## 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 Mainte nance 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 Goal s 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 Perfo rmance 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 Subhead ing Required Tabl es and Figures 1

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 pr ovides 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. Leav ing blanks or simply citing references toother 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 inform ation 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.

S ECTION 

### 1.0: A PPLICANT 

### ’ S 

### T EST 

### O RGANIZATION AND 

### M ANAGEMENT 

### P LAN



### 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 pr omise 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 FormSection 1: Applicant’s Test Organization and Management PlanFigure 1-1. STEP Project Org. ChartAPPLICANTAmerican Presidents Line (APL)EnvironmentalComplianceMr. RobertClarkAPL Director ofEnvironmentalAffairs AmericasCompanyOperationsAlamKhorshedAPL DirectorEngineering& ResearchDevelopmentSTEP Project ManagerAlam KhorshedAPL Director Engineering &Research DevelopmentShip'sOfficersCaptainNgwe LinChief EngSachinSaharawatPortEngineerEng. Services(NA/ME)Tiong AsiaVendor (1, 2, ...n)Tech Rep/EngrgGiles CandyNEI Treatment SystemsBiological Test TeamOrg/P.I.Dr. Mario TamburriMERC/CBL University of MarylandShip's Engrg.DeptObtain ContactInfo, ApplicantTest StaffSeniorScientistDr. GregRuizLabsChesapeakBiologicalLaboratory,SmithsoniamEnvironmentalResearch7STEP 2006 Application FormApplicant’s Test Organization and Management Plan8LaboratoryObtain ContactInfo, OthersField(Exp)Field (Analytical)Lab 1BigeowLabLab 2Lab nSTEP 2006 Application FormSection 1: Applicant’s Test Organization and Management PlanTable 1-1. Key Points of ContactAdd rows as necessaryCompany NameStreet AddressState/ProvinceCountryAPPLICANT (corporate officedata)APL456 Alexandra RoadSingapore/SingaporeSingaporePersonnelOrganizationNamePhoneEmailAPPLICANTSTEP Project ManagerAPLAlam Khorshed65-6371-7946khorshed_alam@apl.comPort EngineerCompany OperationsAPLAlam Khorshed65-6371-7946khorshed_alam@apl.comEnvironmental ComplianceAPLRobert Clark310-548-8822robert_clark@apl.comEngineering Services (NA/ME)APLAlam Khorshed65-6371-7946khorshed_alam@apl.comShip personnelCaptainNSSPL/APLNGWE LIN356372250/1apl.england@super-hub.comChief EngineerNSSPL/APLSACHIN SAHARAWAT356372250apl.england@super-hub.comChief MateNSSPL/APLCHONG JIA CHYUAN356372250apl.england@super-hub.comBW and BWT system operationsVENDORSVendor #1, Technical Rep.NEI TREATMENT SYSTEMSGILES CANDY2133835855gcandy@nei-marine.comVendor #1, Sales/service rep.NEI TREATMENTSYSTEMSGILES CANDY2133835855gcandy@nei-marine.comVendor #2, Technical Rep.Vendor #2, Sales/service rep.Vendor #3, Technical Rep.9STEP 2006 Application FormApplicant’s Test Organization and Management PlanVendor #3, Sales/service rep.10STEP 2006 Application FormApplicant’s Test Organization and Management Plan11Table 1-1. Key Points of Contact (continued)Add rows as necessary[Insert names of individuals]Company NameStreet AddressState/ProvinceCountryBIOLOGICAL TEST TEAMPrincipal Investigator [Mario Tamburri andGreg Ruiz ]Field(s) of expertiseUniv. of Maryland and(MERC/CBL)Smithsonian EnvironmentalResearch Center (SERC)One Williams Street,SolomonsMDU.S.Senior Scientist #1 [George Smith]Field(s) of expertise:SERCSenior Scientist #2 [Tim Mullady ]Field(s) of expertise:SERCLaboratoriesLab. #1, and role:Bigelow Laboratories180 McKown PointP.O. Box 475West BoothbayHarborMaineU.S.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 expec ted 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.



### 12STEP 2006 Application FormSection 1: Applicant’s Test Organization and Management PlanTable 1-2. Proposed STEP Project ScheduleAdd rows as necessary.Treatmentstage(s)Date(s)CommentsBWT System, Shipboard Installation and EngineeringBrief description of test and results, location,organization(s) involvedShipboard system installationStage 19/2008-presentIn progress. Installation is on-going final Class approval of theinstallation is being sought (5-09) for the full installation of theVOS system (inert gas generator, inert gas deck line, ballasttank P/V protection Venturi Injector riser loop and controlsystem).Dockside engineering testsStage 18/2009Commissioning and initial testing will be undertaken wheninstallation is complete.Test 1The need for any further engineering tests will be determinedafter the installation is approved by Class and commissioning byNEI.Test 2Test 3Engineering tests at seaStage 110/2009It is expected the system will be used to treat ballast at sea. Nooperational changes are foreseen for at sea or in port use of theVOS systemTest 1Test 2Test 313STEP 2006 Application FormApplicant’s Test Organization and Management Plan14Table 1-2. Proposed STEP Project Schedule (continued)Year 1 Shipboard Biological Testing Work)Date(s)Description of work, organization(s) involvedShip system mods. (e.g., samplingports, temporary lab spaces)9/2009As needed, e.g. A CA spec sampling port will be installed.Biological testing plan coordinated withshipSchedule to be determined. Biological testing will include; control, pre and posttreatment measurements of physical water quality and biological profusion, toIMO D2 StandardsTest equipment acquired and stagedSpring 2010Schedule TBD. It is planned to install 6 Mesocosm’s +/- 300gal onboard withpumps and other sampling hardwareTest equipment onboard the shipSpring 2010Initial quantitative analysis equipment and preserving supplies.Test equipment trial runsSpring 2010Once the biological testing team establishes an exact date for testing, it will beannounced.Biological experiment #1Summer 2010It is expected the test will be spaced overthe course of a year as to test theeffects of seasonal and environmental variations.Biological experiment #2Fall 2010Shoreside laboratory workIn association with each shipboard test.Test report to Coast GuardWithin a month of the test run biological testing team will present an eventsummary. Within four months of testing team will provide statistical data.

### STEP 2006 Application Form Section 2.0: Vessel and Existing Ballast Water System Specifications

S ECTION 

### 2.0: V ESSEL AND 

### E XISTING 

### B ALLAST 

### W ATER 

### S YSTEM 

### S PECIFICATIONS



### 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 {m eters}) 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 Serv ice 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 FormSection 2.0: Vessel and Existing Ballast Water System SpecificationsTable 2-3a. Process/Equipment Design Criteriafor Existing Ballast/Deballast SystemGeneral DescriptionNo.1 & 2 Ballast P/P <> Ballast Tanks; Backup arrangements >> Bilge, Fire & GS P/P toOverboard; Bilge & Ballast Eductor for stripping tanks;Cross-connections to othersystems(Y/N)Segregation: valves &controlsProcedural Description: Line-up ofpumps and valves, tanks usedFirefightingYBA005FD-B-TKS>> V/V BA001F>>V/V BA013F>>BA005F>> To Bilge, Fire & GS P/P lineGray waterN[Describe valves and controlsrelated to each cross-tie system][Describe line-up of pumps and valves;number of tanks used]BilgeN[Describe valves and controlsrelated to each cross-tie system][Describe line-up of pumps and valves;number of tanks used]OtherYBG043FD-B-TKS>> V/V BA001F>>V/V BA002F>>BA051F>> EductorOther[Describe valves and controlsrelated to each cross-tie system][Describe line-up of pumps and valves;number of tanks used]Design ParameterUnitsCriteria/DescriptionComments (optional)BW System Design FlowsAverage Uptake Flow RateMT/hour>900By gravity for D/B tanksAverage Discharge Flow RateMT/hour>900Ballast PumpsNumber of PumpsNo.2Manufacturer and model #NANANIWA PUMP MFG.CO.LTDMODEL:-FEWV-350Design FlowsM3/hour1000Discharge Pressurekg/cm^22.5Motor SizeKW440V/110 KWMotor TypeCS or VFD18STEP 2006 Application FormSection 2.0: Vessel and Existing Ballast System SpecificationsTable 2-3a. Process/Equipment Design Criteria forExisting Ballast/Deballast System (continued)Design ParameterUnitsCriteria/DescriptionComments (optional)Sea ChestsNumberNo.TWOOpening areaM2Low Sea chest= 0.764m2High sea chest= 0.885 m2Manual MA-08,Drwg:- dwg no-mf439.20Location(s) (frame and height ABL)metersLow sea chest –fr100.ABL-2.730High sea chest -fr94-fr95ABL4.604Manual MA-08,Drwg:- dwg no-mf439.20Rack/screen Opening SizemmHigh sea chest=600x800 (3set)Low sea chest = 600x1000(2set)Manual MA-08,Drwg:- dwg no-mf439.20Screen/Filter/Strainer UnitsNumber and typeNo.STRAINER /W S004FManufacturer and modelNASUNBO INBO/W S004FCapacityMT/hour10 K x600AMaximum Retained Particle SizemmNABackwash TypeManual orAutomaticBackwash Flow RateMT/hourTank Level MonitorsTypeNAAIR PURGE UNITTypical tank arrangementNAAncillary EquipmentTypeNABILGE AND BALLASTEDUCTORNumberNo.1CapacityMT/hour70Power RequirementsKWNA19STEP 2006 Application FormSection 2.0: Vessel and Existing Ballast System Specifications20Table 2-3b. Required Drawings, Ship’s Ballast SystemTitleDwg. NumberPrepared by (shipyard or design firm)Ship Side Distance PC’s Inst in E/Rdwg no-mf439.20 and 439.30SAMSUNG HEAVY INDUSTRIES CO. LTDBallast System, Piping DiagramMB601.10Cross Connected System(s), Piping Diagram(s)1MB601.10SAMSUNG HEAVY INDUSTRIES CO. LTD2EF702.55SAMSUNG HEAVY INDUSTRIES CO. LTD3MB601.30SAMSUNG HEAVY INDUSTRIES CO. LTDMachinery arrangement(s), space(s) with BWsystem componentsMB 601.25SAMSUNG HEAVY INDUSTRIES CO. LTD12MB 601.15SAMSUNG HEAVY INDUSTRIES CO. LTD3Add 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.



### 21STEP 2006 Application FormSection 2.0: Vessel and Existing Ballast Water System SpecificationsTable 2-4. Ship Tank TableAdd rows as necessary. Data are requiredin all cells, using as many rows as required for tanks used for ballast at anytimeCompartment Type (check one, each row)Compartment name &numberBallastWaterCapacity(metrictons)DedicatedBallastTank (orSBT)Multi-useTanksLiquidCargo Tank(for tankships)DryCargoHoldOtherMultiple –use1F.P.T (C)1079.0X2No.1 D/B W.B.T (C)1091.6X3No.2 D/B W.B.T (C)1249.2X4No.2 WING W.B.T (P)1357.8X5No.2 WING W.B.T (S)1357.8X6No.3 D/B W.B.T (P)612.5X7No.3 D/B W.B.T (S)612.5X8No.4 D/B W.B.T (P)508.8X9No.4 D/B W.B.T (S)508.8X10No.4 WING W.B.T (P)457.3X11No.4 WING W.B.T (S)457.3X12No.5 D/B W.B.T (P)600.4X13No.5 D/B W.B.T (S)600.4X14No.5 WING W.B.T (P)1335.6X15No.5 WING W.B.T (S)1335.6X16No.6 D/B W.B.T (P)440.6X17No.6 D/B W.B.T (S)440.6X18A.P. T (P)507.5X19A.P. T (S)507.5X20Add rows as necessary22

### STEP 2006 Application Form Section 3.0: Proposed Ballast Water Treatment System

S ECTION 

### 3.0: P ROPOSED 

### B ALLAST 

### W ATER 

### T REATMENT 

### S YSTEM



### 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 prot otype 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 devel opment 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 m 3 /hr pilot scale system was completed in 2004. Shipboard trials using a 1,000 m 3 /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 imm ediately 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



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### 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 wher e 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



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### 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 c oncentration, 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.



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### 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 m 3 /hr –
37,000 m 3 /hr). A design for an 8,000 m 3 /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 sy stem 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.



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### 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 wa ter 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 t he proposed BWT system showing the main treatment processes, chemicals, and monitoring and control devices for the system (Figure 3-1 “Process Flow Diagr am 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.)



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### 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 Tr eatment System Basic Flow Diagram, in Appendix A.



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### 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



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### STEP 2006 Application Form Section 3.0: Proposed Ballast Water Treatment System

VENTURI

INJECTOR



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### 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 treatm ent modules, provide an explanation

under Comments.

o BWT Point of Treatment—The BWT syst em 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”.



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### 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 pr oposed BWT system includes physical removal, physical disruption or the rmal treatment as a treatment stage. The design criteria are grouped into eight categories: General, Design Flow, Primary Treatment Unit, Ancill ary Treatment Equipment, Treatment Stage Replacement Components, Treat ed Ballast Water Quality (NonBiological), Waste Stream Flows and Wast e Stream Quality. If critical design parameters for the proposed treat ment stage are missing from the table, the Applicant should add additi onal rows, starting with the row

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

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### 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—Defi ned as equipment or instrumentation that supports the functionality of the primary treatment unit. For example, a chemical feed system used to clean a me mbrane 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 inte rval 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 str eam 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 FormSection 3.0: Proposed Ballast Water Treatment SystemTable 3-2a: Treatment Stage Design Criteria for Proposed BWTSystem - Physical Removal/Disruption and Thermal TreatmentDesign ParameterUnitsCriteria/DescriptionCommentsGeneral InformationTreatment Stage NumberNo.__1__1[Optional]ManufacturerMitsubishi Kakoki Kaisha, LTD[Optional]Model No.1250m3/hr[Optional]BWT Design Flow- MaximumMT/hr1000- AverageMT/hr1000Design point of system- MinimumMT/hr800Primary Treatment UnitType--Thermal oxidizing IGG producing very lowoxygen inert gas.[Optional]Method of Removal/Disruption/Inactivation--Inertgas is educted (via a venturi injector) intoballast water, stripping out dissolved oxygen.[Optional]Minimum Particle SizeRemoved/DisruptedmicronN/A[Optional]No. of Units Per Treatment StageNo.1[Optional]Capacity Per UnitM3/hr1250m3/hrUnit is designed to generate 1250 m3/hr ofvery low oxygen inert treatment gas. Theballast capacity of this treatment volume is1000 m3/hr (MT/hr).Materials of Construction--Stainless steel flanged and sealed withstandard water service, aramide fibercontaining buna-N binder, gaskets. Gasketsexpected not to be wetted.Burner and flame housing composed ofstainless steel and high temperature gradestainless steel containing flanged joints sealedwith high temperature flange gaskets.Gaskets do not experience wetting.The individual components on the unit arelisted in chart titled “IGG equipment,instruments, and automatic valves” includedin Appendix A.34STEP 2006 Application FormSection 3.0: Proposed Ballast Water Treatment SystemCarbon steel piping is used for blower air andinert gas piping. Stainless steel piping is usedfor cooling, wash water.Seals will experiencewetting. Standard water service, aramid fibercontaining buna-N binder, gasket material.Overall Dimensions (L x W x H)cm370 x 173 x 270[Optional]Dry Weightkg4,000[Optional]Wet Weightkg4,250[Optional]Inlet Pipe Sizecm15 diameter[Inert Gas Line]Outlet Pipe Sizecm15 diameter[Inert Gas Line]Power RequirementskW40 rated / 25 run[Optional]Other--[Add additional design criteria if necessary(one criterion per row)][Optional]Fuel UsageL/hr125[Optional]Cooling Waterm3/hr125At 2-4 bar35STEP 2006 Application FormSection 3.0: Proposed Ballast Water Treatment SystemTable 3-2a (continued)Design ParameterUnitsCriteria/DescriptionCommentsAncillary Treatment EquipmentType400 mmVenturi injector is used to inject the IG into theballast water, creating micro-fine inert gasbubble, ballast water emulsion. It allows theformation of micro-fine bubbles, acceleratingthe diffusion of dissolved oxygen from theaqueous phase to the gas phase. The violentshearing environment produced at the eductorport causes damage to the larger incomingorganisms.[Optional]No. of Units Per Treatment StageNo.__1__One unit is needed for operation; two areinstalled for applicationswith two flow rates(where multiple ballast pumps can operatetogether or individually).[Optional]Capacity Per UnitMT/hr800-1000[Optional]Materials of Construction--The unit issolid stainless steel. Unit will beflanged into piping. Seal will be wetted andwill be performed by standard water service,aramide fiber buna-N binder, gaskets.[Optional]Overall Dimensions (L x W x H)cm177 x 58 x 58[Optional]Dry Weightkg200[Optional]Wet Weightkg225[Optional]Inlet Pipe Sizecm40[Ballast line riser loop]Outlet Pipe Sizecm40[Ballast line riser loop]Power RequirementskWNone[Optional]Other--[Add additional design criteria if necessary(one criterion per row)][Optional]Treatment Stage Replacement ComponentsType--Ignition electrode (spark plug) andconnections36STEP 2006 Application FormSection 3.0: Proposed Ballast Water Treatment SystemNo. of Components Per Treatment StageNo.1[Optional]Expected Service LifemonthsN/AWill be replaced as needed.Other--[Optional]Type--Various electronics such as relays, circuitbreakers, switches, transmitters, etc.Will be replaced as needed.No. of Components Per Treatment StageNo.See Maintenance Requirements TEXT BOXfor entire list.[Optional]Expected Service LifemonthsN/AWill be replaced as needed.Other--A complete set should be kept aboard.[Optional]Type--Solenoid valves and coils[Optional]No. of Components Per Treatment StageNo.3fuel valves and 7 solenoid operated butterflyvalves[Optional]Expected Service LifemonthsA spare fuel valve and replacement coilsshould be kept on board. It is possible thesolenoid valves will have to be replaced after5-10 years.[Optional]Other--[Add additional design criteria to fully specifyreplacement components (one criterion perrow)][Optional]37STEP 2006 Application FormSection 3.0: Proposed Ballast Water Treatment SystemType--Oxygen analyzer replacement cells andsample filter[Optional]No. of Components Per Treatment StageNo.1[Optional]Expected Service Lifemonths12-24Will be replaced as neededOther--Spare components should be kept aboard.[Optional]Type--BlowerBelt[Optional]No. of Components Per Treatment StageNo.6[Optional]Expected Service LifemonthsN/AWill be replaced as neededOther--Spares should be kept aboard.[Optional]Type--Flamescanner[Optional]No. of Components Per Treatment StageNo.2[Optional]Expected Service LifemonthsN/AWill be replaced as needed38STEP 2006 Application FormSection 3.0: Proposed Ballast Water Treatment SystemOther--Spare should be kept aboard.[Optional]Type--DemisterPad[Optional]No. of Components Per Treatment StageNo.1[Optional]Expected Service LifemonthsN/AWill be replaced as neededOther--A spare component should be kept aboard.[Optional]Type--Blower and fuel starter contacts[Optional]No. of Components Per Treatment StageNo.1 setof contacts for the blower and 1 set forthe fuel pump[Optional]Expected Service Lifemonths60Will likely be replaced after 5 yearsOther--[Optional]Type--IGGburnercone[Optional]No. of Components Per Treatment StageNo.1[Optional]39STEP 2006 Application FormSection 3.0: Proposed Ballast Water Treatment SystemExpected Service Lifemonths120Will likely be replaced after 10 years.Other--[Optional]Type--Valve actuator seal kits[Optional]No. of Components Per Treatment StageNo.11 butterfly valves[Optional]Expected Service Lifemonths120Will likely be replaced after 10 years.Other--[Optional]Type--Output module and Analog module for thePLC[Optional]No. of Components Per Treatment StageNo.1[Optional]Expected Service Lifemonths120Will likely be replaced after 10 years.Other--[Optional]Type--WaterSprayNozzles[Optional]40STEP 2006 Application FormSection 3.0: Proposed Ballast Water Treatment SystemNo. of Components Per Treatment StageNo.1[Optional]Expected Service Lifemonths120Will likely be replaced after 10 years.Other--[Optional]41STEP 2006 Application FormSection 3.0: Proposed Ballast Water Treatment SystemTable 3-2a (continued)Design ParameterUnitsCriteria/DescriptionCommentsQuality of Treated Ballast Waterat Discharge (Non-Biological)Change in Total Suspended Solids (TSS)Concentration, Rangemg/LUnchangedbyVOS[Optional]Change in pH, RangeunitLowered by 1-1.5 pHunitsDischarged water will vary between 6-6.5pH units due to increased carbonateconcentration. Shipboard testing indicatedno observable difference in pH betweendischarge and ambient water at point ofdischarge.Maximum Water Temperature Risedeg C0[Optional]Change in Salinity, Rangemg/L0Change in Dissolved Oxygen, Rangemg/L0Maybe elevated due to active re-aerationduring dischargeOther Treatment By-Products--None[Optional]Other--[Optional]Waste Stream FlowsType--None[Optional]Discharge Flow Range Per BWT EventL/minN/A[Optional]Discharge Duration Range Per BWTEventMin.N/A[Optional]Total Discharge Volume Range Per BWTEventlitersN/A[Optional]Waste Stream Water Quality- TSS Concentration Rangemg/LN/A[Optional]- pH RangeunitN/A[Optional]42STEP 2006 Application FormSection 3.0: Proposed Ballast Water Treatment System43- Maximum Water Temperature Risedeg CN/A[Optional]- Other--[Add additional waste stream criteria if needed(one criterion per row)][Optional]

### 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 inte rfaces 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 2 nd 

### 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 2 nd 

### 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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### STEP 2006 Application Form 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 titl es 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 mountingSTEP 2006 Application FormSection 3.0: Proposed Ballast Water Treatment SystemTable 3-3. BWT System and Installation Drawings Provided in Appendix ATitleDwg. NumberandRevisionDatePrepared by (vendor, shipyard, ordesign firm, other)BWT equipment drawingsSpecification of IGG UnitMitsubishi Kakoki Kaisha, LTDIGG Equipment, Instruments, Automatic Valve ListMitsubishi Kakoki Kaisha, LTDVenturi InjectorRAW-16098LF10/15/08Mazzei Injector Co. LLCSpectacle Flange00-000-014-29-09NEI Treatment SystemsVOS System IGG36086410/9/08Mitsubishi Kakoki Kaisha, LTDVOS System Outline DrawingY-11282310/9/08Mitsubishi Kakoki Kaisha, LTDVOS System Structure DrawingY-11282410/9/08Mitsubishi Kakoki Kaisha, LTDVOS System Unit DrawingY-11282210/9/08Mitsubishi Kakoki Kaisha, LTDVOS System Fuel Oil LineY-11283510/9/08Mitsubishi Kakoki Kaisha, LTDBallast Control Cable ArrangementsA7124-IG-M112-27-07Technical Marine ServiceShipboard installation drawingsVOS Basic Flow DiagramVOS 1000-13/27/09NEI Treatment SystemsGeneral Arrangement2213-01-111/6/08Pfitzco Inc. - Marine Equipment ServicesBallast Connection2213-02-1 shts 1-311/6/08Pfitzco Inc. - Marine Equipment ServicesIGG Platform2213-03-111/6/08Pfitzco Inc. - Marine Equipment ServicesAdd 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 t he 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 ac tuated 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 m 3 /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 m 3 /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 (E I&C) requirements of the BWT system. Text boxes are provided below for detailed de scriptions. 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 t he 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 (B CR) 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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### STEP 2006 Application Form Section 3.0: Proposed Ballast Water Treatment System

VOS testing has proven consistent effective biol ogical 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 provid e 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, unle ss 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 c ontrol 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” bu tton 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 circui t 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 wate r 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 cont rol 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 Appendi x 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 O perations 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 pr essure/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 pr essure 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 repl acement 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 P ROOF OF 

### B ALLAST 

### W ATER 

### T REATMENT 

### P ERFORMANCE



### 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 co mplete 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 S TUDY 

### P LAN



### The purpose of this section is to provide detaile d 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 t he 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 criter ion, 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 regar ding the long-term performance monitoring of the Applicant’s BWTS that is planned for the STEP equivalency period. The use ofbiological, 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 experim ental 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



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### STEP 2006 Application Form Section 5.0: STEP Study Plan



### 59 conducted). For each taxonomic class of organi sm 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 A ssay” 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 C ollection,

H andling, A ssay, 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 c onduct 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 FormSection 5.0: STEP Study PlanTable 5-1.Test Team Personnel Responsibilities for Ballast Water Treatment System Testing under STEP. Individualpersonnel may be responsible for multiple tasks. If person has notyet been identified, then TBA 1, TBA 2 should be enteredunder "Person". Adjust Column widths as needed. Checks in boxesrepresent significant responsibility under that task category.Person1Title2Organization3Zooplankton4,5Phytoplankton4,5Bacteria4,5Cysts/Rest Stages4,5Protozoa4,5Viruses4,5Other4,5Oversight of Test Program6TBASample CollectionSample Handling and TransportSample Assay1 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, etc3 Name of organization or institution where the person is affiliated4 Place a checkmark in the "Sample Collection" and "SampleHandling and Transport" sections under each taxon group that theindicated person hassignificant 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 assay.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 z 1 

### , z 2 

### , z n 

### , 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, z 1 

### 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, phytopl ankton, 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 m 3 

### (No./m 3 

### )



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### STEP 2006 Application Form 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 Discharged 3 Test Taxa 1

Average% Max%/Min

% Average

Number Max/Min Number Refs 4



### Zooplankton Taxa

All Taxa

Organism greater than

50 μ m in min.

dimension. >98% 100%-

>98% <10

viable organism

s

per m 3 A max of 10-0 viable organisms

per m 3 Previous shipboard testing.



### Phytoplankton

All Taxa

Organisms less than

50 μ m but greater than

10 μ m 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 μ m 

### eukaryotes)

All Taxa

Organisms less than

50 μ m but greater than

10 μ m in min.

dimension. >98% 100%-

>98% <10

viable organism

s

per m 3 A max of 10 viable organisms per ml. Previous shipboard testing.

Table continued on following page.



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### STEP 2006 Application Form Section 5.0: STEP Study Plan



### Table 5-2 (continued)

Applicant BWTS Goals

% Removal/ Inactivation 2 #Organisms Discharged 3 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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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 sampli ng 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 phy sico-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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### 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 exper iments 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 t he 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 Tr eatment 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 tak en 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 Discharge 4

Pre-BWT System 3 replicate sample collected, beginning middle and end of ballast uptake

Control

Ballast Tank Multiple assays will be co nducted as access allows.

Postcomponent

#1 5

Postcomponent

#2 5

Postcomponent

#3 5

Treatment

Ballast Tank Multiple assays will be co nducted 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.



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### 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 t he 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 Syst em (i.e. uplift water, ballast tank, pre-BWTS, after component 1, component 2, at di scharge, 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 Syst em 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 coll ected post-treatment to dev elop the "time-course" of response to treatment (fill in as total hrs held; No. time points).

9 Number of replicate holding tanks, mesocosm s 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



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### 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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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



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### STEP 2006 Application Form Section 5.0: STEP Study Plan

Figure 5-2



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### STEP 2006 Application Form Section 5.0: STEP Study Plan

Figure 5-2



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### 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 gr oup 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 (S 1 

### , S 2 

### , S

n 

### ; 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 S 1 

### , S 2 

### , S

n 

### ; 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 t 0 

### , t 1 

### , t

n 

### ; in figure 5.2).

o “Sample holding conditions” are the conditions under which subsamples S 1 

### , S 2 

### , S

n 

### (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 Qualit y 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 number s 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-m 3 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 tostimuli techniques. Depending on concentrations, quantification may require analysis of sub

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### 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 select ively 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 μ m 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 di verse 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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### 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 wi th interpretation, and finally archived at SERC.

Sample organization and da ta management/Archive:

Established ballast water sample la beling 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 FormSection 5.0: STEP Study PlanTable 5-4.Biological Sampling and Analysis: collection, analytical methods, holding,etc. for the BallastWater TreatmentSystem for evaluation under STEP.Taxonomic GroupZooplankton(>50 umorganisms)Phytoplankton(50-10umorganisms)BacteriaCysts/RestingStagesProtozoaVirusesOtherOther# Replicate Assays per Sample11*1*1*Sample Collection MethodSample portSample portSample portViability Assay Method2Stimulus-ResponseRegrowth andLive StainingCommercialAssay kits(IDEXX)Sample Holding Time for ViabilityAssays3Less than 3hoursLess than 3hoursLess than 3hoursPreservativeaerationIced sampleTemperatureambientIced sampleambiantMethod &Duration ofShippingOn site anyalsisOn siteanyalsisOn siteanyalsisChain ofCustodySample HoldingConditions (betweensampling and analysis)QC4Enumeration Method5Stimulus-ResponseRegrowth andLive Stainingthen fixingIDEXX KitsSample Holding Time forEnumeration AssaysLess than 3hoursLess than 3hours tostaining/fixingLess than 3hoursPreservationformalinLugol’ssolution and afixed FDAstainingformalinSample Archiving(Long-term Storage)LocationSERCSERCSERC77STEP 2006 Application FormSection 5.0: STEP Study Plan78# SamplesConcentrationdependent1 of eachpreservationtype permesocosm1 sample permesocosmSee footnotes, next page.Table 5-4 (continued): Footnotes1 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 becollected from each mesocosm2 The method used to determine the removal or inactivation oforganisms within each taxa (for example: motility in zooplankton).3 Time from sample collection to assay.4 How will integrity of "held" samples be documented5 Method used to count the numbers of organisms, generally total count method (for examplepreserved microscopic counts onphytoplankton or DAPIbacteria)

### 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 90 o 

### 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 8m 3 

### /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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### STEP 2006 Application Form Section 5.0: STEP Study Plan



### 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 t 

### he 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 oxy gen, pH, and chlorophyll fluorescence. Each discharge sample will be measured for the same parameters.STEP 2006 Application FormSection 5.0: STEP Study PlanTable 5-5.Environmental Parameters & Water Chemistry: sample collection, analyticalmethods, holding, etc.Water Quality/EnvironmentalParametersTurbidityTSSChlorophyll aNutrientsTemperatureSalinitypHDissolvedOxygenChemicalResiduals6Sample Collection Method1From sample portIn situ orfrom sampleportIn situ orfrom sampleportIn situ orfromsampleportIn situ orfromsampleportIn situ orfromsampleport# Replicate Assays per Sample21*1*1*1*1*1*Analytical Method3EPA methodEPAmethodEPAmethodEPAmethodEPAmethodEPAmethodSample Holding Time for Assays4unknownMinimalMinimalMinimalMinimalMinimalPreservativeNoneTemperatureunknownShippingunknownChain ofCustodyBiological testingteamSample HoldingConditions(betweensampling andanalysis)QC5PreservationNoneLocationSampleArchiving(Long-termStorage)# Samples1 Assays are "in situ" if inserting a probe in the environment or ballast tank; if grab sample and assayed on ship then enter sampling method.2 Number of sub-samples assay from a single sample bottle to determine analytical variation.*Three replicate mesocosms willbe collected per sample. Multiplesub-sample assays will not becollected from each mesocosm3 The method used for assay, include reference to Standard Methods as appropriate4 Time from sample collection to assay.81STEP 2006 Application FormSection 5.0: STEP Study Plan825 How will integrity of "held" samples be documented6 Identify chemical(s) used for the BWT or created duringtreatment and indicate details for analysis of the residual concentration released tothe 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 experiment s, 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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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 w ill 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.



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### 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 fo r testing. Current test are designed to test reliability of treatment during typical voyage cond itions. Primary treatment and future tests have same target goals.

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### 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 A PL 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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### 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 ba llast 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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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 treatm ent systems accepted into STEP. Any relevant information the Applicant can provide will expedite the Coas t 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 m easures (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

N/A Contact initiation with local, state, and federal agencies

Correspondence with applicable agencies appended N/A Potentially affected species list appended N/A