballast Practices 

The Applicant will: 

• Describe ship’s current ballast water management practices, including standing 

ballast water system operating instructions and normal practices including deck 

and engineering department responsibilities 

• Using text box below, describe for each “typical voyage” in Table 2-1, to the 

extent possible, uptake and discharge locations, volumes, and frequency. Include 

bodies of water, names of nearest points of land, distances from shore, depths of 

water, and type of water body (e.g., ocean, bay, brackish, tidal river, fresh) 

TEXT BOX: Ballast water management practices, and uptake and discharge 

locations, volumes, and frequency 

>> Minimum uptake of ballast in coastal water for stress adjustment is norm. All 

ballast tanks with coastal water are exchanged at mid-ocean (more than 200 nautical 

miles from nearest land and 2000 meters depth) in compliance with IMO and local 

Ballast Water Management Regulation. Minimum uptake 400 MT to maximum 2500 

MT are necessary for East Bound (Far-East to U.S), and maximum uptake 1000 MT 

for Mexico coasting and West bound to Asia. Ports of uptake Ballast water are 

Kaohsiung in Asian region and San Pedro in U.S. During port stay in U.S and Mexico 

coasting all exchanged clean ballast water are retained onboard. 

• Using text box below, describe typical load/discharge sequence(s). Refer to 

Table 2-4 “Ship Tank Table”. 

TEXT BOX: Typical load/discharge sequence(s). Load/discharge sequences(s) precalculated. 

>> Ocean Passage: Regular tanks in use: No.5 D/B W.B.T (P/S) and No.5 Wing 

W.B.T (P/S) tanks, FPT or No.1 D/B W.B.T (C), No.2 Wing W.B.T (P/S), A.P.T (P/S). 

Subject to cargo distribution tanks are changed as necessary. 

21 
STEP 2006 Application Form 

Section 2.0: Vessel and Existing Ballast Water System Specifications 

Table 2-4. Ship Tank Table 

Add rows as necessary. Data are required in all cells, using as many rows as required for tan

time 

Compartment Type (check one, each row) 

Compartment name & 

number 

Ballast 

Water 

Capacity 

(metric 

tons) 

Dedicated 

Ballast 

Tank (or 

SBT) 

Multi-use 

Tanks 

Liquid 

Cargo Tank 

(for tank 

ships) 

Dry 

Cargo 

Hold 

Other 

1 F.P.T (C) 1079.0 X 2 No.1 D/B W.B.T (C) 1091.6 X3 No.2 D/B W.B.T (C) 1249.2 X4 No.2 WING W.B.T (P) 1357.8 X5 No.2 WING W.B.T (S) 1357.8 X6 No.3 D/B W.B.T (P) 612.5 X7 No.3 D/B W.B.T (S) 612.5 X8 No.4 D/B W.B.T (P) 508.8 X9 No.4 D/B W.B.T (S) 508.8 X

10 No.4 WING W.B.T (P) 457.3 X11 No.4 WING W.B.T (S) 457.3 X12 No.5 D/B W.B.T (P) 600.4 X13 No.5 D/B W.B.T (S) 600.4 X14 No.5 WING W.B.T (P) 1335.6 X15 No.5 WING W.B.T (S) 1335.6 X16 No.6 D/B W.B.T (P) 440.6 X17 No.6 D/B W.B.T (S) 440.6 X18 A.P. T (P) 507.5 X19 A.P. T (S) 507.5 X20 

Add rows as necessary

22 
STEP 2006 Application Form 

Section 3.0: Proposed Ballast Water Treatment System 

SECTION 3.0: PROPOSED BALLAST WATER TREATMENT SYSTEM

Provide a complete description of the proposed ballast water treatment (BWT) system, 

including Information on the treatment process(es), design criteria, physical 

configuration, electrical, instrumentation and control systems, O&M requirements, health 

and safety issues and cost estimates. This section contains a series of text and figure 

boxes and standard tables to be completed by the Applicant. The Applicant must also 

identify specific drawings for the proposed BWT system, and provide copies of the 

drawings in Appendix A of the application. 

3.1 BWT System Overview 

Summarize research and development activities supporting the STEP application for 

your BWT system, for example, the prototype development history, and tests for 

treatment performance from an engineering point of view, that is, optimization for 

efficacy of removal or inactivation of biological organisms.

3.1.1 General Description of BWT System

 Provide a general description of the proposed BWT system including treatment 

stages, physical configuration, materials of construction, principles of operation, 

and integration with the shipboard ballast system. Refer to the process flow 

diagram to be provided by the applicant under Section 3.1.5 to clarify the written 

description. Identify each treatment stage by number (i.e., Stage 1, Stage 2, 

etc.). 

 Provide information about applications of the treatment technology both in ballast 

water treatment and in other applications. 

TEXT BOX: General description of BWT system 

NEI Treatment Systems first began the development of the Venturi Oxygen Stripping 

(VOS) system in February of 2002. VOS is physical deoxygenation using a “singlepass” in-line design. Biological testing of the treatment system began at the 

Chesapeake Biological Laboratory in 2003. Land-based testing with a 300 m3/hr pilot 

scale system was completed in 2004. Shipboard trials using a 1,000 m3/hr system 

installed on a 40,000 dwt vessel began in 2005. NEI has installations on three new build 

chemical tankers and one dry bulk carrier in addition to APL’s container vessel. 

NEI’s VOS ballast water treatment (BWT) system reduces the dissolved oxygen in 

ballast water creating a lethal environment to aquatic biota in the ballast water. The one 

stage VOS process is comprised of two steps; first the inerting of ballast tanks during 

ballast discharge and then the entrainment of very low oxygen inert gas into the ballast 

water using venturi injectors. 

The VOS System requires shipboard installation of four main components; an inert gas 

generator (IGG) installed in the machinery space of the ship, a ballast line riser loop 

containing a venturi injector installed immediately downstream of the ballast pump(s), a 

piping manifold delivering inert gas to; the venturi injector and the ballast tanks, valves 

and venting equipment providing isolation and pressure / vacuum protection for the 

ballast tanks and piping network. The IGG is very similar to a cargo IGG used on many 

tankers. The diesel burning IGG’s produce very low oxygen (< 0.2%) inert gas. The 

ballast tank P/V protection system is also similar to what is found on tankers, for their 

23 
STEP 2006 Application Form 

Section 3.0: Proposed Ballast Water Treatment System 

cargo tanks. Manufactured components are constructed with standardized materials 

aimed to reduce corrosion and providing extended use. 

The VOS system utilizes the vessels electrical supply, cooling water, fuel, and control 

air. Each ballast treatment event is monitored and recorded through the use of; 

pressure transmitters, an O2 sensor, and a ballast water temperature probe. A 

programmable logic controller (PLC) and data recorder (flash) records and controls 

treatment performance by regulating each element of the system and recording 

treatment data. Crew operation of the system record keeping and reporting of treatment 

is made simple by this feature. 

Description of Treatment: 

The first step of the treatment process is filling the ballast tank head space with inert gas 

as the ship de-ballasts creating a low oxygen environment in the empty ballast tank. 

Ballast tanks are P/V protected but closed to the atmosphere. 

Before ballast is pumped onboard, the IGG is started and stabilized to prepare for the 

second step. Once the IGG is stabilized the mast vent riser and the valves to the venturi 

injector are opened. When ballast is pumped aboard, it passes through the venturi 

injector and inert gas is educted into the ballast water flow as micro-fine bubbles. This 

creates a ballast water / low oxygen gas emulsion on the downstream side of the venturi 

injector. As the ballast and inert gas flow to the ballast tanks, dissolved oxygen is 

stripped from the water by the inert gas. It takes approximately ten seconds to diffuse 

almost all the dissolved oxygen from the ballast water and leave the ballast water with 

approximately 90% less dissolved oxygen than before treatment. The low concentration 

of dissolved oxygen in the ballast water leaves the water in a hypoxic state. The rapid 

change in the treated ballast water to a hypoxic condition causing asphyxiation is the 

primary mechanism of biological treatment. 

Step one then in then completed again when ballast water is discharged from the vessel. 

As the ballast tanks empty inert gas is pumped into the head space. The ballast water is 

pumped back through the venturi injector and re-aerated using fresh air, instead of inert 

gas, reestablishing a normal DO concentration. At this time the oxygen concentration of 

the water is reestablished. 

TEXT BOX: Other applications of treatment technology 

Deoxygenation is used in practices where a non-corrosive environment is advantageous 

to process conditions. The absence of oxygen preserves products normally oxidized in 

standard conditions. 

Aquifer storage recovery facilities are using deoxygenated water for periodic well 

maintenance to maintain viable recovered flows. 

3.1.2 Method of Treatment 

• Describe the treatment mechanism and target organisms for each treatment 

stage of the BWT system. The treatment method should be generally be 

classified as inactivation, sterilization, physical removal or physical disruption. 

The target organisms should be classified as zooplankton, phytoplankton, 

protozoa, bacteria and virus. Define other categories if the treatment mechanism 

24 
STEP 2006 Application Form 

Section 3.0: Proposed Ballast Water Treatment System 

or target organisms do not fall into any of these categories. Add text boxes for 

additional stages, if necessary. 

TEXT BOX: Method of Treatment—Stage 1 

When organisms consume oxygen to the point where the dissolved oxygen (DO) within 

the water falls below 1.0 mg/L, a hypoxic condition results. If deoxygenation happens in 

an ocean, a dead zone will form and biological activity becomes limited. The VOS 

system generates a hypoxic condition in the ballast tanks. Using the Henry’s Law 

constant for oxygen, it is possible to calculate the required volume of low oxygen gas a 

given influent water requires to lower the dissolved oxygen below 1.0 mg/l. The removal 

of DO is a physical process, and is not related to, or affected by water chemistry, 

suspended particulate matter, dissolved organic matter, salinity, pH, or turbidity. A water 

treatment system based on this deoxygenation process is effective and reliable in all 

water conditions. 

While the DO concentration in water can range from 4 - 14 milligrams per liter (mg/L), at 

standard pressure and temperature the normal equilibrium DO concentration in natural 

water is approximately 7.0 mg/l. This holds true because though the concentration of 

oxygen in air is 21 percent by volume only a small amount of oxygen naturally dissolves 

into water. 

By creating a gas with a very low oxygen concentration, the VOS System significantly 

lowers the partial pressure of oxygen in the gas. As a result, DO diffuses from the now 

relatively higher partial pressure (oxygen) in the ballast water to the lower partial 

pressure oxygen atmosphere in the inert gas. 

Using the volume of gas introduced by the VOS system (1.25 X ballast water flow), the 

DO in the ballast water cannot fall below 0.2 mg/l, in practice it does not fall below 0.5-

0.4 mg/l DO. The trace level of oxygen remaining in the treated ballast water acts to 

prevent anoxic growth. The presence of greater than 0.1 mg/l of DO is adequate to 

prevent the growth of undesirable sulfur-reducing bacteria. 

For zooplankton and phytoplankton the primary mechanism of the VOS Treatment is 

inactivation through asphyxiation due to the rapid removal of respirable DO. Disruption 

due to cavitation through the venturi injector also contributes to treatment. Bacteria and 

protozoa are capable of maintaining their osmotic potentials when interferences are 

small or gradual. The change in concentration of dissolved gases is driven by relative 

partial pressure differences created quickly enough to disrupt cell functions. 

3.1.3 BWT System Shipboard Applications 

• Discuss the range of shipboard or shore-side applications for the proposed BWT 

system, including sizes and types of ships for which it would be intended, uptake 

versus discharge treatment, standard treatment capacities, new or retrofit 

shipboard applications, etc. 

25 
STEP 2006 Application Form 

Section 3.0: Proposed Ballast Water Treatment System 

TEXT BOX: BWT System Applications 

NEI’s VOS system will work on ships using a ballast pump. Treatment is performed in 

the main ballast line during ballasting. It can be used in any type of water, and does not 

require the use of a filter. Size or type of vessel or cargo does not influence the ability of 

the VOS system to complete ballast water treatment. 

VOS is not a modular system it is scaled to accommodate the vessel’s ballast pump 

capacity and designed to the vessel’s ballasting configurations. Because most ballast 

systems include the flexibility of pumping at half capacity, most VOS installations have 

the venturi injector installed as a pair of venturi injectors. At half capacity one venturi 

injector is used. For the APL England only one venturi injector is installed because only 

one ballast pump is used during any ballasting event. The method of discharge for the 

ballast water is also important for the design of the VOS system. If a vessel releases its 

ballast above the water line, the turbulence created as it falls to the water is enough to 

re-aerate the water. On ships where the ballast is discharged below the water line, the 

ballast water must re-aerate by passing through the venturi injector provided with 

atmospheric air. 

The VOS system can be integrated into every type of vessel NEI has encountered. NEI 

has completed installations on an integrated tug-barge, and a dry bulk carrier. Currently 

three new builds, two 20,000 DWT chemical tankers, and a 7,700 DWT chemical tanker 

are almost complete, and two retro fits one aboard a 36,000 bulker and one on the 

APL’s 5,500 teu are ongoing. 

NEI has provided designs and proposals for a variety of vessels; heavy lift ships, LNG 

carriers, naval logistics vessels, RoRo’s, container ships, bulkers and tankers. These 

proposals were for vessels covering of a wide range of ballasting rates (200 m3/hr – 

37,000 m3/hr). A design for an 8,000 m3/hr VLCC has been approved by the Hyundai 

Heavy Industries shipyard. 

 For retrofit installations, particularly, the largest limitation on the installation of the VOS 

system is the inert gas piping installation. The placement of VOS components is 

relatively flexible and no filters are required. Certain allowances must be made to modify 

elements of existing vessel design, most notably to the ballast tank venting system, and 

the ballast line riser loop for the venturi injector(s). 

Other shore-side applications of the VOS system have yet to be actively explored, 

though deoxygenating aquifer re-injection water is one potential application. 

3.1.4 BWT System Limitations 

• Discuss limitations/constraints of the proposed BWT system for shipboard or 

shore-side applications. These limitations may include capacity limits, raw water 

quality limits, effluent discharge limits, issues regarding chemical residuals, 

ballast tank corrosion impacts, re-piping requirements, waste stream disposal 

issues, special storage requirements for hazardous chemicals, etc. 

26 
STEP 2006 Application Form 

Section 3.0: Proposed Ballast Water Treatment System 

TEXT BOX: BWT System Limitations 

To achieve complete phytoplankton removal, water must be held in the ballast tanks for 

four days. Complete elimination may not occur using the current VOS system on 

voyages with ballast hold times of a shorter duration. 

Any type of water can be treated by the VOS system without active substances or 

filtration. Discharge of VOS treated water has been proved by both acute and chronic 

bioassay-toxicity testing to be completely non-toxic and environmentally benign. 

Re-piping is necessary for installation of the VOS system. This includes what is needed 

to convey the inert gas to the individual ballast tanks, and the venturi injector(s) installed 

in a riser loop branching from the ballast line. 

The VOS system IGG generates a dilute washwater/cooling water discharge. The EPA 

allows Inert Gas Generator wash water to be discharged under their NPDES Vessel 

General Permit. Section 5.5.1 of the “Vessel General Permit For Discharges Incidental 

To The Normal Operation of Vessels” states, “For vessels which have an inert gas 

system, the effluent produced from inert gas scrubbers (IGS) may be discharged into 

waters subject to this permit”. 

VOS is not capacity limited because it will always be possible to build a correctly sized 

IGG and treatment itself takes place inline with the ballast system. Treatment 

performance is independent of water type or raw water quality. The VOS system makes 

no use of filters or active substances no hazardous substance storage area is required. 

The impact of the VOS treatment system on corrosion rates has been tested and 

indicates a significant lowering of corrosion rates. See the Appendix E within the 

“Application for Type Approval Certification” for a copy of these corrosion reports. 

3.1.5 BWT Process Flow Diagram 

• Provide a process flow diagram of the proposed BWT system showing the main 

treatment processes, chemicals, and monitoring and control devices for the 

system (Figure 3-1 “Process Flow Diagram of Proposed Ballast Water Treatment 

System”). This figure should only describe the BWT system’s internal processes; 

Section 3.3 includes all the required information for the onboard system 

configuration and ship’s system interfaces. Provide the following information, 

properly labeled and located on the diagram: 

o Treatment stages (show each stage as a box on the diagram) 

o Treatment chemicals and application points 

o Recycle streams 

o Waste streams 

o Monitoring and control devices for measuring pressure, temperature, flow, 

water quality, power, chemical residuals, etc. 

o Utility connections (power, water, compressed air, etc.) 

27 
STEP 2006 Application Form 

Section 3.0: Proposed Ballast Water Treatment System 

FIGURE BOX 3-1: BWT Process Flow Diagram 

See drawing VOS1000-1 sht1-2 VOS Ballast Treatment System Basic Flow Diagram, in 

Appendix A. 

28 
STEP 2006 Application Form 

Section 3.0: Proposed Ballast Water Treatment System 

3.1.6 BWT System Photographs

• If desired, provide digital photographs (JPG image format; max 4” x 6” at a 

maximum resolution of 100 pixels per inch) of the proposed BWT system in the 

photo box that follows. All photographs should be labeled, and should include a 

clear indication of size/scale. A maximum of two pages of photographs may be 

provided. 

PHOTO BOX: BWT System Photographs 

INERT GAS 

GENERATOR 

29 
STEP 2006 Application Form 

Section 3.0: Proposed Ballast Water Treatment System 

VENTURI 

INJECTOR 

30 
STEP 2006 Application Form 

Section 3.0: Proposed Ballast Water Treatment System 

3.2 Design Criteria 

In this section, the Applicant provides process and equipment design criteria for the 

proposed BWT system. Standard descriptions, terminology and measurement units must 

be used so that design criteria can be directly assessed. A series of design criteria 

tables is provided to cover basic process design criteria for the overall BWT system and 

more detailed process and equipment design criteria for each treatment stage. 

As the tables were developed to cover a variety of treatment types, it is expected that 

the Applicant will delete sections and tables for particular treatment types that are not 

pertinent to the BWT system being proposed. 

3.2.1 Process Design Criteria

• Complete Table 3-1 to define the process design criteria for the proposed BWT 

system and its treatment stages. The table specifies standard measurement 

units and terminology. If these units or terms do not apply to the proposed BWT 

system, the Applicant may use different ones, but must provide an explanation. 

Particulars of Table 3-1 are explained below: 

o Design flows—Indicate design flows for a single BWT module. If higher flows 

can be handled by manifolding treatment modules, provide an explanation 

under Comments.

o BWT Point of Treatment—The BWT system is typically designed to provide 

treatment on ballast water uptake, discharge, in-tank storage or at multiple 

locations. Select one or more of these locations for the proposed BWT 

system. If there is a preferred location, provide an explanation under 

“Comments”.

o Treatment Stage Type—Provide a short description of the type of treatment 

process being used for each stage of the BWT system using the standard 

terms listed in the table. Add any clarifications under “Comments”.

o Treatment Mechanism— Provide a short description of the treatment

mechanism for each stage of the BWT system using the standard terms listed 

in the table. Add any clarifications under “Comments”.

o Target Organism—Provide a short description of the target organism(s) used 

for assessing treatment removal or inactivation of target organisms (i.e. 

performance), including dose-response, for each stage of the BWT system 

using the standard terms listed in the table. Add any clarifications under 

“Comments”.

31 
STEP 2006 Application Form 

Section 3.0: Proposed Ballast Water Treatment System 

Table 3-1: Process Design Criteria for Proposed BWT System 

Design Parameter Units Criteria/Description Comments 

BWT System 

Design Flows 

 - Maximum MT/hr 1000 VOS can be scaled to any 

 - Average MT/hr 1000 Required BW flow rate 

 - Minimum MT/hr 1000 

Number of Treatment Stages No. 1 

BWT Point of Treatment 

 

Downstream of the venturi 

injector in the VOS riser loop 

within the ballast trunk line, and 

ballast tanks. 

The VOS riser loop branches from 

the main ballast line downstream of 

the ballast pumps. The line rises to 

a height above the maximum water 

level of the ballast tanks where the 

venturi injectors are located. 

Treatment Stage No.1 

Treatment Process physical disruption (VOS 

treatment process is primarily 

physical deoxygenation) 

The venturi injector mixes low 

oxygen inert gas with water, striping 

more than 90% of the dissolved 

oxygen from the ballast water. The 

physical cavitation within the venturi 

injector mixing zone shears 

zooplankton and phytoplankton. 

Treatment Mechanism inactivation, disruption 

(asphyxiation and shearing) 

Water exposed to very low oxygen 

IG from the IGG gives up its DO to 

the gas; DO concentrations of VOS 

treated water drop to levels lower 

than is required to sustain 

respiration. 

Target Organism zooplankton, phytoplankton, 

protozoa, bacteria, 

The condition of the treated water 

does not sustain zooplankton, 

phytoplankton, protozoa, or 

regulated bacteria. 

3.2.2 Treatment Stage Design Criteria: Physical Removal, Physical Disruption, 

Thermal Treatment

• Complete Table 3-2a if the proposed BWT system includes physical 

removal, physical disruption or thermal treatment as a treatment stage. 

The design criteria are grouped into eight categories: General, Design 

Flow, Primary Treatment Unit, Ancillary Treatment Equipment, Treatment 

Stage Replacement Components, Treated Ballast Water Quality (NonBiological), Waste Stream Flows and Waste Stream Quality. If critical 

design parameters for the proposed treatment stage are missing from the 

table, the Applicant should add additional rows, starting with the row 

marked “Other.” Use the “Comments” column to provide any clarifying 

32 
STEP 2006 Application Form 

Section 3.0: Proposed Ballast Water Treatment System 

33 

comments on particular design criteria values. Further explanations of 

Table 3-2a particulars are provided below: 

o Treatment Stage Number—Use the Treatment Stage number (as assigned 

by the Applicant, e.g., 1,2, etc.) from Table 3-1 for each treatment stage of 

the BWT system.

o Manufacturer/Model No.—Provide the equipment supplier names and model 

nos. for each major equipment item comprising the treatment stage. If the 

item is a one-off prototype, indicate such.

o Design Flows—Indicate design flows for the treatment stage.

o Primary Treatment Unit—Defined as a treatment unit that provides some 

level of treatment for the BWT system. For example a filter strainer is 

considered a primary treatment unit, but a power supply cabinet is not.

o Ancillary Treatment Equipment—Defined as equipment or instrumentation 

that supports the functionality of the primary treatment unit. For example, a 

chemical feed system used to clean a membrane filter is considered ancillary 

equipment.

o Treatment Stage Replacement Components—Defined as components that 

must be replaced at fixed time intervals during the service life of the BWT 

system. 

o Expected Service Life—For treatment stage replacement components, the 

expected service life is the time interval between replacement events. The 

Applicant should assume a default value of 24 BWT operations per year, 

unless presenting the known frequency from ship operations data, and 

normal shipboard wear and tear conditions in calculating the expected 

service life.

o Treated Ballast Water Quality (Non-Biological)—Provide information on basic 

water quality parameters of treated ballast water when discharged from the 

vessel, for example, characterizing changes in temperature, pH, total 

suspended solids (TSS), salinity, and dissolved oxygen. These should be 

presented as ranges to reflect the range of anticipated ballast raw water 

quality conditions. 

o Waste Stream Flow/Quality—Waste stream flows may occur continuously or 

intermittently during routine operation of the BWT system. Identify whether 

waste stream(s) are continuous or intermittent, and whether or not the wastes 

are generated as byproducts of the treatment process. Examples include 

backwash water for cleaning particulate filters, concentrate flows from 

membrane processes, and saturated filter media. The Applicant must specify 

ranges for waste stream flows, durations, volumes and water quality to reflect 

the range of anticipated ballast raw water quality conditions.
STEP 2006 Application Form 

Section 3.0: Proposed Ballast Water Treatment System 

Table 3-2a: Treatment Stage Design Criteria for Proposed BWT System - Physical Removal/Disruption and T

Design Parameter Units Criteria/Description Co

General Information Treatment Stage Number No.__1__ 1 

[O

Manufacturer Mitsubishi Kakoki Kaisha, LTD [OModel No. 1250m3/hr [OBWT Design Flow  - Maximum MT/hr 1000  - Average MT/hr 1000 Design  - Minimum MT/hr 800 Primary Treatment Unit Type -- Thermal oxidizing IGG producing very low 

oxygen inert gas. 

[O

Method of Removal/Disruption/Inactivation -- Inert gas is educted (via a venturi injector) into 

ballast water, stripping out dissolved oxygen.

[O

Minimum Particle Size Removed/Disrupted 

micron N/A [O

No. of Units Per Treatment Stage No. 1 [OCapacity Per Unit M3/hr 1250 m3/hr Unit is designed t

very low oxygen 

ballast capacity o

1000 

Materials of Construction -- Stainless steel flanged and sealed with 

standard water service, aramide fiber 

containing buna-N binder, gaskets. Gaskets 

expected not to be wetted. 

Burner and flame housing composed of 

stainless steel and high temperature grade 

stainless steel containing flanged joints sealed 

with high temperature flange gaskets. 

Gaskets do not experience wetting. 

The individual co

listed in chart 

instruments, and a

in A

34 
STEP 2006 Application Form 

Section 3.0: Proposed Ballast Water Treatment System 

Carbon steel piping is used for blower air and 

inert gas piping. Stainless steel piping is used 

for cooling, wash water. Seals will experience 

wetting. Standard water service, aramid fiber 

containing buna-N binder, gasket material. 

Overall Dimensions (L x W x H) cm 370 x 173 x 270 [ODry Weight kg 4,000 [OWet Weight kg 4,250 [OInlet Pipe Size cm 15 diameter [IneOutlet Pipe Size cm 15 diameter [InePower Requirements kW 40 rated / 25 run [OOther -- [Add additional design criteria if necessary 

(one criterion per row)] 

[O

Fuel Usage L/hr 125 [OCooling Water m3/hr 125 A

35 
STEP 2006 Application Form 

Section 3.0: Proposed Ballast Water Treatment System 

Table 3-2a (continued) 

Design Parameter Units Criteria/Description Co

Ancillary Treatment Equipment Type 400 mm Venturi injector is used to inject the IG into the 

ballast water, creating micro-fine inert gas 

bubble, ballast water emulsion. It allows the 

formation of micro-fine bubbles, accelerating 

the diffusion of dissolved oxygen from the 

aqueous phase to the gas phase. The violent 

shearing environment produced at the eductor 

port causes damage to the larger incoming 

organisms. 

[O

No. of Units Per Treatment Stage No.__1__ One unit is needed for operation; two are 

installed for applications with two flow rates 

(where multiple ballast pumps can operate 

together or individually). 

[O

Capacity Per Unit MT/hr 800-1000 [OMaterials of Construction -- The unit is solid stainless steel. Unit will be 

flanged into piping. Seal will be wetted and 

will be performed by standard water service, 

aramide fiber buna-N binder, gaskets. 

[O

Overall Dimensions (L x W x H) cm 177 x 58 x 58 [ODry Weight kg 200 [OWet Weight kg 225 [OInlet Pipe Size cm 40 [Ballast Outlet Pipe Size cm 40 [Ballast Power Requirements kW None [OOther -- [Add additional design criteria if necessary 

(one criterion per row)] 

[O

Treatment Stage Replacement Components Type -- Ignition electrode (spark plug) and 

connections 

36 
STEP 2006 Application Form 

Section 3.0: Proposed Ballast Water Treatment System No. of Components Per Treatment Stage No. 1 [OExpected Service Life months N/A Will be repOther -- [OType -- Various electronics such as relays, circuit 

breakers, switches, transmitters, etc. 

Will be rep

No. of Components Per Treatment Stage No. See Maintenance Requirements TEXT BOX 

for entire list. 

[O

Expected Service Life months N/A Will be repOther -- A complete set should be kept aboard. [OType -- Solenoid valves and coils [ONo. of Components Per Treatment Stage No. 3 fuel valves and 7 solenoid operated butterfly 

valves 

[O

Expected Service Life months A spare fuel valve and replacement coils 

should be kept on board. It is possible the 

solenoid valves will have to be replaced after 

5-10 years. 

[O

Other -- [Add additional design criteria to fully specify 

replacement components (one criterion per 

row)] 

[O

37 
STEP 2006 Application Form 

Section 3.0: Proposed Ballast Water Treatment System Type -- Oxygen analyzer replacement cells and 

sample filter 

[O

No. of Components Per Treatment Stage No. 1 [OExpected Service Life months 12-24 Will be reOther -- Spare components should be kept aboard. [OType -- Blower Belt [ONo. of Components Per Treatment Stage No. 6 [OExpected Service Life months N/A Will be repOther -- Spares should be kept aboard. [OType -- Flame scanner [ONo. of Components Per Treatment Stage No. 2 [OExpected Service Life months N/A Will be rep

38 
STEP 2006 Application Form 

Section 3.0: Proposed Ballast Water Treatment System Other -- Spare should be kept aboard. [OType -- Demister Pad [ONo. of Components Per Treatment Stage No. 1 [OExpected Service Life months N/A Will be repOther -- A spare component should be kept aboard. [OType -- Blower and fuel starter contacts [ONo. of Components Per Treatment Stage No. 1 set of contacts for the blower and 1 set for 

the fuel pump 

[O

Expected Service Life months 60 Will likely be rOther -- [OType -- IGG burner cone [ONo. of Components Per Treatment Stage No. 1 [O

39 
STEP 2006 Application Form 

Section 3.0: Proposed Ballast Water Treatment System Expected Service Life months 120 Will likely be reOther -- [OType -- Valve actuator seal kits [ONo. of Components Per Treatment Stage No. 11 butterfly valves [OExpected Service Life months 120 Will likely be reOther -- [OType -- Output module and Analog module for the 

PLC 

[O

No. of Components Per Treatment Stage No. 1 [OExpected Service Life months 120 Will likely be reOther -- [OType -- Water Spray Nozzles [O

40 
STEP 2006 Application Form 

Section 3.0: Proposed Ballast Water Treatment System No. of Components Per Treatment Stage No. 1 [OExpected Service Life months 120 Will likely be reOther -- [O

41 
STEP 2006 Application Form 

Section 3.0: Proposed Ballast Water Treatment System 

Table 3-2a (continued) 

Design Parameter Units Criteria/Description Co

Quality of Treated Ballast Water at Discharge (Non-Biological) Change in Total Suspended Solids (TSS) Concentration, Range 

mg/L Unchanged by VOS [O

Change in pH, Range unit Lowered by 1-1.5 pH units Discharged wate

pH units due to 

concentration. Sh

no observable d

discharge and a

d

Maximum Water Temperature Rise deg C 0 [OChange in Salinity, Range mg/L 0 Change in Dissolved Oxygen, Range mg/L 0 Maybe elevated 

durin

Other Treatment By-Products -- None [OOther -- [OWaste Stream Flows Type -- None [ODischarge Flow Range Per BWT Event L/min N/A [ODischarge Duration Range Per BWT Event 

Min. N/A [O

Total Discharge Volume Range Per BWT Event 

liters N/A [O

Waste Stream Water Quality  - TSS Concentration Range mg/L N/A [O - pH Range unit N/A [O

42 
STEP 2006 Application Form 

Section 3.0: Proposed Ballast Water Treatment System 

43 

 - Maximum Water Temperature Rise deg C N/A [O - Other -- [Add additional waste stream criteria if needed 

(one criterion per row)] 

[O
STEP 2006 Application Form 

Section 3.0: Proposed Ballast Water Treatment System 

3.3 Physical Configuration 

In this section, the Applicant provides detailed descriptions of the physical configuration 

of the BWT system onboard the ship. Vessel safety issues associated with the 

installation, operation and maintenance of the proposed BWT system should also be 

addressed. The Applicant must include treatment equipment drawings (“cut sheets”) 

and drawings showing all significant interfaces with existing shipboard systems, 

including equipment arrangements, all connections to ship’s piping systems, and 

foundations. Reference these drawings in Table 3-3 and include them in Appendix A. 

3.3.1 General Description

• Describe the onboard physical configuration of the BWT system including 

general arrangement of installed equipment, utility connections (power, water, 

air), interconnections with shipboard piping and equipment, storage 

requirements, other ancillary requirements, etc. Refer to any photographs in 

Section 3.1.6 or Drawings in Appendix A to support the narrative description. 

TEXT BOX: Description of BWT Physical Configuration 

The VOS system’s main component, the IGG, is located aft of the main bulkhead in the 

engine storage room #5 on a platform elevated 2600 mm from the 2nd deck. Drawing # 

2213-02-1 Sheet 2 depicts the location and drawing # 2213-03-1 details the platform. 

From the IGG, inert gas passes through a double block and bleed valve configuration 

providing positive isolation of both the ballast tanks and the IGG. IG is valved to flow to 

the venturi injector or to the ballast tank manifold, drawing # 2213-02-1 Sheet 1. This 

manifold connects the head space of each ballast tank to the IG line. The ballast tank 

manifold terminates at the forecastle deck where gas is vented through a mast vent 

riser. The IG manifold is also pressure / vacuum protected by a P/V breaker and a P/V 

valve. See drawing # 2213-01-1 for the routing of the IG delivery lines (manifold) and 

location of the related control valves and vents. 

The venturi injector is located downstream of the ballast pump just below the 2nd deck. 

The main ballast line is rerouted byway of the ballast riser loop from the ballast line up to 

the venturi injector and back down to the ballast line teeing into the existing ballast over 

pressure protection loop, as it returns to the main ballast line. See drawing # 2213-02-1 

Sheets 1-3 for a complete schematic and details of the location of the ballast 

connections. 

A cooling water pump will draw from the ship’s sea chest to cool the IGG and the 

treatment gas. 

The VOS control system connects into the ship’s compressed air service twice and 

electrical supply once. The VOS Main Cabinet located on the IGG control main panel is 

connected to the ship’s 440V 100 amp electric supply. All VOS electrical power is 

supplied from here. The pneumatic system on the IGG skid is supplied by one 

connection and the pneumatics for the remainder of the system are supplied by a 

second connection to the ship’s air. See process flow diagram for a depiction. 

Replacement parts and topping liquids required for component upkeep must be stored 

aboard the ship. For a list of these items see TEXT BOX: Maintenance Requirements. 

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Section 3.0: Proposed Ballast Water Treatment System 

45 

3.3.2 Drawings

• In Table 3-3, list the engineering drawings for the proposed BWT system 

provided in Appendix A, including titles and numbers of the drawings. Use 

the following guidelines to the extent possible: 

o Ensure that all sub-vendors coordinate the information content of their 

drawings to avoid contradictions within the package 

o Ensure that each drawing submitted has a unique title, drawing number, 

revision number(s) and date(s), revisions indicated in the body of the 

drawing (circled or bubbled to highlight changes), page numbering (if a 

drawing consists of multiple sheets), and drawing date 

o Provide clean, legible copies 

• Provide BWT equipment drawings (“cut sheets”) for major equipment 

components, including individual treatment components, power panels, pumps, 

and any other equipment provided by the vendor(s). At a minimum, the drawings 

should show the following information: 

o Plan and section views of major equipment components showing all 

critical dimensions and minimum clearance requirements on scaled 

drawings 

o Physical arrangement of skid-mounted or containerized equipment and 

interconnection piping on scaled drawings 

o Labels on all equipment, piping, instruments, and appurtenances 

o Location and size of piping and utility connections (water, power air) 

o Location and size of power supply panels and enclosures 

o Location of monitoring and control equipment 

• Provide shipboard installation drawings showing how the proposed BWT system 

will be integrated with existing shipboard equipment. The drawings should 

clearly identify existing and new equipment and piping systems. At a minimum, 

the drawings should show the following information: 

o Physical arrangement of existing onboard ballast system equipment on 

scaled drawings, including compartment names and numbers 

o Physical arrangement of new BWT equipment and integration with 

existing equipment on scaled drawings 

o Structural and other significant physical features (major structural frames, 

bulkheads, doors, ladders. etc.) 

o Piping layouts for entire BWT system showing all piping, fittings, 

instrumentation and appurtenances 

o Means of access/egress in shipboard area where BWT system is located 

o Clearances for equipment access and removal 

o Power supply panels and conduits 

o Names and numbers of affected machinery components 

o Ballast tanks, cargo holds and any other compartments affected by the 

proposed BWT system

o Foundations or skid mounting
STEP 2006 Application Form 

Section 3.0: Proposed Ballast Water Treatment System 

Table 3-3. BWT System and Installation Drawings Provided in Appendix A 

Title Dwg. Number and Revision Date Prepared by (vendor, 

design firm, o

BWT equipment drawings 

Specification of IGG Unit Mitsubishi Kakoki Kaisha, LT

IGG Equipment, Instruments, Automatic Valve List Mitsubishi Kakoki Kaisha, LT

Venturi Injector RAW-16098LF 10/15/08 Mazzei Injector Co. LLC 

Spectacle Flange 00-000-01 4-29-09 NEI Treatment Systems VOS System IGG 360864 10/9/08 Mitsubishi Kakoki Kaisha, LTVOS System Outline Drawing Y-112823 10/9/08 Mitsubishi Kakoki Kaisha, LTVOS System Structure Drawing Y-112824 10/9/08 Mitsubishi Kakoki Kaisha, LTVOS System Unit Drawing Y-112822 10/9/08 Mitsubishi Kakoki Kaisha, LTVOS System Fuel Oil Line Y-112835 10/9/08 Mitsubishi Kakoki Kaisha, LTBallast Control Cable Arrangements A7124-IG-M1 12-27-07 Technical Marine Service 

Shipboard installation drawings 

VOS Basic Flow Diagram VOS 1000-1 3/27/09 NEI Treatment Systems General Arrangement 2213-01-1 11/6/08 Pfitzco Inc. - Marine EquipBallast Connection 2213-02-1 shts 1-3 11/6/08 Pfitzco Inc. - Marine EquipIGG Platform 2213-03-1 11/6/08 Pfitzco Inc. - Marine EquipAdd rows if needed. 

46 
STEP 2006 Application Form 

Section 3.0: Proposed Ballast Water Treatment System 

3.4 Shipboard Support System Requirements 

• Describe shipboard support system requirements, with reference to the pertinent 

drawings in Table 3-3, including: 

o Ventilation and environmental control 

o Fire/hazard suppression 

o Compressed air 

o Fresh water 

o Salt water 

o Others 

TEXT BOX: Support System Requirements 

The VOS system IGG is located in the machinery space, ventilated and using fire 

protection already provided to this area of the vessel. The signals from the control panel 

sent forward of the main bulkhead are 4-20 milliamp signals and are incapable of 

sparking. The sensors and switches used in the VOS system are intrinsically safe 

models, suitable for use forward of the bulkhead of a container vessel or a tanker. 

The VOS control system contains pneumatically actuated valves using ship’s air. This is 

sourced at two points, the IGG and to the bank of the solenoid valves controlling the 

remote butterfly valves. Each supply connection is filtered and fitted with a pressure 

gauge. The solenoid valves direct ship supplied air to the delivery valves. The control 

system consumes < 2 m3/hr of air. 

A vent to atmosphere routed through the funnel vents IG while the IGG is stabilizing and 

when IG is not required for treatment or tank inerting (in stand-by mode). 

Sea water performs cooling of the IGG system. It requires 100 m3/hr at 2-4 bar. Cooling 

water discharge is performed by gravity and regulated by a modulating valve to prevent 

IG escaping with the cooling water. 

3.5 Electrical, Instrumentation and Control Requirements 

The purpose of this section is to provide detailed descriptions and standard drawings on 

the electrical, instrumentation and control (EI&C) requirements of the BWT system. Text 

boxes are provided below for detailed descriptions. Drawings should be crossreferenced in Table 3-3, with copies included in Appendix A of the application. 

3.5.1 General Description

• Describe the EI&C components of the proposed BWT system and how they will 

be integrated with the existing shipboard ballast system, including: 

o Power demand 

o Main and local control panels 

o Power distribution system 

o Power quality equipment 

o Instrumentation and control system architecture 

o Process control description 

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STEP 2006 Application Form 

Section 3.0: Proposed Ballast Water Treatment System 

TEXT BOX: E, I, & C Components Description 

There are three user interfaces of the control system; a Main Cabinet, a Cargo/Ballast 

Control Room Insert* with touch screen and a Local Control Cabinet / Monitor Panel 

touch screen. The Main Cabinet is mounted on the IGG skid and the Local Control 

Cabinet /Monitor Panel is positioned nearby. The Control Insert is located in the Ballast 

Control Panel in the BCR. 

Three phase 440V power from the ship’s electric system is supplied to the Main Cabinet. 

From here power outputs are sent to the local IGG sensors and switches (24 D/C) as 

well as the IGG solenoid valves (220 V). The Honeywell controller located here 

performs ignition sequence and flam monitoring control. The two other panels receive a 

power signal, a horn signal, and an e-stop signal from the Main Cabinet. 

An ethernet data cable connects the Main Cabinet to the two other panels. The Cargo 

Control Room Insert sends electrical supply to the deck transmitters and switches (24 V 

D/C) and the non-IG mounted solenoids (220 V). The CCR insert also holds the PLC. 

The Local Control Cabinet, mounted close to the IGG, is used for VOS system 

troubleshooting and provides an override of the Cargo Control Room touch screen. 

A wiring diagram for the APL installation titled Ballast Control Cable Arrangements Dwg# 

A7124-IG-M1 is provided in Appendix A. 

A complete electrical diagram and a more detailed summary of the control panel 

information for a similar system is on the CD in “VOS Operations Manual” Appendix C 

(e-page 109 of 305). 

*Many vessels have their ballast controls located in the Cargo Control Room (CCR) the 

APL England has a Ballast Control Room (BCR) the VOS system drawings generally 

refer to the CCR Panel. In the APL England installation any reference to CCR is referring 

to the control panel mounted in the Ballast Control Room (BCR). 

3.5.2 BWT System Monitoring and Control 

• Describe the BWT monitoring and control system, including any control logic for 

meeting the biological removal or inactivation requirements. Specifically, the 

Applicant must describe how results from previous biological testing, and/or 

testing to be completed under the STEP program, are or will be used to establish 

operational setpoints, control loops, control algorithms, alarm settings, etc. for 

routine operation of the BWT system. The BWT monitoring and control system 

will be validated during the long-term testing period under STEP (see Section 

5.7). 

TEXT BOX: BWT System Monitoring and Control 

Monitoring correlates the oxygen concentration of the inert gas, the differential pressure 

across the venturi injector (equates directly to the amount of IG educted into the ballast 

water) and the temperature of the ballast water (equates directly to the DO concentration 

of the influent ballast water) using Henry’s Law to obtain the dissolved oxygen 

concentration of the treated ballast water. The data recorder within the control system 

logs the time and date of each ballast event. Also the tank pressure, the dissolved 

oxygen level in the treated water and the oxygen concentration of the inert gas are 

stored in the memory of the system. 

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Section 3.0: Proposed Ballast Water Treatment System 

VOS testing has proven consistent effective biological treatment resulting from the levels 

of dissolved oxygen recorded by the data logger in the control system (< 1.0 mg/L DO). 

Future studies will provide a variance of voyage conditions and will demonstrate the 

resulting DO levels capable by the VOS system in these conditions. By comparing this 

data collected by the VOS system and the findings of the biological testing, 

Conformation of treatment, or not, can be established for a broader range of operational 

and voyage conditions. 

Set points, control loops, and/or control algorithms relating to treatment doses are not 

expected to change due to additional biological testing. 

Previous testing found the dose-response variable regulating the VOS biological efficacy 

is ballast holding time (when VOS treatment was complete i.e. DO reduced below 

1.0mg/l). 

• Provide EI & C drawings in Appendix A for the proposed BWT system. At a 

minimum, include the following drawings (list in Table 3-3): 

o Electrical one-line diagrams 

o Control system architecture block diagram 

o Process and instrumentation diagrams 

3.6 O&M REQUIREMENTS 

The purpose of this section is to provide information on operations and maintenance 

(O&M) requirements for the proposed BWT system. In general, the Applicant’s 

response should assume an average of 24 BWT shipboard events per year (2 per 

month) in discussing O&M requirements, unless operations data specific to the ship 

are presented. 

3.6.1 Operating Procedures

• Describe start-up, normal and emergency operating and shutdown procedures 

for the BWT system. Discuss power, chemical and any other “consumable” 

requirements. Identify all relevant standard operating procedures (SOPs) and 

provide copies in Appendix A. 

TEXT BOX: Operating Procedures 

The system makes use of three control panels. The Main Cabinet on the IGG skid 

contains the IGG control panel and the VOS system power supply requiring 40 kW, the 

Cargo Control Room Insert in the ballast control room supports the ballast control panel 

with touch screen, and the Local Control Cabinet in the machinery space contains a IGG 

alarm panel with touch screen. 

General operation of the system is performed at the Ballast Control Panel touch screen. 

Two buttons appear on the operations screen 

1. System Start 

2. System Stop 

The System Start button begins the ignition process for the Inert Gas Generator. This 

should be done in expectation of treating or discharging ballast. After ignition, the system 

will reach a steady flame and a constant pressure, then the ballast operation can begin. 

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STEP 2006 Application Form 

Section 3.0: Proposed Ballast Water Treatment System 

A detailed description of the IGG startup routine can be found on the provided CD, in 

“VOS Operations Manual” on pp. 13-16 (e-page 16 of 305). 

To begin a ballasting operation the operator must choose one of the ballasting operation 

buttons on the I.G DELIVERY screen 

1. Load / Treat Ballast 

2. System Standby 

3. Inert Tanks & Discharge Ballast 

The Load/Treat Ballast option allows the vessel to ballast with the VOS system treating 

the ballast water as it is pumped to the ballast tanks. 

The System Standby option allows the operator to pause the ballasting (or deballasting) 

operation and keep the IGG alight. During standby, IG is blocked from going forward and 

vented to atmosphere via the vent valve. 

The Inert Tanks & Discharge Ballast option allows the vessel to discharge ballast and fill 

the ballast tank head space with IG. 

For a normal (Non-Emergency) shut down a phased shutdown routine is initiated by 

pressing the SYSTEM STOP button. This routine brings the fuel and one blower to a 

stop and after a timed delay the cooling water and the second blower are stopped. A 

complete description of the VOS operations can be found on the CD provided, in “VOS 

Operations Manual” on pp. 16-20 (e-page 19 of 305). 

Pushing the EMERGENCY STOP “mushroom” button on the face of the Control Panel 

shuts down the entire system immediately, including the ballast pump(s); a similar 

emergency stop button is located on the IGG Alarm Panel (there is a VOS system 

override to allow the ballast pumps to operated w/o the VOS system). 

The IGG control panel contains a Start and System Stop button which can be used to 

start and stop the IGG unit. It also houses the starters; IGG control relays, switches, 

ignition spark plugs, and Honeywell controller. 

The IGG alarm panel is a touch screen which allows the operator alarm troubleshooting 

and diagnostics for the VOS system. 

A complete list of alarms and conditionals used in the VOS system can be found on the 

provided CD, in “VOS Operations Manual” pp. 21-22 (e-page 24 of 305). 

3.6.2 Maintenance Procedures and Spares

• Describe preventive and corrective maintenance requirements for the proposed 

BWT system, and requirements for spares carried onboard. 

TEXT BOX: Maintenance Requirements 

An inspection of the VOS system should be completed at least once a month. The 

components of the VOS system which require routine maintenance are the inert gas 

generator (IGG) and the P-V valve and breaker. Corrective maintenance will include 

replacing any worn damaged or faulty components, control electronics or sensors. A list 

of likely consumable components parts are be included as a set of spares to be kept on 

board the ship. 

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STEP 2006 Application Form 

Section 3.0: Proposed Ballast Water Treatment System 

The IGG should be checked for any leaks which could include; fuel, cooling water, inert 

gas, combustion or control air. 

The periodic preventative maintenance plan for the IGG includes the following tasks: 

• Check oil level of blowers monthly. If required, top up using 220 wt gear oil. 

• Check condition and tightness of blower drive belts monthly. 

• Change the fuel injector nozzles annually 

• The pilot burner igniter sparkplug should be cleaned and checked monthly 

 and replaced as needed. 

• The pressure relief check/test handle located on the side of the P/V valve unit 

 must be manually lifted monthly. 

• The P/V Breaker unit must be inspected for leaks. The glycol level should be 

 checked through the sight glass on the unit and re-filled when necessary. 

Replacement parts for the VOS system which should be kept onboard are listed below: 

Additional fuel nozzles, ignition connectors, ignition electrodes (sparkplugs), blower 

belts, an oxygen analyzer replacement cell, an oxygen sample filter, a blower circuit 

breaker (60 amp, 3-pole), a fuel pump circuit breaker (5 amp, 3-pole), a spare flame 

scanner, one replacement solenoid coil for each solenoid type (3 total), a backup UV 

amplifier, a replacement demister pad, a cooling water pressure switch, a venturi injector 

pressure transmitter, a replacement PLC power supply, and a set of control panel relays 

(24V and 220 V). 

Replacement parts which are expected to be replaced at a 5 year interval are as follows: 

A control panel circuit breaker (2 amp, 2-pole), blower and fuel pump starter contacts, 

replacement solenoids for the fuel valves. 

Replacement parts which are expected to be replaced at a 10 year interval are as 

follows: 

An IG burner cone, valve actuator seal kits, a blower overload relay, a gas pressure 

transmitter, two air switches, a cooling water temperature switch, an output module for 

the PLC, an analog module for the PLC, and a set of water spray nozzles.

3.6.3 Personnel Requirements 

• Describe personnel requirements for proposed BWT system, including number 

and types of O&M personnel, labor burden (pro-rated man-hours per BWT 

event), and operator training or specialty certification requirements. 

TEXT BOX: Personnel Requirements 

As discussed in TEXT BOX: Health and Safety Matters, the inerted tanks pose a 

potentially serious safety risk. Every crew member aboard must be informed about the 

vessel’s use of the VOS system. The dangers of inert gas with reference to the standard 

procedure of opening and entering the ballast tanks must be presented to crew 

members. 

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STEP 2006 Application Form 

Section 3.0: Proposed Ballast Water Treatment System 

No additional personnel will be needed to run and maintain the VOS system. The VOS 

system is integrated into the ballast control panel. VOS treatment is synchronized and 

occurs during typical ballasting operations. 

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STEP 2006 Application Form 

Section 3.0: Proposed Ballast Water Treatment System 

3.6.4 BWT System Reliability

Describe the overall reliability of the proposed BWT system, including appropriate 

metrics to quantify system reliability (e.g., percent downtime per 1,000 hrs of operation). 

TEXT BOX: BWT System Reliability 

It would be impractical to attempt an estimate of down time at this phase in the 

development of the system. The only way to check the reliability of routine operations is 

through the regular use during testing. 

The VOS system uses components that have been used onboard vessels for many 

decades. The reliability of these components is expected to be the same when used in 

the VOS system. With the correct inspection and maintenance the major components 

are expected to last at least 10 years. 

3.7 Crew Health and Safety, Vessel Safety 

• Describe health and safety risks associated with proposed BWT system, storage, 

handling and disposal of any hazardous wastes and any health and safety 

certification/training requirements for ship operators. List MSDS sheets for any 

hazardous chemicals and provide in Appendix A. Provide relevant portions of 

the ship’s crew health and safety plan in Appendix A. 

TEXT BOX: Health and Safety Matters 

Crew training for the VOS system includes discussion of use of inert gas in the VOS 

system, the gas freeing, and tank entry procedures. Safety considerations associated 

with the operation of the VOS system are very similar to those aboard tankers using IGG 

systems to inert cargo tanks. Detailed instructions for ballast tank gas freeing, testing, 

entry and other safety procedures are outlined in both The International Association of 

Classification Societies (IACS) Rec. No. 72 titled “Confined Space Safe Practice” and 

IMO published MSC Circ. 730, “Recommendations for Ventilation or Inerting of Double 

Hull Spaces”. Every copy of the VOS Operations Manual includes copies of these 

documents. 

These documents can be found on the CD provided, in “VOS Operations Manual” 

Appendix A & B (e-page 84 of 305 & 91 of 305). 

Containing inert gas within an accessible enclosure, such as a ballast tank, is a serious 

safely concern. If an inerted ballast tank is to be entered, it is mandatory to thoroughly 

ventilate the space to ensure no pockets of oxygen-deficient atmosphere remain. To 

allow tank venting and to completely isolate a ballast tank from the IGG a venting 

spectacle blind flange is installed immediately upstream of the inert gas line’s entry into 

the tank. When rotated into the blind position, the spectacle flange allows for venting of 

the ballast tank while simultaneously isolating the inert gas generator from the tank. See 

drawing #00-000-01. 

Atmospheric oxygen sensors will be fitted close to the IGG, and in each water tight 

compartment of the passage ways, in the steering gear room and in the void space of 

the aft of hold #6. 

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STEP 2006 Application Form 

Section 3.0: Proposed Ballast Water Treatment System 

Since the VOS system permanently inerts ballast tanks, this system represents 

increased explosion safety for double hulled oil tankers and vessels with fuel/oil/or 

chemical tanks adjacent the ballast tanks. 

• Provide information showing that the physical configuration of the proposed BWT 

system, particularly interconnections with shipboard piping and equipment, and 

storage requirements, do not negatively affect the safety of the ship. Cite any 

photographs in Section 3.1.6 or drawings in Appendix A to support the narrative 

description. In particular, these may include: 

o Adequate safety interlocks and failsafe measures to ensure subdivision, 

structural integrity, and vessel stability are not compromised 

o Assurance that new piping and flows will not result in unsafe ballasting or 

deballasting situations, e.g., overpressure 

o Assurance that escape arrangements in manned spaces are not 

compromised 

TEXT BOX: Vessel Safety Matters 

In addition to the mast vent riser and the existing ballast line (water) overpressure 

protection loop, the system includes pressure/vacuum protection and isolation 

components. To protect the ballast tanks from over/under pressure as a result of the 

necessary containment of the inert gas, a pressure vacuum valve is installed alongside 

the mast riser vent. This acts to relieve any under and over pressure occurrences within 

the system. A pressure / vacuum breaker is installed as backup should P-V valve fail. A 

double block and bleed valve configuration is installed on the IG line forward of the main 

bulkhead to provide positive isolation of the ship’s engine room from the ballast tanks. 

The double block and bleed will isolate and vent one process side from the other 

(machinery space from ballast tanks) When the VOS IGG is not operating. 

The rate of corrosion of steel in aqueous environments is based on the availability of 

oxygen; therefore a deoxygenation ballast water treatment system would be expected to 

decrease the rate of corrosion of steel and slow coating degradation. 

The VOS system decreases the availability of oxygen in ballast piping and ballast tanks 

by at least 90 percent. Extensive testing of the VOS system demonstrates a 50 to 85 

percent decrease in the rate of corrosion. A summary of these tests and the complete 

results are contained on the provided CD in the “Application for Type Approval 

Certification” Appendix E (e-page 111 of 294).Considering a large percentage of the 

structural steel of a ship is contained within the ballast tanks, this corrosion reduction 

has significant implications for the structural strength of the vessel over the life of the 

ship. 

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STEP 2006 Application Form 

Section 3.0: Proposed Ballast Water Treatment System 

3.8 Cost Estimates 

The purpose of this section is to provide information on major cost factors and cost 

estimates for the proposed BWT system. 

• Complete Table 3-4 using standard cost factors, as discussed below. Capital 

cost information may be provided, but is not required. Operation and 

maintenance cost information is required. 

o Capital costs should be divided into four categories as shown in Table 3.4. 

o O&M costs include power, chemicals, replacement components and 

maintenance. Use the following cost factors for preparing O&M costs: 

 Power unit cost: $0.07/kilowatt-hour 

 Average chemical dose and feed rate (if applicable) 

 Prorated annual cost of replacement components 

 O&M cost allowance: 4% of equipment cost 

 Capital cost recovery factor: 0.130 (5% discount rate over 10 years) 

Use the text box below to explain any additional cost factors or assumptions used in 

preparing the cost estimate presented in Table 3.4. 

TEXT BOX: Cost Estimate Assumptions 

The cost estimate presented below does not include the cost of installation. A quotation 

for this project’s installation has not been formalized. The cost estimate chart has been 

filled in without this information; therefore the normalized total annual cost does not 

include cost of installation. 

Note: In this table cost of treatment, on a per cubic meter treated basis, appears 

inordinately expensive. This is because a container vessel treats a very small quantity of 

ballast. A relatively small bulk carrier or tanker will treat as much ballast in one ballasting 

operation as the England will treat in a year.

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STEP 2006 Application Form 

Section 3.0: Proposed Ballast Water Treatment System 

56 

Table 3-4: Cost Estimates for Proposed BWT System 

Item Cost Component Unit Cost 

Unit Cost Factors 

1 Design Flow (1) MT – hr-1 1000 

2 Number of BWT Events Per Year No. 15 

3 Average Water Volume Treated Per BWT Event metric tons 1,500 

Capital Cost 

4 Vendor-supplied equipment including treatment units, chemicals, 

instrumentation and control devices and control panels 

$ 260,600 

5 Foundations, shipfitting, yard services $ N/A 

6 Piping system including all interconnection piping valves and 

fittings required between vender-supplied equipment and 

shipboard facilities 

$ Ongoing 

7 Electrical, instrumentation and control system including all 

electrical connections, computer software programming and 

related interface issues between vendor-supplied equipment and 

shipboard facilities 

$ 28,400 

8 **WITHOUT INSTALLATION Subtotal (2): $ 289,000 

O&M Cost 

9 Power (3) $ 1,800 

10 Chemicals (4) $ 0 

11 Replacement Components (5) $ 2,000 

12 Maintenance (6) $ 80 

13 Total Annual O&M Cost (7): $ 2,980 

Life-Cycle Cost 

14 Total Annualized Capital Cost (8) **WITHOUT INSTALLATION $ 37,570 

15 Total Annual O&M Cost (9) $ 2,980 

16 Total Annualized Cost (10) **WITHOUT INSTALLATION $ 40,550 

Normalized Costs 

17 Normalized Total Annual Cost (11) **WITHOUT INSTALLATION $/metric ton 1.8* 

Notes: 

 (1) From Table 3-1. 

 (2) Sum of Items 4 through 7. 

 (3) Assume unit power cost of $0.07 per kilowatt-hour. 

 (4) Assume average chemical dose and feed rate taken from Tables 3-2a through 3-2d. 

 (5) Include prorated annual cost of major replacement components, per Tables 3-2a through 3-2d. 

 (6) Assume maintenance cost is 4% of equipment cost (Item 8). 

 (7) Sum of Items 9 through 12. 

 (8) Multiply Item 8 by capital cost recovery factor of 0.130 (5% rate over 10 years). 

 (9) Insert Item 13. 

 (10) Sum of Items 14 and 15. 

 (11) Use following calculation: Item 16/(Item 2 x Item 3) 

* This cost is extremely high due to the small ballast uptake regime of a container 

vessel. 
STEP 2006 Application Form 

Section 3.0: Proposed Ballast Water Treatment System 

4.0 PROOF OF BALLAST WATER TREATMENT PERFORMANCE

NEI is submitting the results of land based and shipboard testing in report format in place of the 

pre-formatted application. What is presented here is a summary of the land and shipboard 

experiments and testing on the VOS system. A complete summary of the test schematic and 

analytical procedures arein Appendix A and on the provided CD in the file titled “Application for 

Type Approval Certification” pp 24-67 (e-page 30 of 294). The complete results of tests are 

contained in Appendix K in the “Application for Type Approval Certification” (e-page 282 of 294). 

 

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STEP 2006 Application Form 

Section 5.0: STEP Study Plan 

5.0 STEP STUDY PLAN 

The purpose of this section is to provide detailed information on the experimental program to be 

implemented in testing the BWT system under review. The Applicant will summarize test 

program information by filling out provided tables and text boxes relating to experimental design, 

sampling methods, assays to assess the removal or inactivation of ballast water organisms, the 

taxa (taxonomic groups, species, etc.) to be assessed, number of experiments to be conducted, 

replication, etc. Only information directly related to the Applicant’s test program for STEP is to 

be included. All methods and assays need to be previously worked out (SOP’s available) and 

referenced. Note that methods not yet developed are not acceptable, but that new methods that 

are not yet in general use are acceptable as long as there has been sufficient development of 

said methods and documentation of the results (precision, accuracy, interferences, applications 

and limitations, etc.) to validate their use and allow their acceptance as part of a STEP 

application. 

The Study Plan questions are in a sequence starting from general organization and proceeding 

to specific methods: 

1. Sub-section 5.1 requests information on the personnel participating in the experimental 

test program, the management of the test program, and technical personnel executing 

various components of the test program. 

2. Sub-section 5.2 requests information on treatment performance goals projected for the 

BWT system relative the USCG NVIC criterion, previous system testing, and other 

performance criteria specified by the Applicant. 

3. Sub-section 5.3 requests an overview of the test methodologies to be implemented in 

the test program, including ballast source waters, number of cruises and test runs per 

cruise, sampling locations within the ballast system where samples are to be taken for 

analysis, taxa studied, methods used, level of replication, and holding times to be used 

in tests. 

4. Sub-section 5.4 focuses primarily on the sample collection and assay methods 

implemented for biological (5.4.1) and physical/chemical parameters (5.4.2), the latter of 

which generally describe the properties of the water to be treated and/or properties that 

can directly influence effectiveness of the BWT process. Quality assurance and control 

information is presented here, including holding times, analytical replicates (QC) etc. 

5. Sub-section 5.5 requests information about the test locations, in particular 

characterizing the ballast source water and discharge locations for BWT testing, e.g., 

tropical, temperate, polar, fresh, marine, open ocean, coastal, harbor and the 

approximate location and depth of water for the BWE experiments. It is understood that 

the precise locations may not be known at the time of the Application. However, the 

general types of waters and typical vessel routes should be indicated. 

6. Sub-section 5.6 requests information regarding the long-term performance monitoring of 

the Applicant’s BWTS that is planned for the STEP equivalency period. The use of 

biological, chemical and engineering metrics are detailed. This monitoring plan is a prerequisite for entry into STEP. 

5.1 Test Team Responsibilities

This section provides an overview of the structure and management of the personnel on the 

Applicant’s team conducting the biological experimental program, including the identity, title, and 

organization with which the individual is affiliated; activity the individual is primarily responsible 

(e.g., oversight of test program, sample collection, sample handling & transport and assays 

58 
STEP 2006 Application Form 

Section 5.0: STEP Study Plan 

59

conducted). For each taxonomic class of organism tested, indicate the responsibility the 

individual assigned (sample collection, sample handling, assay, and custody). 

• Complete Table 5.1, “Summary of Test Team Personnel Responsibilities for Ballast 

Water Treatment System Testing under STEP”. 

Explanation of terms used in Table 5.1: 

o “Name of person responsible for conducting the task,” refers to the personnel 

managing the test program and/or actually executing the technical aspects of sample 

collection, handling and storage prior to assay and assay of samples. The same 

individual may be responsible for more than one of the indicated tasks. 

o “Title of person,” provides an indication of the education, experience and technical 

capabilities of the individual. 

o “Name of organization,” provides an indication of the quality and capability of the 

facility or institution to support the test research. 

o “Place a checkmark”, indicates, by insertion of a checkmark in the “Sample 

Collection” and/or the “Sample Handling & Transport” sections the individual(s) 

whom have significant responsibility for the indicated taxon. 

o “Sample assay” provides, in the “Sample Assay” section, information on the assay(s) 

used by the indicated technician to assess each taxonomic group. 

o “Person responsible for oversight of test program,” identifies the oversight functions 

of management personnel. An entry of “C”, “H” and/or “A,” for sample Collection, 

Handling, Assay, respectively is placed in each relevant taxa box for which the 

indicated oversight person has significant responsibility. 

• Provide a narrative description of the responsibilities of the Biological Test Team 

Coordinator, particularly his/her role in management of all aspects of the experimental 

program and the role relative to that of the Applicant’s STEP project manager (refer to 

section 1.3). Also, if needed, provide additional information on technical personnel 

responsibilities. 

TEXT BOX: Biological Test Team Coordinator. 

It is anticipated that Dr. Mario Tamburri from the University of Maryland Center for 

Environmental Science (UMCES), Dr. Greg Ruiz from the Smithsonian Environmental Research 

Center (SERC), and their associated laboratory staff will evaluate the biological efficacy of the 

NEI Venturi Oxygen Stripping System (VOS) installed onboard the APL England as part of the 

U.S. Coast Guard’s STEP and will follow the protocols described in the IMO G8 Guidelines. 

Testing team members from UMCES and SERC will conduct the ballast water treatment system 

tests on ballasted water held for up to10 days. Three controlled shipboard tests are planned for 

Spring, Summer, and Fall 2010. Exact dates will depend on acceptance into STEP and 

matching availability of ship and test team. Testing will take place as part of its regularly 

scheduled voyages.. 
STEP 2006 Application Form 

Section 5.0: STEP Study Plan Table 5-1. Test Team Personnel Responsibilities for Ballast Water Treatment System Testing u

personnel may be responsible for multiple tasks. If person has not yet been identified, then TBA 1, TBunder "Person". Adjust Column widths as needed. Checks in boxes represent significant responsibilit

Person 1 Title 2 Organization 3 Zooplank ton 4,5 Phytopla nkton 4,5 Bacteria 4,5 Cysts/Re st Stages 4,5 Prot

Oversight of Test Program 6

 TBA 

Sample Collection Sample Handling and Transport Sample Assay  1 Name of person responsible for conducting the task, the same person may appear in multiple task lines.  2 Title of person, Technician, Professor, Principal Investigator, etc  3 Name of organization or institution where the person is affiliated  4 Place a checkmark in the "Sample Collection" and "Sample Handling and Transport" sections under each taxon group 

significant responsibility. 

 5 In the "Sample Assay" boxes list the assay(s) used for each taxa.  6 Person responsible for oversight of the sample collection, handling and assay: C-Collection, H for Handling, A for assa

60 
STEP 2006 Application Form 

Section 5.0: STEP Study Plan 

5.2 Treatment Performance Goals 

The Applicant must clearly delineate the treatment and other performance goals for the 

shipboard BWT system being tested under STEP, relative to the STEP treatment criteria in the 

Coast Guard NVIC, the Applicant’s treatment goals based upon previous testing (per Section 

4), and additional standards of the Applicant’s choosing (e.g., Regulation D-2 of the 

International Conference on Ballast Water Management). 

The Applicant should note the following key points: 

1. The “raw” or “source” water used for testing should be representative of harbor or 

coastal waters. Open ocean waters typically do not support sufficient levels of 

organisms, turbidity, organic matter and other biological, chemical and physical 

attributes of coastal waters to conduct valid testing of ballast water treatment for general 

application. 

2. The focus of the shipboard testing is to determine the quantitative effectiveness of the 

Applicant’s BWT system on organism removal/inactivation across the various taxa 

comprising the ballast water community. The system’s ability to reduce viable 

organisms in ballast water discharge (or the number of viable organisms which are 

discharged) is the primary issue. 

• Complete Table 5-2, “Treatment Performance Goals for Evaluation under STEP”. The 

applicant's treatment goals should be presented by taxa. The goals should focus on 

individual taxonomic groups and need to be quantitative in terms of both % reductions 

and absolute numbers. 

Explanation of terms used in Table 5.2: 

o “Test taxa” refers to listing all taxa or groupings that will be specifically scored 

during viability assays. Each specific group or species scored should be listed in 

the blanks provided (e.g., zooplankton species 1, 2, n under z1, z2, zn, 

respectively). The Test Taxa are partitioned by functional groups (zooplankton, 

phytoplankton, bacteria, etc). Under each functional heading the Applicant is to 

list the taxonomic identifier used in the study referenced. For example, under 

zooplankton, z1 may be “copepods” in one study or “Calanus” (genus) or 

Calanus finmarchicus (species) in another, or even “all zooplankton larger than a 

given size” in another. Under bacteria, the response may be “heterotrophic 

bacteria” (trophic designation) or Vibrio cholera (species related to IMO 

standards) or some other taxon of interest. The value of the data is generally 

directly related to the level of taxonomic specificity. 

o “Percent removal / inactivation” is the test team’s goal for the BWT system’s 

intended performance in either the removal (e.g., via filtration and the like) or 

reduction in viability of scored organisms, expressed in percent. “All taxa” refers 

to intended performance for removal or inactivation of all members of a given 

taxonomic group (e.g., zooplankton, phytoplankton, etc.). Performance goals for 

individually scored groups or species should also be listed. These performance 

goals may vary as individual species may have differing resistance to treatment. 

o “Number of organisms discharged” is the test team’s estimation of the number of 

living or viable organisms that will be discharged into the environment after 

passage through the treatment system. Units to be used for each taxonomic 

group should be as follows: 

 Zooplankton: Number of viable organisms per m3

 (No./m3) 

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Section 5.0: STEP Study Plan 

 Phytoplankton cysts & resting stages: Number of viable organisms per liter 

(No./l) 

 Protozoa, bacteria & viruses: Number of viable organisms per milliliter 

(No./ml). 

o “References” are the “primary” references that support the predicted level of 

treatment effectiveness. The reference ID should be the same as used in Tables 

4.1, 4.2 & 4.3. 

Table 5-2. Treatment Performance Goals for Evaluation Under STEP 

Applicant BWTS Goals 

% Removal/ 

Inactivation 2 #Organisms Discharged3

Test Taxa 1

Average% Max%/Min

% 

Average 

Number Max/Min Number 

Refs 4

Zooplankton Taxa 

All Taxa 

Organism greater than 

50 μm in min. 

dimension. 

 

 

 >98% 

 

 

 100%-

>98% 

 

 

<10 

viable 

organism

s 

per m3 

A max of 10-0 

 viable organisms 

per m3 

 Previous 

shipboard 

testing. 

 

Phytoplankton 

All Taxa 

Organisms less than 

50 μm but greater than 

10 μm in min. 

dimension. 

 

 

 >98% 

 

 

 

 100%-

>98% 

 

 

 <10 

viable 

organism

s per ml. 

 

 

 A max of 10 viable 

organisms per ml. 

 

 

 Previous 

shipboard 

testing 

 

 

 

Bacteria 

All Taxa 

Vibrio Cholerae >98% 100%-

>98% 

 <1 

cfu/100ml 1-0 cfu/100ml Previous 

E. Coli >98% 100%-

>98% 

 <250 

cfu/100ml Max of 250 cfu/100ml shipboard 

Intestinal Enterococci >98% 100%-

>98% 

 <100 

cfu/100ml Max of 100 cfu/100ml testing 

Protozoa (10-50 μm eukaryotes)

All Taxa 

Organisms less than 

50 μm but greater than 

10 μm in min. 

dimension. 

 

 

 >98% 

100%-

>98% 

<10 

viable 

organism

s 

per m3 

 

 A max of 10 viable 

organisms per ml. 

Previous 

shipboard 

testing. 

Table continued on following page. 

62
STEP 2006 Application Form 

Section 5.0: STEP Study Plan 

Table 5-2 (continued) 

Applicant BWTS Goals 

% Removal/ Inactivation 2 #Organisms Discharged3

Test Taxa 1

Average% Max%/Min% Average 

Number 

Max/Min 

Number 

Refs 4

 1 Under each major taxonomic grouping add rows to show the taxa tested, (copepods, 

diatoms, etc, or specific species). 

 2 Rate of Removal or inactivation of organisms within each taxa. 

 3 The # individuals within each taxa that will be discharged "alive" or viable after 

treatment by the BWT system (# bacteria per mL, # copepods per cubic meter, etc) 

 4 The primary references that are used to support the predicted treatment level. The 

reference ID should be that used in the tables in section 4 and Appendix B. 

TEXT BOX: Discussion of derivation of the numeric treatment goals in Table 5.2, with particular 

reference to experimental results in section 4. 

The listed concentration performance goals are those established by the IMO in the Ballast 

Water Convention, referred to as the IMO D-2 standards. The percent removal goals are those 

referred to in the STEP program. Testing will not take into account individual taxonomic 

classifications, but instead delineate organisms by size, per IMO. Bacteria will be evaluated by 

the presence of the three IMO regulated indicator pathogens. Tests will also report and 

catalogue the taxonomy of organisms found in the test samples (bacteria as the regulated 

bacteria per IMO). 

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STEP 2006 Application Form 

Section 5.0: STEP Study Plan 

5.3 Ballast Water Treatment Experimental Methods 

Proper evaluation of the Applicant’s BWTS for entry into STEP requires the use of proper 

experimental design (sampling locations, replicates, etc.) and assays of removal and viability of 

organisms. Tables 5.3 and 5.4 address these issues. The purpose of Table 5.3 is to specify 

the locations within the ballast streams (raw source water to discharge) where samples will be 

collected, whether time-course experiments will be conducted, and initial information on 

replicates. This table also correlates with information in Figures 5.1 and 5.2, which are 

diagrams of locations and replicate sampling of ballast systems typically studied. 

• Complete Table 5-3, “Overview of Test Methodologies for the Ballast Water Treatment 

System Experiments for Evaluation under STEP”. 

Explanation of terms used in Table 5.3: 

o “Types of source water” delineates the nature of the ballast water tested (e.g., 

marine harbor water, coastal marine or brackish water, fresh water lake water, open 

ocean water, etc.). 

o “No. of test cruises” is the number of cruises planned for testing of the BWT system. 

o “No. of Experiments per cruise” indicates the number of test runs planned for each 

cruise (some programs may conduct multiple full test experiments or holding 

experiments during cruise). 

o “Treatment component name” identifies the specific BWTS component to be 

separately assessed. 

o “Locations where in BWT system samples/assays to be collected” is a list indicating 

how many samples are collected in the ballast system for the assay of the indicated 

taxonomic group (raw water, ballast water etc.; enter number of samples taken). 

o “Post-BWT time to discharge” indicates the typical time the sample will be held in the 

ballast tanks between the time of treatment and ballast tank discharge. If treatment 

is on discharge, this value will be zero (0). If treatment is on uptake and discharge 

then the value will be entered as: time in ballast tank/0. 

o “Duration and sampling frequency of holding experiments,” if such experiments are 

conducted, indicates the total time a time course “post treatment” holding experiment 

is conducted and how many time points are analyzed during the experiment. Both 

the control and treatment samples should be held and analyzed the same. The 

duration of the holding experiment should be the same as or longer than the typical 

“post-BWT time to discharge.” The table entry should be in the format, X/Y/Z for 

number of hours total incubation (X), total number of time points where samples are 

collected inclusive of time zero (Y), and number of samples per time point (Z). 

o “Replicate tanks” is the number of replicate holding tanks (mesocosms, incubation 

chambers, or ballast tanks) where water is held post-treatment. Clearly indicate 

replicate ballast tanks versus mesocosms. For example, 3 replicate ballast tanks 

pose different statistical variation than 3 replicate mesocosms and if 3 mesocosms 

are drawn from a single ballast tank, then they are actually replicate sub-samples 

and should be in the “Duration and sampling frequency” row. The source water for 

mesocosms needs to be clearly indicated. 

o “Replicate assays per sample” provides information on the degree of analytical 

replication used for the assay of each sample taken. 

o “Environmental parameters” are the physico-chemical variables that will be 

measured at the indicated sampling points in the ballast system that may have an 

influence on treatment effectiveness (e.g., TSS, temperature, salinity, pH and the 

like; also listed in Table 5.5b). 

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STEP 2006 Application Form 

Section 5.0: STEP Study Plan 

65

• Provide a text summary of each type of “experiment” to be undertaken. The concept is 

that there may be experiments of different durations or experiments where select 

components are tested, alternated with experiments where only full system tests are 

undertaken. 

TEXT BOX: Types of experiments. 

Three complete experiments will occur over the course of three cruises with two tests occurring 

during each cruise. One test will be performed at uptake (ballasting) to describe raw water 

quality and pretreatment organism makeup and concentration. The second test will occur 

during discharge (deballasting). This test will enumerate live/dead organism in the control and 

treated ballast tanks held for up to 10 days. Each complete experiment provides enough data to 

compare initial conditions and the biota of the two post test voyage environments (treated and 

control). 

• Identify the ballast tanks/compartments aboard the ship that are to be used for biological 

testing. Please use the same nomenclature as used in Table 2.4 (“Tank Table”): 

• 

TEXT BOX: Identity of ballast tanks used for testing. 

The ship has 6 sets of ballast tanks plus forepeak and aft peak ballast tanks. The number 5 

double bottom tanks and wing tanks (port and starboard) are generally filled first followed by 

either the forepeak tank or the number 1 double bottom center tank, next the number 2 wing 

tank (port and starboard) is used, and lastly the aft peak tanks (port and starboard) are used. 

While this is the typical tank sequence observed during ballasting, the sequence depends on 

the distribution of the cargo and fuel load and does vary. 

Individual ballast tanks have not yet been identified for testing. It is likely that #5 and #4 Wing 

BWT’s will be used. 
STEP 2006 Application Form 

Section 5.0: STEP Study Plan 

Table 5-3. Ballast Water Treatment Experimental Methods. Column widths should be 

adjusted as necessary. Location of samples within the BWT System should be consistent 

with locations identified in Figure 5.1.

Taxonomic Group Zooplank

ton 

Phytopla

nkton Bacteria

Cysts/ 

Resting 

Stages 

Protozoa Viruses 

Environme

ntal 

Parameter

s

11

Other

Types of Source Water 1

 Source water will be ballast taken dockside in the Port of LA. 

# Test Cruises 2

 3 

# Experiments per Cruise 3

 1 complete experiment, comprising 2 tests (1 at uptake and 1 at discharge) 

Raw Source 

Water from 

Environment 

Sea Chest 

Ballast Tank 

contents to 

be Treated 

on 

Discharge4

 

Pre-BWT 

System 

 

 

 3 replicate sample collected, beginning middle and end of 

ballast uptake 

 

 

 

 

Control 

Ballast Tank Multiple assays will be conducted as access allows. 

 

Postcomponent 

#1 5 

Postcomponent 

#2 5 

Postcomponent 

#3 5 

Treatment 

Ballast Tank Multiple assays will be conducted as access allows. 

 

Discharge 

Other 

Location in BWT 

system of 

samples/assays 

to be collected. 

Enter the number 

of samples that 

will be taken 

during a given 

experiment at 

each location for 

each taxon. If 

there will be 

different numbers 

of samples used 

in different 

experiments then 

the box should 

include the 

samples for each 

experiment as 

(1/2/3) for 

experiments 1, 2, 

and 3, 

respectively. 

 

Other 

Table 5-3 continued on following page. 

66 
STEP 2006 Application Form 

Section 5.0: STEP Study Plan 

67

Table 5-3 (continued). 

Taxonomic Group Zooplank

ton 

Phytopla

nkton Bacteria

Cysts/ 

Resting 

Stages 

Protozoa Viruses 

Environm

ental 

Paramete

rs

11

Other

Post-BWT time to discharge 7

 

Control 

 X 240 Y 1 Z 3 

 

app. 10 days, 3 replicate sample collected, beginning middle and end of 

ballast discharge 

 

Duration and

sampling frequency of 

holding exp’r’m’nts 

X = Total duration of 

holding (hr); 

Y = No. of "time 

points" taken if 

conducting post 

treatment holding; 

and 

Z = No. of samples 

per time point. 

(hr/#time 

pts/#samples/time pt.) 

experiments 8.

Treated 

 

 X 240 Y 1 Z 3 

 

app. 10 days, 3 replicate sample collected, beginning middle and end of 

ballast discharge 

 

Control 1 1 1 1 1 1 1 1 # Replicate 

Tanks/Samples per 

Experiment 9 Treated 1 1 1 1 1 1 1 1 

# Replicate Assays per 

Sample 10 3 3 3 3 3 3 3 3 

 1 Types of ballast water to be tested (harbor, coastal, lake, open ocean, etc) 

 2 Number of Vessel Cruises that testing will have "Full" BWTS Testing & Evaluation 

 3 Number of "Test Runs" per Cruise, (i.e. some programs may conduct multiple full test runs and ballast 

tank holding experiments on a single cruise. 

 4 For treatment systems that treat upon discharge. 

 5 Enter the name of the specific component in the BWT system as appropriate (e.g., replace "component 

#1" with the name of that component, etc.). 

 6 Fill in the number of samples taken at each location in the BWT System (i.e. uplift water, ballast tank, 

pre-BWTS, after component 1, component 2, at discharge, etc.) where samples for each taxonomic 

group to be assayed are taken. Arrange the locations in order of Ballast Water Flow. Enter the name of 

the specific Component in your BWT System in the appropriate component boxes. 

 7 Indicate the time that ballast water will be "held" between the time of treatment and discharge (the 

functional treatment time). 

 8 Number of time points where samples are collected post-treatment to develop the "time-course" of 

response to treatment (fill in as total hrs held; No. time points). 

 9 Number of replicate holding tanks, mesocosms or incubation chambers where water is held posttreatment. 

 10 Number of sub-samples assayed from a single sample bottle to determine analytical variation. 

 11 List in the appropriate sampling points the names of environmental parameters (e.g., TSS, temperature, 

chl a, salinity, pH, etc.) to be measured and analytical methods to be used (see Table 5.6). 
STEP 2006 Application Form 

Section 5.0: STEP Study Plan 

• Complete Figure 5-1, “BWT Sampling Schematic”, and check all relevant locations in the 

diagram where samples will be taken. This diagram is a visual companion to Table 5.3 

and Figure 5.2 and represents typical locations for the sampling of ballast systems 

typically studied. The example provided below may be adapted for use by the Applicant. 

Figure 5-1. BWT Sampling Schematic 

Points C and N will be sampled. Points G, H I and J will be sampled if access to the ballast 

tanks is suitable. The point N sample point includes both control and treated samples. 

5.4 Analyses 

In section 5.5, the Applicant provides the detail as to the specific methods that will be employed 

for the biological measurements (inactivation and general measures) and physical/chemical 

measurements related to general ballast water environmental conditions, Table 5.5a and 5.5b, 

respectively. In addition to the methods for assays related to viability of each of the taxonomic 

groups, information on holding times, preservatives and archiving needs to be addressed. This 

information is essential to the evaluation of the Applicant’s Study Plan and therefore is required 

for entry into STEP. Significant time can be saved if the Applicant follows the table formats and 

68 
STEP 2006 Application Form 

Section 5.0: STEP Study Plan 

gives detailed information, specifically relating the viability assays and quality assurance issues 

and indicates what quality control tests will be performed. 

5.4.1 Biological Analyses

Figure 5-2 is a generalized schematic of a typical biological analytical program. Information 

filled in here will provide the following: 1) A synopsis & number of sampling locations outlined in 

Figure 5.1 from which samples will be analyzed according to the scheme to be filled in. Fill in a 

separate analytical diagram (paste in additional copies of Figure 5.2 as needed) for sample sites 

implementing a different analytical scheme. 2) An estimate of the number of biological samples 

that will be analyzed and the statistical rigor of the analytical program, by entering the number of 

replicate mesocosms or tanks used to collect replicate samples from each sampling location, 

the number of replicate sub-samples to be assayed and if delayed response to treatment is 

being assessed the number of & interval between time points that held samples will be 

analyzed. 

• Fill in the blank boxes in Figure 5.2, “Generalized Analytical Scheme for BWT Test 

Program”. Note that a substitute or modified figure may be used. 

• Provide additional and detailed explanatory information on the biological analysis to 

supplement information in Figure 5-2 and Table 5-3. 

TEXT BOX: Biological analysis. See boxes below. 

Physical characterization:

Temperature, salinity, dissolved oxygen, chlorophyll fluorescence, and pH of samples diverted 

ballasting/de-ballasting flows will be collected by YSI model-85 probe, Turner Designs fluorometer, and 

pH meter. If we may open manholes above tanks, and vertical access to lowering instruments is 

unobstructed by structures such as platforms, ladders, bulkheads, or partitions, added in-tank profiles will 

be measured at the start and end of each test. In addition, samples (three replicates, 500 ml each) of 

ballast water during filling of the control will be collected, filtered, and analyzed for the water quality 

parameters of particulate organic carbon (POC), dissolved organic carbon (DOC), and total suspended 

solids (TSS). Sample analyses will be conducted using standard US EPA methods by the certified 

UMCES Nutrient Analytical Services Laboratory (www.cbl.umces.edu/nasl). 

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STEP 2006 Application Form 

Section 5.0: STEP Study Plan 

Biological characterization:

 Based on many years of sampling ballast water, it is safe to assume that > 90 to 95% of 

organisms being brought onboard with ballast water are live or “viable”. Therefore, given logistic 

and cost constrains, all assays/analyses describe below will be conducted upon discharge from 

control and treated tanks, but only samples from the different categories that can be fixed and 

analyzed at a later date back at a formal laboratory facility will be conducted to described initial 

challenge conditions. 

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STEP 2006 Application Form 

Section 5.0: STEP Study Plan 

Figure 5-2 

71
STEP 2006 Application Form 

Section 5.0: STEP Study Plan 

Figure 5-2 

72
STEP 2006 Application Form 

Section 5.0: STEP Study Plan 

Figure 5-2 

73
STEP 2006 Application Form 

Section 5.0: STEP Study Plan 

• Complete Table 5.4, “Biological Sampling and Analysis” which is an expansion of the 

information entered into Figure 5.2 and more specifically focuses on the detail of the 

assays implemented for each taxonomic group assessed. If the taxonomic group 

measured is not presented in the table fill in the taxa under “other.” 

Explanation of terms used in Table 5.4:

o ”Number of replicate assays” is the number of sub-samples (S1, S2, Sn; Figure 5.2) 

assayed for each taxon that are taken from each sampling mesocosm (circles; 

Figure 5.2). 

o “Sample collection methods” provides information on the approach used to collect 

the above subsamples for each taxonomic group assessed. 

o “Viability assessment method” is the analytical method used to assess the removal 

or inactivation of the indicated taxonomic group. 

o “Holding times implemented for viability assays” is the time between when the subsample is taken from the mesocosm (subsamples S1, S2, Sn; Figure 5.2) and actually 

analyzed. This is “not” the holding time implemented to assess delayed response to 

treatment in, for example, a ballast tank or mesocosm (circled items t0, t1, tn; in figure 

5.2). 

o “Sample holding conditions” are the conditions under which subsamples S1, S2, Sn 

(Figure 5.2) are held before analysis (i.e., temperature, method & duration of 

shipping, preservatives used). Also, information on “Chain of Custody” of the 

subsamples to be analyzed and the Quality Control measures implemented to 

assure and document their integrity prior to analysis. 

o “Enumeration methods” refers to the method used to enumerate total numbers of 

organisms (e.g., in assessments of numbers of organisms “removed” or total 

numbers of organisms present) as the reference for determinations of the fraction 

that are viable (as determined by viability assays). 

o “Sample holding during enumeration assays” is the elapsed time between sample 

collection and enumeration. 

o “Sample archiving” lists the conditions (e.g., preservative used, where samples are 

stored & number of samples archived) for long- term storage of samples. 

• Provide additional explanatory detail as needed on biological sample collection, holding, 

analysis and archiving.

TEXT BOX: Biological sampling, analysis, and archiving. 

Quantifying zooplankton, or the >50-μm size-fraction: 

1-m3 of water from each replicate holding-tank will be drained through a 35-μm (<50 μm 

diagonal dimension) plankton net to concentrate for examination under a binocular dissecting 

microscope. Concentrate will be held in aerated 2-l jars for no more than 3-hours prior to live 

analysis. If we may open manholes above tanks, and vertical access to lowered plankton nets is 

unobstructed by structures such as platforms, ladders, bulkheads, or partitions, additional 

samples may be obtained in this way for backup and comparative purposes. Proportion and 

concentration of live organisms will be determined using standard movement and response to 

stimuli techniques. Depending on concentrations, quantification may require analysis of sub74
STEP 2006 Application Form 

Section 5.0: STEP Study Plan 

samples and extrapolation to the entire 1-m3. Following live-analysis, zooplankton will be fixed 

with buffered, 10% formalin in 125ml Nalgene bottles, and shipped to SERC for additional 

evaluations as to taxonomy and composition. Larval forms of invertebrates will be identified to 

higher taxonomic levels such as order (e.g., Decapoda) suborder (e.g., Balanomorpha) or class 

(e.g., Bivalvia). Adults will be identified to species in many cases. The fixed samples will be 

archived at SERC. 

Quantifying phytoplankton and other eukaryotes in the <50->10-μm size-fraction: 

Two liters of unfiltered water from each holding-tank will be collected immediately after filling. 

Samples will be held in amber Nalgene bottles and transported on ice to the field laboratory for 

live-analyses within 3 hours of collection. One sub-sample from the initial 2-l will be fixed with 

standard Lugol’s solution, and placed in 250- ml amber, Nalgene bottles to determine total cell 

abundances and taxonomic make-up. A second 250-ml sub-sample will first be stained using 

FDA (fluorescein diacetate) as a potential live staining technique and then fixed for later 

quantification of algal cell. However, it is widely accepted that these direct count and staining 

techniques have limitations (Lugol’s does not selectively stain live or dead, various algal species 

take up FDA differently, and other particles in a sample will fluoresce). Therefore, additional 1-

liter sub-samples of water will be collected and split into two identical 500 ml aliquots with one 

analyzed for chlorophyll concentrations using standard extractive/fluorometric techniques by the 

UMCES Nutrient Analytical Services Laboratory. The first of the split sub-samples is filtered 

(Whatman GF/F 0.7 μm pore, 2.5 cm diameter membrane) and frozen (-80oC) for analysis 

within 3 hours of after collection. Nutrients are added to the second split sub-sample, which is 

placed under grow-lights for 48 hours prior to being measured for extractive chlorophyll 

concentrations. An increase in chlorophyll or positive re-growth indicates that viable 

phytoplankton were present, whereas chlorophyll levels at or below detection limits of the 

laboratory analytical method suggests that there was no viable phytoplankton. Although precise 

abundances of cells/ml cannot be determined for diverse communities of phytoplankton using 

these types of re-growth experiments, this is a conservative method used to determine the 

presence/absence of living organisms. Fixed phytoplankton samples are good for a year or two 

approximately. SERC will archive them for at least that long, after which they may be disposed 

of. 

Quantifying viable pathogenic bacteria: 

Three 1-L samples of unfiltered water from each holding-tank will be collected immediately after 

filling, to determine concentrations of total heterotrophic bacteria and three specific indicator 

pathogens. All samples will be held in Nalgene bottles and transported to the field laboratory 

where we will begin analyses within 3 hours of collection. In addition to quantifying the 

abundance of bacteria (below), we will determine presence and abundances of three indicator 

pathogens; E. coli, intestinal Enterococci, and toxigenic Vibrio cholerae. Triplicate 100 ml 

samples of water will be analyzed for concentrations of culturable E. coli and intestinal 

Enterococci using a commercially available chromogenic substrate method (IDEXX 

Laboratories, Inc.; Noble et al. 2003), and EPA methods - namely membrane filtration on mTEC 

agar (E. coli) and mEA agar (Enterococcus). Abundance of total and toxigenic V. cholerae will 

be done by spread plate method using LB agar and enumerated using species-specific RNA 

colony blot and ctxA DNA colony blot. Viable but non-culturable toxigenic V. cholerae will be 

assayed with commercial DFA kits specific for serogroups O1 and O139 (New Horizons 

Diagnostics) using monoclonal antibodies tagged with fluorescein isothiocyanate (FITC) (Hasan 

et al. 1994). 

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Section 5.0: STEP Study Plan 

76

Quantifying total bacteria present: 

Two estimates of total bacteria will be conducted. First, total heterotrophic bacteria will be 

enumerated by spread plate method using NWRI agar according to Standards Methods for the 

Examination of Water and Wastewater immediately after sampling in a field laboratory. Second, 

samples for bacteria cell density will be placed in vials with 270-microliters of 10% formalin, and 

shipped to Bigelow Laboratory in Maine where they will be counted by flow cytometer. Data in 

the form of cells-ml-1 will result, be provided with interpretation, and finally archived at SERC. 

Sample organization and data management/Archive:

Established ballast water sample labeling and database structure will serve this evaluation. Sample-labels 

and record keeping check-lists will be generated using a purpose-built data-base at SERC. Data-storage 

will receive backup on-site and off-site in our Ballast Water Ecology Group data-base. 
STEP 2006 Application Form 

Section 5.0: STEP Study Plan Table 5-4. Biological Sampling and Analysis: collection, analytical methods, holding, etc. for the Ba

System for evaluation under STEP. 

Taxonomic Group 

Zooplankton 

(>50 um 

organisms) 

Phytoplankton

(50-10um 

organisms) 

Bacteria Cysts/Resting Stages Protozoa 

# Replicate Assays per Sample 1 1* 1* 1* Sample Collection Method Sample port Sample port Sample port Viability Assay Method 2 Stimulus- Response Regrowth and Live Staining Commercial Assay kits (IDEXX) Sample Holding Time for Viability Assays 3

 Less than 3 hours 

 Less than 3 hours 

 Less than 3 hours 

Preservative aeration Iced sample Temperature ambient Iced sample ambiant Method & Duration of Shipping On site anyalsis 

 On site anyalsis 

 On site anyalsis 

Chain of Custody 

Sample Holding Conditions (between sampling and analysis) 

QC 4

Enumeration Method 5 Stimulus- Response Regrowth and Live Staining then fixing IDEXX Kits Sample Holding Time for Enumeration Assays Less than 3 hours 

 Less than 3 hours to staining/fixing 

 Less than 3 hours 

Preservation 

 formalin 

 Lugol’s solution and a fixed FDA staining formalin 

Sample Archiving (Long-term Storage) 

Location SERC SERC SERC 

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STEP 2006 Application Form 

Section 5.0: STEP Study Plan 

# Samples Concentration 

dependent 

 1 of each preservation type per mesocosm 

 1 sample per mesocosm 

See footnotes, next page. Table 5-4 (continued): Footnotes  1 Number of sub-samples assay from a single mesocosm to determine analytical variation.  * Three replicate mesocosms will be collected per sample. Multiple sub-sample assays will not be 

collected from each mesocosm 

 2 The method used to determine the removal or inactivation of organisms within each taxa (for example: motility in zoop 3 Time from sample collection to assay.  4 How will integrity of "held" samples be documented  5 Method used to count the numbers of organisms, generally total count method (for example preserved microscopic co

bacteria) 
STEP 2006 Application Form 

Section 5.0: STEP Study Plan 

• In Figure 5-3, provide a design or diagrammatic representation of the sampling port to be 

used for collecting samples in the onboard testing program. The choice must be justified 

as appropriate for the experiment, either as an accepted or standard sampling port 

design, or otherwise validated in prior tests. It is critical that the sampling port not 

contain sharp bends or components that generate high sheer during sampling that can 

damage organisms during sample collection. Ball valves that have straight flow through 

design are desirable. Valves with torturous internal fluid path, a ball valve that is partially 

open, use of gear pumps to deliver sample from the sampling points, etc. are 

undesirable. The sampling port should be scaled so that the desired sample flows are 

obtained with the on/off valve fully open, minimizing sheer. 

Figure 5-3, “Sampling Port Design”. 

The sample port design will be per the California rules: Title 2, Division 3, Chapter 1 Article 4.7 

Performance Standards for the Discharge of Ballast Water For Vessels Operating in California 

Waters. 

These sample port rules recommend an “isokenetic sample facility” (an L shaped port) with the 

opening turned into the ballast water stream and a 90o bend to the outside of the ballast line at 

least one sample port diameter from the open end of the port. A 2”diameter sample port will 

provide a sample stream of approximately 8m3/hr.

• In text box, provide additional explanatory information on the sample port design 

implemented in the test program (e.g., explanation of key components in the sampling 

port diagram). 

TEXT BOX: Explanatory information on sample port design. 

The “isokenetic” sample port design is that developed by the Naval Research Laboratory in Key 

West, FL., and referred to in the California rules. 

5.4.2 Environmental Analyses

The environmental analysis section provides data on various water quality variables that 

generally describe the properties of the water to be treated (e.g., temperature, salinity, pH, 

oxygen content, nutrient & chlorophyll a content and the like) or properties that can directly 

influence effectiveness of the BWT process (e.g., water optical properties such as TSS, 

turbidity, water color that can affect UV treatment systems; variables that relate to organic 

matter content of the water that may influence the concentration & half-life of chemical used for 

treatment, etc.). Enter requested data for each environmental parameter analyzed in the 

appropriate column. If the variable measured is not listed in the table write in the variable under 

“other.” 

• Complete Table 5.5 “Environmental Parameters & Water Chemistry” 

Explanation of terms used in Table 5.5: 

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80

o “Method of sample collection” explains how samples were collected for water quality 

measurements. If the assays are measured in situ (e.g., inserting a probe in the 

environment, ballast tank or in line near a sampling port) enter "in situ"; if samples 

were obtained and placed in a container for subsequent analysis aboard the ship 

then enter sampling method used. 

o “Number of replicate assays” is the number of sub-samples assayed from a single 

sample bottle to determine analytical variation. 

o “Analytical method used” is the method used for the assay of the environmental 

parameter; include the reference to Standard Methods as appropriate. 

o “Sample holding time for assays” refers to the time between sample collection into a 

container and analysis. If an in situ method of analysis is employed (e.g., use of a 

probe, etc.) enter “0”. 

o “Sample holding conditions” are the conditions under which subsamples are held 

before analysis (i.e., temperature, method & duration of shipping, preservatives 

used). Also, information on “Chain of Custody” of the subsamples to be analyzed 

and the Quality Control measures implemented to assure and document the integrity 

of the sample prior to analysis.

o “Sample archiving” lists the conditions (e.g., preservative used, where samples are 

stored & number of samples archived) for longer term storage of samples, as might 

be employed when samples are analyzed in a shore-based laboratory after the 

cruise and/or samples preserved for archival storage. 

o Provide additional explanatory detail as needed on sampling approaches, sample 

holding, preservation & archiving, measurements of water quality parameters. 

o “Chemical residuals” lists the potential residuals of chemicals used for treatment or 

byproducts resulting from treatment of ballast water. 

• Provide text on water quality sampling and analysis in addition to information in Table 

5.5 if needed. 

TEXT BOX: Water quality sampling and analysis. 

Three samples will be collected during uptake to quantify the raw water quality of the taken 

ballast. These will be analyzed for POC (particular organic carbon), DOC (dissolved organic 

carbon), and TSS (total suspended solids). A sample of water will be taken at uptake and will 

be probed for temperature, salinity, dissolved oxygen, pH, and chlorophyll fluorescence. Each 

discharge sample will be measured for the same parameters. 
STEP 2006 Application Form 

Section 5.0: STEP Study Plan Table 5-5. Environmental Parameters & Water Chemistry: sample collection, analytical methods, h

Water Quality/Environmental 

Parameters Turbidity TSS Chlorophyll a Nutrients Temperature Salinity pH 

Sample Collection Method 1

From sample port In situ or 

from sample  port 

 In situ or from sample  port 

 In situ or from sample  port 

In situ from sample  port 

# Replicate Assays per Sample 2 1* 1* 1* 1* 1* Analytical Method 3 EPA method EPA method EPA method EPA method EPA method Sample Holding Time for Assays 4 unknown Minimal Minimal Minimal Minim

Preservative None Temperature unknown Shipping unknown Chain of Custody 

 Biological testing  team 

Sample Holding Conditions (between sampling and analysis) 

QC 5

Preservation None Location 

Sample Archiving (Long-term Storage) # Samples  1 Assays are "in situ" if inserting a probe in the environment or ballast tank; if grab sample and assayed on ship then ent 2 Number of sub-samples assay from a single sample bottle to determine analytical variation. *Three replicate mesocosms will be collected per sample. Multiple sub-sample assays will not be collected from each mesocosm  3 The method used for assay, include reference to Standard Methods as appropriate  4 Time from sample collection to assay. 

81 
STEP 2006 Application Form 

Section 5.0: STEP Study Plan  5 How will integrity of "held" samples be documented  6 Identify chemical(s) used for the BWT or created during treatment and indicate details for analysis of the residual concthe environment. Add extra columns as needed. 
STEP 2006 Application Form 

Section 5.0: STEP Study Plan 

5.5 Test Voyage(s) Itinerary 

• Provide information on test locations for each planned test voyage and experiment, in 

particular characterizing the ballast water uptake and discharge locations for BWT 

testing, e.g., tropical, temperate, polar, fresh, marine, open ocean, coastal, estuarine, or 

harbor. 

• Provide a test voyage schedule for BWT experiments, preferably in tabular format . It is 

understood that the test locations may not have been selected at the time of the filing of 

the STEP Application. In these cases, the experimental test schedule for the typical (or 

one of the typical) voyage for the ship should be shown. If available, information 

provided should include testing locations (ports/waters) and season(s). 

• Provide additional information in the text box below if needed. 

 Insert Table 5-6 “Test Voyage(s) Schedule” (format to be selected by Applicant) 

Table will be constructed when vessel schedule is published, and testing dates are finalized. 

TEXT BOX: Information on vessel routes and likely test schedule. 

The route will almost certainly be a trans-Pacific circle. The vessel is currently completing a 

regular Trans-Pac service. There is a possibility some of the individual ports of calls may 

change. 

5.6 Long-Term Performance Monitoring 

A long-term performance monitoring plan is required for entry into STEP. 

5.6.1 Treatment Performance Goals

• Affirm that treatment performance goals are the same as for the primary experiment, or 

explain any deviations 

TEXT BOX: Description of long-term treatment performance goals. 

Treatment performance goals will remain the same throughout the duration of the STEP 

program. 

5.6.2 Experimental Design 

• Provide a generalized description of long-term biological performance monitoring 

methodology with focus on either: 

o Engineering performance testing and measurements with demonstrated 

correlation to treatment effectiveness results in the primary experiment, for 

example, comparing delivered UV dose to the minimum dose required to meet 

the treatment goals as established in the primary experiment 

and/or 

o Biological performance testing and measurements with demonstrated correlation 

to treatment effectiveness results in the primary experiment, for example, 

comparing samples and viability assays of key taxa to the treatment goals and 

performance as established in the primary experiment 

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STEP 2006 Application Form 

Section 5.0: STEP Study Plan 

o 

TEXT BOX: Long-term biological treatment performance monitoring methodology. 

Efficacy of treatment will be measured during three biological test runs during the first year of 

enrollment in STEP. 

Dissolved oxygen concentrations derived during treatment and recorded by the VOS system 

provide a reliable long-term record of treatment success. By analyzing logs of the recorded 

VOS system data treatment can be demonstrated. 

• Provide a generalized description of long-term engineering performance monitoring, 

including maintenance, spares, reliability, etc. 

TEXT BOX: Long-term engineering performance monitoring methodology. 

Service issues and spare parts requirements will be reported to NEI. The recorded parameters 

monitored by the VOS system will provide an indication of the engineering performance of the 

system components. The recorded parameters will be reviewed on a regular basis to confirm 

engineering performance. 

• Complete Table 5-7, showing the particulars of monitoring biological treatment 

performance, and Table 5-8, showing the particulars of monitoring engineering performance. 

Table 5-7. BWT System Biological Treatment Performance Monitoring, 

Equivalency Period 

Add Rows as Needed 

Description Comments 

Engineering metric(s) correlated to primary experiment treatment effectiveness results 

Metric #1 

Performance measure Inert Gas (IG) O2 

concentration 

Treatment stage(s) monitored 1 

Metric tested during primary 

experiment? Yes 

Correlation to primary 

experiment treatment results 

Concentration >0.2 % 

Oxygen in IG can lead to 

incomplete DO stripping 

from ballast water 

Detection of system failure 

Elevated O2 

concentration indicated 

from IGG O2 analyzer 

Data collection, method and 

frequency 

Data is collected on a 

flash-drive during each 

ballast event. Data will 

be downloaded and 

analyzed. 

Data maybe downloaded as 

regularly as each US visit. 

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STEP 2006 Application Form 

Section 5.0: STEP Study Plan 

Metric #2 

Performance measure Pressure drop across 

venturi injector (VI) 

Treatment stage(s) monitored 1 

Metric tested during primary 

experiment? Yes 

Correlation to primary 

experiment treatment results 

Sufficient pressure drop 

must be maintained to 

ensure the correct 

volume of IG is educted 

into the ballast water 

Detection of system failure Pressure transmitters 

Data collection, method and 

frequency 

Data is collected on a 

flash-drive during each 

ballast event. Data will 

be downloaded and 

analyzed. 

Data maybe downloaded as 

regularly as each US visit. 

85
STEP 2006 Application Form 

Section 5.0: STEP Study Plan 

Table 5-7 (continued) 

Description Comments 

Biological treatment metric(s) correlated to primary experiment treatment effectiveness 

results 

Metric #1

Performance measure Treated water DO 

concentration 

Treatment stage(s) monitored Stage 1 

Metric tested during primary 

experiment? Yes 

Correlation to primary 

experiment treatment results Yes. 

Previous test have indicated 

elevated DO >1.0 mg/l can 

lead to incomplete treatment 

Detection of system failure DO >0.8 mg/L in treated 

water 

DO = 0.8mg/l system requires 

trim. > 1.0 mg/l average for a 

tank and system may fail 

Data collection, method and 

frequency 

Data is derived and 

collected on a flash-drive 

during each ballast 

event. Data will be 

downloaded and 

analyzed. 

Data maybe downloaded as 

regularly as each US visit. 

Metric #2

Performance measure Hold time 

Treatment stage(s) monitored Stage 1 

Metric tested during primary 

experiment? Hold time. Hold times are not expected to be less than 4 days. 

Correlation to primary 

experiment treatment results Yes 

hold time of less than 4 days 

may lead to incomplete 

treatment 

Detection of system failure 

Discharge at T < 96hrs 

which is not in 

compliance with IMO D2 

standards 

Data collection, method and 

frequency 

Ballasting/ballast 

discharge logs 

Data maybe collected as 

regularly as each US visit. 

** Primary shipboard test met goals established for testing. Current test are designed to test 

reliability of treatment during typical voyage conditions. Primary treatment and future tests have 

same target goals.

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STEP 2006 Application Form 

Section 5.0: STEP Study Plan 

Table 5-8. BWT System Engineering Performance Monitoring, Equivalency 

Period 

Add Rows as Needed 

Description Comments 

Treatment stage #1 IGG/VI 

Anticipated service life 10 yrs plus 

Maintenance Maintenance is described in 

section 3. 

Periodic testing and 

calibration Calibration of O2 sensor 

Repair services provider NEI 

Treatment stage #2 N/A 

Anticipated service life 

Maintenance 

Periodic testing and calibration 

Repair services provider 

Treatment stage #2 N/A 

Anticipated service life 

Maintenance 

Periodic testing and calibration 

Repair services provider 

Reporting Requirements 

Experimental phase (Years 1 - 5) 

Annual reports 

APL will file Annual Reports 

describing frequency of use 

of the ballast/treatment 

system, efficacy, reliability 

and any relevant system 

information/feedback 

Quarterly reports 

APL will file quarterly reports 

describing system usage 

and efficacy" 

Monitoring phase (post Year 5) 

Annual reports 

APL will file annual reports 

describing system usage 

and efficacy reliability and 

any relevant system 

information/feedback 

5.6.3 STEP Reporting Requirements 

• Request Applicant indicate how STEP quarterly reporting requirements and annual 

reporting requirements will be complied with and explain deviations from minimum STEP 

Program reporting requirements 

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Section 5.0: STEP Study Plan 

88

TEXT BOX: Quarterly and annual reporting requirements. 

The reporting requirements will be complied with as described in Table 5-8 above. 
STEP 2006 Application Form 

Section 6.0: Environmental Compliance 

6.0 ENVIRONMENTAL COMPLIANCE 

6.1 Operational Issues 

• Provide a detailed description of ballasting information, including approximate intake and 

discharge locations, number and frequency of ballasting operations per year, and the 

approximate volume of water used during ballasting (refer to Table 2-1 and section 2.3). 

TEXT BOX: Ballasting operations information. 

Ballasting activities take place around or during most port visits. Specific schedule depends on 

quantity and distribution of cargo and fuel. Currently 500-2,500 cubic meters of ballast are 

taken or discharged during each ballasting event, points of uptake for the current schedule 

include San Pedro, CA and Kaohsiung, Taiwan. The ballast pump is also regularly used to 

transfer ballast from one tank to another to balance and trim the vessel. 

6.2 Water Quality and Discharge of Treated Ballast Water 

• Provide the following information: 

o A description of chemical and physical water quality characteristics, and depth of 

the local waters, at both the intake and discharge points for ballast water. This 

description is optional and depends on the availability of the data and the 

predictability and specificity of the ship’s service. If these data are not available 

for this application, the Applicant is expected to acquire these data at the time of 

the onboard experiments and provide them to the STEP Review Team. 

TEXT BOX: Water chemistry data. Refer also to sub-section 5.5 for water characteristics at 

uptake and discharge locations. 

Data will be collected during VOS system testing. 

o Complete Table 6-1, “Environmental Compliance: Water Quality and Discharge, 

Water Quality”, and address all relevant local, state, or Federal clean water 

regulations for discharge of treated ballast water into the receiving waters. 

Table 6-1. Environmental Compliance: Water Quality and Discharge of Treated Ballast

Water 

The specific voyage pattern and testing 

schedule is not known at this time. When 

treated BW discharge locations are identified 

the relevant approvals will be sought. 

Relevant regulations and standards 

Contact initiation with local, state, and federal 

agencies (include correspondence in Appendix 

C) 

Permits, approvals, etc. from applicable 

jurisdictions for the discharge of water and 

effluent (list here and include copies in Appendix 

C) 

Examples of Relevant Federal legislation, regulations, and standards 

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STEP 2006 Application Form 

Section 6.0: Environmental Compliance 

•Clean Water Act - NPDES (section 402), 40CFR 

Parts 122, 123, 124, 125, EPA Office of Water

•Clean Water Act - Wetlands Protection (section 

404), 40CFR Parts 230, 231; 45FR 85344, EPA 

Office of Water

•Wetlands Protection, EO 11990 •Magnuson-Stevens Fishery Conservation and 

Protection Act (Essential Fish Habitat), 50CFR 

Part 600, NMFS, NOAA

•Endangered Species Act, 50 CFR Parts 402, 450, 

451, 453, USFWS, NMFS, NOAA 

•Fish and Wildlife Coordination Act, 16 USC 661, 

USFWS, NOAA, NMFS 

•Coastal Zone Management Act, 15 CFR Part 930, 

923, NOAA, Dept. of Commerce Office of Ocean and 

Coastal Resource Mgmt. 

•Coastal Barriers Resources Act 

o If chemicals are added to the ballast water or if chemical byproducts are 

generated as part of the treatment process, provide the following data and 

information (refer to Table 3-2b): 

a. Quantitative data on chemical residuals, including peak concentrations in 

ballast water, concentrations at discharge, and a time-course of chemical 

breakdown or dissipation (i.e., concentration versus time) 

b. Appropriate toxicity test data 

c. Comparison of concentrations against relevant (e.g., EPA) standards for 

seawater quality 

d. A conclusion as to the fate of the chemicals: 

a. That they will degrade, e.g., in the tanks, to acceptable levels and 

pose no environmental threat upon discharge, or 

b. That the treated ballast water must be conditioned prior to discharge 

to reduce concentrations of said chemicals to acceptable levels 

TEXT BOX: Treatment chemicals and/or chemical byproducts residuals and, if necessary, a 

description of the conditioning of treated ballast water. 

VOS does not use treatment chemicals. 

6.3 Storage, Handling, and Exposure to Ballast Water Treatment Chemicals 

• Provide the following information: 

o Description of how the crew will handle the components of the system, including 

appropriate levels of personal protective equipment and other safety precautions 

(consistent with the Occupational Safety and Health Act of 1970) for the handling of 

ballast water treatment chemicals or protecting against exposure to the active 

components of the ballast water treatment process (refer to Section 3.7).

TEXT BOX: Handling of treatment chemicals 

VOS does not require treatment chemicals to be handled. 

o Description of appropriate methods (that meet all applicable local, state, and Federal 

requirements) for the storage of primary treatment chemicals or chemicals that occur 

as byproducts of the ballast water treatment process, if applicable (refer to Section 

3.7). 

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STEP 2006 Application Form 

Section 6.0: Environmental Compliance 

TEXT BOX: Storage of treatment chemicals 

VOS does not require treatment chemicals to be stored. 

6.4 Management of Ballast Water Treated Waste Streams 

• Provide identification and characterization of any ballast water treatment system side 

streams, for example filtered organic material (i.e., remains of dead organisms), 

centrifugal concentrate, and waste or residual chemical, as appropriate. 

TEXT BOX: Ballast water treatment system waste streams. 

No side streams are a part of the VOS treatment process. 

• Complete the text box below, showing the planned methodology to properly manage and 

dispose of waste and Table 6-2, identifying all applicable local, state, and Federal 

requirements, points of contact with resource protection agencies, and required permits, 

as appropriate (include copies of waste management permits and approvals in Appendix 

C). 

TEXT BOX: Ballast waste stream disposal. 

VOS treatment does not generate or dispose of a waste stream. 

• If chemicals are added to any waste stream or if chemical byproducts in a waste stream 

are generated as part of the treatment process, the Applicant must provide adequate 

data and information as follows: 

o Quantitative data on chemical residuals, including peak concentrations in the waste 

stream, concentrations at discharge, and a time-course of chemical breakdown or 

dissipation (i.e., concentration versus time) 

o Appropriate toxicity test data 

o A conclusion as to the fate of the chemicals: 

 That they will degrade to acceptable levels and pose no environmental threat 

upon discharge, or 

 That the waste stream must be conditioned prior to discharge to reduce 

concentrations of said chemicals to acceptable levels 

TEXT BOX: Chemicals and chemical byproducts in ballast waste stream(s) and, if necessary, a 

description of the conditioning of ballast treatment waste streams. 

VOS creates a small pH change in treated water. Discharged VOS treated ballast is not 

conditioned. EPA acute and chronic toxicity bio-assay testing has proved 100 %(zero dilution) 

VOS treated water to be non-toxic. These reports are in Appendix C and on the provided CD, 

titled “Short-term Chronic Toxicity Testing” and “Short-term Acute Toxicity Testing”. 

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STEP 2006 Application Form 

Section 6.0: Environmental Compliance 

Table 6-2. Regulations and Agency Checklist, Ballast Waste Streams 

Contact initiation with local, state, and federal agencies The specific voyage pattern 

and testing schedule is not 

known at this time. When 

treated BW discharge 

locations are identified the 

relevant approvals will be 

sought. 

Correspondence with applicable agencies appended 

Information on regulatory criteria or standards for any disposed 

waste, if applicable 

Copies of permits, approvals, etc. from applicable jurisdictions 

for the discharge of water and effluent obtained and appended 

6.5 Biological Issues 

The Government needs to assess the potential environmental effects and possible mitigative 

measures of experimental treatment systems accepted into STEP. Any relevant information the 

Applicant can provide will expedite the Coast Guard’s environmental review process. 

Applicants should be familiar with the potential for their BWT systems to cause adverse 

environmental effects, and with the options for prevention or mitigation of such effects, as a 

result of the research and development work on the treatment technology. 

Provision of this information is helpful, but not required. 

• If available, provide the results of a literature search of published and peer-reviewed 

articles or ‘gray literature’ reports that address the potential environmental effects of the 

proposed BWT system on the marine, estuarine and freshwater environments as 

appropriate and preventive and mitigative measures (attach full cited documents and 

geographic information on potentially affected areas, in Appendix C). 

• If you have contacted any resource protection agencies, complete Table 6-3 with 

information on the particulars of the correspondence. 

TEXT BOX: Environmental effects. 

The environmental effects of treated re-aerated water have been evaluated. Appendix I of the 

“Application for Type Approval Certification” (e-page 223 of 294) on the CD provided reports 

tests performed to evaluate both DO concentration and pH in receiving waters of VOS treated 

ballast. 

The contents of the inert gas produced by the VOS IGG have been analyzed by a laboratory. 

Appendix G of the “Application for the Type Approval Certification” (e-page 205 of 294) on the 

CD provided outlines these test results. 

VOS treated water has been analyzed for the presence of hydrocarbons. See appendix H of 

the “Application of the Type Approval Certification” (e-page 221 of 294) on the CD provided for 

the results of these laboratory tests. 

Eco-toxicology tests have been performed have determined there is no toxicity associated with 

the discharge of re-aerated VOS treated water. A series of tests were performed to quantify 

both acute and chronic toxicity. These reports are in Appendix C and on the provided CD, titled 

“Short-term Chronic Toxicity Testing” and “Short-term Acute Toxicity Testing”. 

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STEP 2006 Application Form 

Section 6.0: Environmental Compliance 

93

o Detailed descriptions of appropriate measures to mitigate any impacts identified. 

TEXT BOX: Preventive and mitigative measures. 

Use of the VOS system does not cause a circumstance where mitigation is required. 

Table 6-3: Regulations and Agency Checklist, Wildlife 

Contact initiation with local, state, and federal agencies N/A 

Correspondence with applicable agencies appended N/A 

Potentially affected species list appended N/A