For reasons of economy, this document is pr inted in a limited number. Delegates are kindly asked to bring their copies to mee tings and not to request additional copies.

I:\MEPC\59\2-4.doc

INTERNATIONAL MARITIME ORGANIZATION

IMO 

# E

MARINE ENVIRONMENT PROTECTION
COMMITTEE 59th session Agenda item 2 MEPC 59/2/4 9 December 2008 Original: ENGLISH

HARMFUL AQUATIC ORGANI SMS IN BALLAST WATER

Application for Basic Approval of the HHI Ba llast Water Management System (EcoBallast)

Submitted by the Republic of Korea

SUMMARY

Executive summary: This document contains the non-conf idential information related to the application for Basic Approv al of the HHI Ballast Water Management System (EcoBallast), in accordance with the “Procedure for approval of ballast water management systems that make use of Active Substances (G9)” adopt ed by resolution MEPC.169(57)

Strategic direction: 7.1

High-level action: 7.1.2

Planned output: 7.1.2.4

Action to be taken: Paragraph 6

Related documents: BWM/CONF/36; MEPC 53/24/Add.1; MEPC 58/23 and BWM.2/Circ.15

Introduction

1 Ballast water management systems which make use of Active Substanc es or Preparations containing one or more Active Substances shall be approved by the Organization under regulation D-3.2 of the BWM Convention.

2 The “Procedure for approval of ballast wa ter management systems that make use of Active Substances (G9)”, adopted by resolu tion MEPC.126(53), defines the principal aspects to be documented by data or testing (MEP C 57/21, annex 1, paragraph 4.2.1) and some basic principles for risk evaluation (MEPC 57/21, annex 1, paragraph 5.3). According to section 6 of the Procedure (G9), the Orga nization should evaluate the information provided in the application.MEPC 59/2/4 - 2 -

I:\MEPC\59\2-4.doc 3 According to BWM.2/Circ.15, proposals for approval of ballast water management systems that make use of Active Substances are to be submitted to Marine Environment Division of the Organization to be re viewed by the GESAMP-Ballast Water Working Group. In the meantime, a document on the proposal for approva l containing all the non-confidential data related to the respective ballast water management systems that make use of Active Substances needs to be submitted to MEPC 59.

4 The competent authority in the Republic of Korea has verified the application dossier prepared by Hyundai Heavy Industries Co. Ltd. (HHI) and believes it to satisfy the data requirements of Procedure (G9).

5 The Republic of Korea therefore submits the non -confidential part of th e applicant’s dossier in the annex of this document to the Organization for evaluation according to Procedure (G9). The complete dossier will be made available to the experts of the GESAMP-Ballast Water Working Group with the understandi ng of confidential treatment.

Action requested of the Committee

6 The Committee is invited to consider the pr oposal for approval and decide as appropriate.

***MEPC 59/2/4

I:\MEPC\59\2-4.doc ANNEX

NON-CONFIDENTIAL INFORMATIO N ON THE HHI BALLAST WATER MANAGEMENT SYSTEM (THE REPUBLIC OF KOREA)

Contents

1 INTRODUCTION

1.1 Working principles of the HHI Ballast Water Management System (EcoBallast) 1.2 Description of the “EcoBalla st” system and its components 1.3 Development of Helix type UV reactor 1.4 Description of the pilot scal e test system of “EcoBallast” 1.5 Operation of test facility 1.6 Sampling and Measurements 1.7 Full-scale (200 m3 /hr) test results

2 DEFINITIONS

2.1 Terms and Definitions 2.2 Background for determining the “Active Substance” and “Relevant Chemicals” 2.2.1 Introduction 2.2.2 Direct Damage 2.2.3 Indirect Damage 2.2.3.1 Formation of hydroxyl radical (OH•) 2.2.4 Active Substances 2.2.5 Relevant Chemicals (hydroxyl radical (OH•))

3 PRINCIPLES

4 GENERAL REQUIREMENTS

4.1 Identification 4.1.2 Active Substance 4.1.3 Relevant Chemicals 4.1.4 Discharge characteristics 4.1.4.1 Literature Reviews 4.2 Data-set for Active Substances and Preparations 4.2.1 Properties and actions of the Preparation 4.2.2.1 Acute and Chronic aquatic toxicity 4.2.2.2 Data on mammalian toxicity 4.2.2.3 Data on environmental fate and effect under aerobic and anaerobic conditions 4.2.2.4 Physical and chemical properties for the Active Substances and Preparations and the treated ballast water, if applicable. 4.2.2.5 Analytical methods at environm entally relevant concentrations. 4.3 Assessment reportMEPC 59/2/4
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I:\MEPC\59\2-4.doc 5 RISK CHARACTERIZATION

5.1 Screening for persistency, bioaccumulation and toxicity 5.2 Toxicity testing of th e treated ballast water 5.3 Risk characterization and analysis

6 EVALUATION CRITERIA

6.1 Ship and personnel safety 6.1.1 Hazard Identification (HAZID) study of “EcoBallast” Management System 6.1.2 Managements in emergency conditions 6.2 Environmental protection

7 REGULATION OF THE USE OF ACTIV E SUBSTANCES AND PREPARATIONS

7.1 Handling of Active Substances and Preparations 7.2 Hazard documentation and labelling

8 APPROVAL

9 CONCLUSION

10 REFERENCES

11 APPENDIXES

APPENDIX I QUALITY ASSURANCE PROJECT PLAN (QAPP) FOR TESTING HHI-BWM (“EcoBalla st”) SYSTEM FOR TYPE
APPROVAL AND FULL SCALE (200 m3/hr) TEST REPORT

APPENDIX II QUALITY ASSURANCE PROJECT PLAN (QAPP) FOR HHI-BWM (“EcoBallast”) SYSTEM AND TEST REPORT
FOR CHEMICAL ANALYSIS

APPENDIX III AQUATIC TOXICITY TEST

APPENDIX IV CORROSIVITY TES T FOR UV-TREATED BALLAST
WATER

APPENDIX V HAZID STUDY ON “EcoBallast”

APPENDIX VI SYSTEM DESCRIPTION OF HHI BALLAST WATER
MANAGEMENT SYSTEMMEPC 59/2/4
ANNEX

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I:\MEPC\59\2-4.doc This report is structured in accordance with the headlines in the “Procedure for approval of ballast water management systems that make use of Active Substances (G9)”.

1 INTRODUCTION

1.1 Working principles of the HHI Ballas t Water Management System (EcoBallast)

The ballast water is treated at intake (ballasting) and again at discharge (de-ballasting). The treatment during intake ensures that a mini mal amount of viable organisms enter into the ballast water tanks and reduces sediment built-up in the ballast water tanks, which is a potential area for survival and growth of organisms. The wa ter is treated again during discharge to ensure that any potential re-gro wth of organisms in the ballast water tanks is prevented. The working principle is disinfection or de struction of organisms through UV radiation without addition of chemical compounds, so the “EcoBallast” system represents a chemical-free disinfection procedure

.

1.2 Description of the “EcoBallast ” system and its components

The “EcoBallast” Water Management System is a complete system and its operation can be divided into three main functions: filtration ; disinfection of mari ne organisms through UV radiation; and controls and auxiliary functions. A ccordingly, the system is composed of three main units: 1) a filtration unit; 2) a UV reactor, and 3) a control and cleaning unit. The “EcoBallast” system is illustrated schematica lly in Figure 1. The detailed description of “EcoBallast” is prepared in Appendix VI.

Figure 1 : Schematic Process Diagram of the “EcoBallast” Water Management System

The filtration unit

This filter unit is composed of a 50 μm filter with automatic back flushing. The filter removes larger particles and organisms from the water. This filtration reduces the sediment load of the ballast water and hence reduces sediment build-up in the ballast water tanks. The filter is fullyMEPC 59/2/4
ANNEX Page 4

I:\MEPC\59\2-4.doc automatic in terms of its operation and cleaning without affecting the f iltration process, and backwashing water is returned into the sea in situ . The filter unit operates only during ballasting; during de-ballasting, the filter unit is by-passed.

The UV Reactor

The ballast water is treated by UV radiation both during ballasting and again during de-ballasting to destroy any organism which mi ght have re-grown or survived in the ballast water tanks during the voyage.

The Helix type UV reactor of the “EcoBallast” system which has been specially designed for ballast water application to re duce space and to maximize its efficiency employs a high-intensity, medium-pressure ultra-violet lamp. The helix UV reactor overcomes the limitation of previous UV systems for application to ballast water tr eatment because the he lical lamp structure decreases the probability that water volume segments, including micro-organisms, pass the UV chamber without being exposed to sufficiently high UV doses. Sectors with relatively high velocity and low irradiation flow have been e liminated as far as possible. The helix lamp arrangement ( patent pending ) overcomes the need for additiona l chemical treatment due to a revolutionary lamp arrangement leading to an extremely uniform dose distribution at ideal hydraulic conditions. The applied UV dose is ideal and even organisms with very high resistance to UV light can be inactivated definitively. This system represents a chemical-free disinfection procedure as no chemical compounds are added to the process

.

The control and cleaning system

The system control unit controls “EcoBallast” management system and supplies power to all items, and the water flow meter and alar ms are installed at different levels.

One method for gauging UV effectiveness is to compute UV dose. UV dose is the most important control variable in system to kill small organism and it depends on flow rate, water quality, lamp age and UV light output from UV lamp. However, UV dose cannot be measured by direct measurement device. The system controls only UV lamp output to adapt UV dose by controlling power of ballast device until the system flow is in design range.

In the system, the UV dose will be controlled to optimize power efficiency, according to flow rate and water quality (APPENDIX VI).

The system also comprises a “cleaning in place” (C IP) unit which is an automatic service device that cleans the quartz sleeves covering the UV lamps after each ballas ting and de-ballasting operation. The operation is according to programme by manual initiation during the voyage period. CIP unit is installed ad jacent to the UV reac tor and the line is connected to every UV reactor. After service operation of UV reactors, the reactors wi ll be cleaned by the CIP unit one by one.

Biodegradable acid solution coul d be used to solve the chemical deposits such as calcium carbonate, magnesium carbonate, and so on. The cleaning solution is reusable until its lifetime and all cleaning solutions will be recovered to the CIP tank at the end of the cleaning operation. The lifetime of the cleaning solution can be de tected by installed pH meter or cleaning performance after cleaning operatio n which can be estimated by comparing light intensity before and after cleaning. The detailed description of cleaning unit is prepared in Appendix VI.MEPC 59/2/4
ANNEX

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I:\MEPC\59\2-4.doc The application for Basic Approval will focus on the Helix type UV reactor. The filter and other components are not considered to be re levant for Active Substance approval.

1.3 Development of Helix type UV reactor

UV technology

In principle, two different UV technologies (low pressure, LP, and medium pressure, MP) are available for disinfection. Essentially a UV sp ectrum has to be applied, which inactivates microbial organisms, and the so-called germicid al range is at wavele ngths between 200-300 nm. This value is usually approximated by the relative absorbance of DNA. Germicidal effectiveness of the 254 nm emission line by LP (low pressure ) UV lamps is regarded as unity. Some basic differences between LP and MP UV t echnology are summarized in Table 1.

Table 1: Summary of low-pressure and medium-pressure UV technologies

Parameter Low-Pressure LP (Amalgam) Medium-Pressure MP

Germicidal action spectrum Monochroma tic spectrum Polychromatic spectrum

Operating Temperature Optimal at 100°C 600 – 900°C

Electrical Input (W/cm) 2 50 – 250

Germicidal UV Output (W/cm) 0.7 5 – 30

Arc length (cm) 20 – 200 5 – 120

Relative Number of Lamps High Low

Lifetime (hrs) 8,000 – 12,000 3,000 – 5,000

Concerning the electrical effectiveness, the LP technology appears the be tter choice. However, for application to ballast water treatment other parameters are also relevant. These are summarized in Table 2.

Table 2: Relevant parameters for ballast water treatment application of UV technologies

Technology Low-pressure LP Medium-pressure MP

Parameters Rating Reason Rating Reason

footprint Poor High number of lamps Good Low number of lamps
pressure loss Poor High number of lamps Good Low number of lamps

Efficiency (Germicidal) Moderate Monochromatic action spectrum, 254nm Good Polychromatic action spectrum, Each micro-organism has a unique action spectrum. Damage to other molecules than DNA, e.g., enzymes

Reliability Good Low operating temperature. High lamp life. Moderate High operating temperature. Average lamp life.

Power consumption Low High UVC output at 254nm Moderate High UVC output in the range of 200-300 nmMEPC 59/2/4
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I:\MEPC\59\2-4.doc As a result of the comparisons in Table 1 and Ta ble 2, it is concluded that MP technology is most efficacious for ballast water application because of the polychromatic UV spectrum which will cause damage to a wide range of micro-organisms.

Standard UV treatment systems have been used successfully in drinking water and waste water applications during several decades, but there are not sufficient literature da ta available for ballast water application of such standard UV systems. Some literature data suggest that the UV dose for some marine species va ries from 200 to 300 mWs/cm 2 to reach a 3-log step reduction for ballast water application. However, the long experience of our co-d eveloper, Wedeco AG Germany, as well-known manufacturer of UV disinf ection systems for drinking water and waste water treatment plants, suggest th at traditional UV systems are not capable producing sufficiently high UV intensities required for application in ballast water treatment.

Laboratory pre-tests with different types of algae

Laboratory pre-tests were conducte d to obtain spectra indicating the sensibility of different phytoplankton species exposed to different types of UV radiati on. Seven different species of algae were selected and their survival when exposed to UV-LP and/or UV-MP radiation was tested in the laboratory. The results are shown in Figure 2. For the marine phytoplankton species, Symbiodinium sp ., a UV-MP dose of 60 mWs/cm 2 is needed to achieve a 1 log step mortality rate (Figure 2h).

UV design in order to m eet shipboard requirements

Due to the fact that ships operate globally, a UV system for ballast water treatment has to be designed so it can operate under wide range of in let water conditions. Different water qualities represent a considerable challenge to the perf ormance of the UV system. UV radiation does not spread homogenously in water; the spreading decr eases logarithmically with the distance from the point of radiation. In order to deal with the non-uniform spr eading of the UV radiation, the construction of the UV lamp and the reactor ch amber has been re-designed. The chamber has been changed so that water flow is in the direction along the qua rtz tubes rather than across the quartz tubes as in conventional UV systems. The change of water flow together with the new developed helical shape of the UV lamp ensures that all organisms in the water will receive more or less the same high dose of radiation.

The following design has been developed to meet shipboard requirements:

- reduction of the number of lamps: UV-MP technology with high power lamps;

- a new developed UV-MP lamp with a helical structure to achieve high efficiency in the treatment of the seawater;

- a new design of the reactor chamber with a changed water flow resulting in more uniform and efficient exposure of th e seawater to UV radiation; and

- pipe shape designed to fit existing pipe works.MEPC 59/2/4
ANNEX

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I:\MEPC\59\2-4.doc - 0 1000 2000 3000 4000 5000Log(N/No)

-5 -4 -3 -2 -1 0

0 1000 2000 3000 4000 5000 -5 -4 -3 -2 -1 0

0 1000 2000 3000 4000 5000Log(N/No)

-5 -4 -3 -2 -1 0

0 1000 2000 3000 4000 5000 -5 -4 -3 -2 -1 0

0 1000 2000 3000 4000 5000Log(N/No)

-5 -4 -3 -2 -1 0

0 1000 2000 3000 4000 5000 -5 -4 -3 -2 -1 0 (a) (b)

(c) (d)

(e) (f)

UV Dose (J/m 2 ) 0 1000 2000 3000 4000 5000Log(N/No)

-5 -4 -3 -2 -1 0

UV Dose (J/m 2 ) 0 1000 2000 3000 4000 5000 -5 -4 -3 -2 -1 0

(g) (h)

Figure 2 : Laboratory pre-test with seven different algae with LP and MP UV radiation. N o means the initial concentration of algae and N mean s the final concentration of algae. (a) LP UV, Phaeodactylum , (b) LP UV, Diatom Cyclotella , (c) LP UV, Tetraselmis , (d) LP UV, Scrippsiella

, (e) LP UV, Symbiodinium , (f) LP UV, Scenedesmus , (g) LP UV, Haematococcus , (h) MP UV, Symbiodinium , UV dose has a unit of 1 mWs/cm 2 which is equal to 10 J/m 2

.MEPC 59/2/4
ANNEX Page 8

I:\MEPC\59\2-4.doc Reactor design

Based on the pre-test results and design principles mentione d above, a computational fluid dynamics (CFD) simulation had been carried out ai ming at keeping the number of lamps and the process-related power consumption in a modera te range but with a high UV efficiency.

Figure 3: CFD analysis and development of helix UV reactor. (a) CFD analysis of helix UV reactor, (b) conceptual design of helix UV r eactor, (c) first prototype helix UV reactor and test of its performance with Symbiodinium , and (d) final product of helix UV reactor.

The first prototype UV reactor (Figure 3) was designed and manufactured based on CFD modelling. The efficiency of the helix UV reactor was calculated by CFD analysis and tested with Symbiodinium at different flow rates.

1.4 Description of the pilot scal e test system of “EcoBallast”

The pilot scale test system is set up at Hyund ai Heavy Industries Co. Ltd., City of Ulsan, the Republic of Korea in accordance with the IMO requirements (Figure 4), and is used for the toxicity test, performance test, corrosiv ity test and chemical water analysis.MEPC 59/2/4
ANNEX

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I:\MEPC\59\2-4.doc Figure 4: Land-based test facility at Hyunda i Heavy Industries Co. Ltd., Ulsan, the Republic of Korea. The helix UV reactor wa s installed and its pe rformance was tested.

The flow diagram of the test facility is shown in Figure 5. It has three 280 m 3 ballast tanks and
a 250 m 3 /hr ballast pump. All materials for the test facili ty such as pipes, valves, steel and paints are the same as used in ships.

Figure 5: Flow diagram of the test facility at Hyundai Heavy Industries Co. Ltd.MEPC 59/2/4
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I:\MEPC\59\2-4.doc All tanks have drain valves in the bottom of eac h tank and the water in each tank can be drained. The test facility has five sampling points in the pipes. To get representative samples from the sampling points, the sampling port is located in th e centre of pipe and in the opposite direction of the water flow (Figure 6.)

Figure 6: Diagram of a sampling port installed in a pipe.

1.5 Operation of test facility

Flow rate 210 ± 10 m 3 /h Treatments Two treatments, during ba llasting and during de-ballasting Power consumption 39 ± 1 kW for UV unit Less than 1 kW for Filter Unit Treated volume more than 200 m 3 Salinity 34 PSU (Seawater), 21 PSU (Brackish water)

* Note: For test operation, UV transmittance of water was in range between 88 and 95%. In this operation, UV dose was in range between 190 and 350 mWs/cm 2

.

1.6 Sampling and measurements

Sampling locations (points) are indicated by P0-P 4 in Figure 7. All grab samples for chemical analysis and performance analysis (see Table 3) were collected in triplicates at beginning, middle, and end of ballasting and de-ballasting mode if necessary. P0 indicates the raw seawater to use as control for corrosivity test. P1, P2 and P3 represent the sampling from each tank, Tank 1(100A), Tank 2(100B) and Tank 3(400A) resp ectively. Sampling point P4 was used to sampling for corrosivity test, toxicity test, an d performance analysis. Procedures for sampling and transfer are described in detail in Appendi x I, section 2.3.

Seawater was sampled according to the guideline to test:

- whether the water quality in the initial test waters (Tank-1(100A), P1 and Tank-(100B), P2) is meeting the chemical a nd biological water quality criteria defined by IMO;

- the efficiency of the HHI “EcoBallast” system in removing/inactivating target organisms during ballasting and deballas ting after five days’ storage (P4);

- the corrosivity of UV treated seawater directly after treatment at the time of ballasting (P4);MEPC 59/2/4
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I:\MEPC\59\2-4.doc - the water quality in the control tank (Tank-1(100A)) as a reference to the water quality of control tank during discharge af ter five days’ storage (P4);

- the acute and chronic environmental toxic ity after 5 days storage at the time of de-ballasting from Tank-3(400A ) and Tank-1(100A) (P4); and

- any by-products formation after “EcoBallast” treatment at day 0 before ballasting (P1, P2), during ballasting (P4), at day 1(P1, P3), at day 5 before deballasting (P1, P3), and at the time of discharge (P4).

Detailed information for sampling is described in Table 3 and the required sample volume was followed IMO guideline as follows;

- 1 Litre :

- Marine organisms, ≥ 10 - 50 μ m for control

- 1 Litre x 4

- Bacteria group

- 1 Litre

- DOC/POC

- 1 Litre

- TSS

- 0.02 - 10 Litres :

- Quality of water (chemical analysis)

- 10 Litres :

- Marine organisms, ≥ 10 - 50 μ m for treated

- 20 Litres :

- Marine organisms, ≥ 50 μ m for control

- 1 m 3 :

- Marine organisms, ≥ 50 μ m for treated

Figure 7: Test water flow diagram

Positions of sampling are as follows:

P0: Raw seawater; P1: IMO influent requir ement for treatment on day 0 and control water on day 5; P2: IMO influent require ment for control water on day 0; P3:MEPC 59/2/4
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I:\MEPC\59\2-4.doc treated water on day 1 and day 5; P4: trea ted and control water during ballasting on day 0 and de-ballasting on day 5.

Table 3: Grab sample information from “EcoBallast” system

Sampling Location Sample for Control

water Treated

water On-site

measurements Off-site

measurement Sampling
time *1)

Corrosivity P0 P4 - Corrosivity

Toxicity P4 P4 - Toxicity

Day 0 before

ballasting P2 P1

Day 0 during

ballasting P4 P4 B, M, E

Day 1 P1 P3
Day 5 before de-ballasting P1 P3 Chemical Analysis

Day 5 during de-ballasting P4 P4 - DO

- ORP

- pH

- Salinity

- TRO

- Turbidity

- Temperature - DOC, TOC,
POC 2)

- Chemicals

B, M, E

IMO influent P2 P1
Day 0 during

ballasting P4 P4 B, M, E

Day 5 before de-ballasting P1 P3 Performance

Analysis

Day 5 during de-ballasting P4 P4 - DO

- ORP

- pH

- Salinity

- Turbidity

- Temperature - Organisms: ≥ 50 μ m, ≥ 10 - 50 μ m

- Bacteria

- TSS B, M, E

* 1) B means “Beginning of the test; M means “Mid dle of the test”; E means “End of the test”.

* 2) POC is estimated value from difference between TOC and DOC.

1.7 Full-scale (200 m 3 /hr) test results

The full scale (200 m 3 /hr) performance test was done according to the IMO Guidelines (G8). Test results show that the “EcoBallast” system meets the Ballast Water Performance Standard contained in regulation D-2 of the IMO Ball ast Water Management Convention. Detailed description was in Appendix II.

Table 3-1: Organism concentrations in influent water

Test period Organism classification Organism

concentration Minimum G8 requirement Assessment

≥ 50 μm (individuals/m 3 ) 4.62 × 10 5 ≥ 10 5

≥ 10-50 μm (individuals/mL) 1.28 × 10 3 ≥ 10 3 1-6 (> 32 PSU) Heterotrophic Bacteria (cells/mL) 2.60 ×

10 4 ≥ 10 4 ACCEPTABLE

≥ 50 μm (individuals/m 3 ) 2.80 × 10 5 ≥ 10 5

≥ 10-50 μm (individuals/mL) 1.65 × 10 3 ≥ 10 3 2-5 (> 3- 32

PSU) Heterotrophic Bacteria (cells/mL) 3.50 × 10 4 ≥ 10 4 ACCEPTABLEMEPC 59/2/4
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I:\MEPC\59\2-4.doc Table 3-2: Organism identifications in influent water

Test period Organism
classification Species composition of organism Minimum G8 requirement Assessment

≥ 50 μm 4 phylum 10 species 3 phylum 5 species 1-6 (> 32 PSU) ≥ 10-50 μm 3 division 13 species 3 division 5 species ACCEPTABLE

≥ 50 μm 6 phylum 10 species 3 phylum 5 species 2-5 (> 3- 32

PSU) ≥ 10-50 μm 4 division 12 species 3 division 5 species ACCEPTABLE

Table 3-3: Measurement of DOC, POC, TSS and salinity in influent water

Test period Sample DOC (mg/L) POC (mg/L) TSS (mg/L) Salinity (PSU) Minimum G8 requirement Assessment

Treatment 4.55 2.20 31.83 1-6 (> 32 PSU) Control 4.62 2.12 32.50 33.95 1 mg/L DOC 1 mg/L POC 1 mg/L TSS ACCEPTABLE

Treatment 26.30 8.15 79.53 2-5 (> 3-

32 PSU) Control 11.40 7.95 77.10 20.81 5 mg/L DOC 5 mg/L POC 50 mg/L TSS ACCEPTABLE

Table 3-4: Assessment of Regulation D-2 compliance

Viable organism Test period Organism classification

T5 * D-2

Standard Assessment

≥ 50 μm (individuals/m 3 ) 0 < 10

≥ 10-50 μm (individuals/mL) 0 < 10

Escherichia coli (cfu/100 mL) 0 < 250

Intestinal Enterococci (cfu/100 mL) 0 < 100 1-6 (> 32 PSU)

Toxicogenic Vibrio cholerae (cfu/100 mL) ND < 1 ACCEPTABLE

≥ 50 μm (individuals/m 3 ) 0 < 10

≥ 10-50 μm (individuals/mL) 0 < 10

Escherichia coli (cfu/100 mL) 0 < 250

Intestinal Enterococci (cfu/100 mL) 0 < 100 2-5 (> 3-

32 PSU) Toxicogenic Vibrio cholerae (cfu/100 mL) ND < 1 ACCEPTABLE

* T5 means treated (deballasted) water after five days storage sampled at P4.MEPC 59/2/4
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I:\MEPC\59\2-4.doc Table 3-5: Assessment of valid condition for land-based test

Viable organism Test period Organism size class C5 * Minimum G8 requirement Assessment

≥ 50 μm (individuals/m 3 ) 1.10 × 10 5 ≥ 100 1-6 (> 32 PSU) ≥ 10 - 50 μm (individuals/ml) 1.32 × 10 2 ≥ 100 ACCEPTABLE

≥ 50 μm (individuals/m 3 ) 2.27 × 10 4 ≥ 100 2-5 (> 3-

32 PSU) ≥ 10 - 50 μm (individuals/ml) 8.58 × 10 2 ≥ 100 ACCEPTABLE

* C5 means control (deballasted) water after five days sampled at P4.

2 DEFINITIONS

2.1 Terms and definitions

2.1.1 “EcoBallast” is the tentative commercial name of the Ballast Water Management System developed by “Hyundai Heavy Indust ries Co. Ltd.”. The system is composed of a filtration unit followed by a helix UV reactor equipped with medi um pressure UV lamps. “EcoBallast” treats ship’s ballast water during ballasting and de-ballasting. During ballasting, the seawater will be treated by filtration followed by treatment in the helix UV reactor. The particles and marine organisms retained by the filter will be discharged b ack into the sea thro ugh back-washing of the filter. During de-ballasting, the ballast wate r will be treated again but only by the helix
UV reactor.

2.1.2 “Treated Water” means the seawater treat ed by the “EcoBallast” Water Management System.

2.1.3 “Ballast Water Discharge” means the ballast water discharged overboard after treatment by the “EcoBallast” Water Management System.

2.1.4 “Active Substance”; in the “EcoBallast” system, direct and indirect effects of UV irradiation have a general a nd specific action on or against ha rmful aquatic micro-organisms and pathogens. Therefore the UV irradiation “P hoton” can be defined here as the “Active Substance”.

2.1.5 “Preparation” as defined in Procedure (G 9) is not used by the “EcoBallast” system.

2.1.6 “Relevant Chemicals”; the UV irradiation of “EcoBallast” can be absorbed by certain molecules, such as nitrate and dissolved or ganic matter (DOM) in the seawater and cause photo-chemical reactions to produce reactive oxygen species such as hydroxyl radical (OH•). Therefore hydroxyl radical (OH•) can here be defined as Relevant Chemicals.MEPC 59/2/4
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I:\MEPC\59\2-4.doc 2.2 Background for determining the “Activ e Substance” and “Relevant Chemicals”

2.2.1 Introduction

Natural and artificial UV light (wavelength of 190-400 nm) ma y damage living organisms by directly and indirectly altering biological molecules like nuclei c acids and proteins. UV light can be divided into three different types accordin g to the wavelength. UV-A extends from 320 to 400 nm, UV-B extends from 290 to 320 nm, wher eas UV-C, which is called short UV, extends from 100 to 290 nm (Figure 8) Direct eff ects of UV light on nucleic acids include photo-dimerizations between adjace nt pyrimidine bases, photo-hydr ation of cytosine, inter- and intra-strand cross-links and prot ein-DNA cross-links. Indirect damages may occur when reactive oxygen species are generated; such compounds ma y react with DNA damaging bases, breaking strands, and cross-link DNA and proteins (Miller et al . 1999).

Figure 8: The spectral distribution of UV-light and visible light.

2.2.2 Direct damage

Direct damage is caused by changes in the biol ogical molecules (mainl y DNA and proteins) in the organisms when they absorb the UV light, resu lting in loss of reproductive capabilities of the organisms. This is mainly due to absorption of irradiation by DNA. DNA absorbance is high in the UV-C range (190-280 nm), but falls more than three orders of magnitude in the UV-B range (280-320 nm), and is negligible in the UV-A band (320-400 nm) (Miller et al . 1999). The DNA-damaging effect of UV-C is utilized in bactericidal lamp s. The low-pressure mercury-vapour lamp emits approximately 85% of its energy output as m onochromatic light at a wavelength of 253.7 nm, which is within the op timum wavelength range of 250 to 270 nm for bactericidal effects (Figure 8). Medium pressu re lamps emit light in a broader spectrum of wavelengths (200-320 nm). Solar UV-B irradiation is responsible for both direct and indirect DNA damage, while UV-A produces only indirect dama ge. The direct UV-C damage is often due to dimerization of two pyrimidine molecules (Figure 9). Cyclobutane pyrimidine dimers and pyrimidine-pyrimidone (6-4) photoproducts are the two major classes of photo-lesions formed by direct DNA absorption of UV-C irradiation (S age 1993). Once the pyrimidine residues are covalently bound together, replicat ion of the nucleic acid is blocked or results in mutant daughter cells unable to multiply.MEPC 59/2/4
ANNEX Page 16

I:\MEPC\59\2-4.doc Figure 9: UV-C-induced formation of pyrimidine dimers in a DNA-double strand.

2.2.3 Indirect damage

Like biological molecules, some organic and in organic molecules in water can absorb UV light, causing changes in the water quality. UV is abso rbed by some photosensitizing agents such as oxygen, nitrate and natural dissolved organic matter (DOM) in sea water either inside or outside the cells to produce re active oxygen species. The resulting high energy oxidants such as hydrogen peroxide (H 2 O 2 ), superoxide (O 2 -· ) or hydroxyl radical (OH•) can then infuse and react with other cellular components with sites of damage that can be well away from the site of photo-production.

Hydrogen peroxide (H 2 O 2 ) is produced photo-chemically by a variety of mechanisms both internally within the cells of aquatic organisms and also ex ternally in their surrounding environment. The main photochemical pathwa y is by the dismutati on from superoxide:

O 2 + hv Æ O 2 -· Æ H 2 O 2

H 2 O 2 has long been used as an algicide and bacteric ide, at concentrations in the millimolar range (e.g., 0.2 ~1.5 mmol/Litre against filamentous cyanobacteria ; Barroin and Feuillade, 1986).
H 2 O 2 is a powerful oxidant capable of damaging nuc leic acids, proteins and pigments. Although this damage may be incurred by direct reaction between biom olecules and the H 2 O 2 , many of these effects are mediated by the Fenton reaction, whereby more reactive oxidants are generated, in particular hydroxyl radical (OH•) :

H 2 O 2 + Fe 2+ Æ OH · +OH - + Fe 3+

The extreme reactivity of the hydrox yl radical (OH•) is indicated by its short half-life, typically nanoseconds. Hydroxyl radical (OH•) attack nuc leic acids, proteins and membranes and consequently few parts of the cell are immune fro m their effects; even catalases and peroxidases are attacked and degraded by this highly reactive oxygen species.

The detailed mechanisms by which hydroxyl radi cal (OH•) are formed by UV radiation are reviewed below.

2.2.3.1 Formation of hydroxyl radical (OH•)

Formation of hydroxyl radical (OH•) by UV radiati on is mainly from dissolved organic matter or from nitrate.MEPC 59/2/4
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I:\MEPC\59\2-4.doc Dissolved organic matter

Dissolved organic matter (DOM) in seawater is pr esent at concentrations of about 0.5 - 2 mg/L (MacKinnon, 1981) and represents on e of the largest reservoirs of organic carbon on the surface of the earth (Mopper and Degens, 1979; Hedges, 1992). Despite the si ze of this carbon pool, only about 25% to 50% has been characterized. The uncharacteri zed fraction of DOM has often been referred to as marine humic substances. In natural waters, photochemical reactions are initiated by absorption of s unlight mainly by humic substances. The energy at the shorter wavelengths (UV and blue regions ) is sufficiently high to induce the formation of a variety of highly reactive transient chemi cal compounds, such as the hydroxyl radical (OH•). At present, little is known about the photochemical reaction a nd reactive sites within marine DOM that are responsible for production of reactiv e transients at the sea surface.

Nitrate

Nitrate (NO 3 - ) is a very strong absorber of UV radiation below 250 nm (Sharpless et al . 2003) and a characteristic photoreaction of th is compound is reduction to nitrite (NO 2 - ). Takeda et al

. (2004) reported that although most of the hydr oxyl radical (OH•) found in river water and seawater were formed from unknown dissolved organic matter, a significant fraction of the hydroxyl radical (OH•) was also formed due to the photolysis of nitrate and nitrite.

NO 3 - + hv Æ Æ OH•MEPC 59/2/4
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I:\MEPC\59\2-4.doc

Figure 10: General pathways for the photochemical oxidation of dissolved organic matter in natural water (Source: M opper and Kieber, 2000).

Table 4: Reactive oxygen species and oxida nts ranking by oxidation potential.

Chemicals/Compound Oxidation potential (V)

OH radical 2.80

Ozone 2.07 Hydrogen Peroxide 1.79
Permanganate 1.70 Hypochlorite 1.49

Chlorine 1.36

Chlorine dioxide 1.27 Oxygen molecule 1.23MEPC 59/2/4
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I:\MEPC\59\2-4.doc 2.2.4 Active Substances

The mechanism of disinfection by UV light differs considerably from chemical disinfectants such as chlorine and ozone in that no chemical com pounds are used or added to the ballast water for the purpose of disinfection; hence no chemical compounds are used as Active Substances and subsequently have not to be dealt with in terms of handling, storage, and neutralization. As discussed above (see paragr aph 2.1.4), the Active Substance in the “EcoBallast” system is regarded as the UV irradiation “Photon”. The disinfection process is a physical-chemical interaction due to energy input . The Active Substance is elec tromagnetic waves (or photons), carrying energy for partial DNA a lteration resulting in loss of reproductive capabilities of the harmful micro-organisms.

2.2.5 Relevant Chemicals (hydroxyl radical (OH•))

The only effect of the “EcoBallast” system on th e ballast water is the potential formation of by-products. It is important to note that these by-products are formed also under natural conditions by photo-chemical re actions caused by sun light

.

Photosensitizing dissolved organic matter (DOM) a nd nitrate may adsorb electromagnetic energy and small quantities of free radicals may be produ ced and these radicals will react immediately with other substances to crea te “reaction products”. Of these transient oxygen species, the hydroxyl radical (OH•) is by far the most reactive and both of hydrogen peroxide (H 2 O 2 ) and superoxide (O 2 -· ) can be converted to hydroxyl radical (OH•).

Since hydroxyl radical (OH•) react non-se lectively with organic compounds (Andreozzi et al ., 1999), the possible reaction products, so called “by-products” will be very diverse and difficult to be characterized.

Therefore in this application, since the formati on of radicals is a prere quisite for creation of “reaction products” and hydroxyl ra dical (OH•) is by far the most reactive among the produced radicals, hydroxyl radical (OH•) ca n be regarded as the represen tative and here regarded as “Relevant Chemicals” in the sense of the convention.

3 PRINCIPLES

4 GENERAL REQUIREMENTS

4.1 Identification

4.1.1 The basic process in the “EcoBallast” system operates without addition of chemicals.

4.1.2 Active Substance

In the “EcoBallast” Management System, direct and indirect effects of UV irradiation have a general and specific action on or against harm ful aquatic micro-organisms and pathogens. Therefore, the UV irradiation “Photon” is here defined as the “Active Substance”. The information required in section 4.1.2.1 is not applicable to the “Ac tive Substance” of the “EcoBallast” system.MEPC 59/2/4
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I:\MEPC\59\2-4.doc 4.1.3 Relevant Chemicals

The UV irradiation of “EcoBallast” can be abso rbed by some photosensitive compounds such as nitrate and natural dissolved or ganic matter (DOM) in seawater to produce reactive oxygen such as hydroxyl radical (OH•). Th erefore, hydroxyl radical ( OH•) is here defined as “Relevant Chemical”.

4.1.3.1 The information required by IMO as listed belo w is applicable for hydroxyl radical (OH•). (http://webbook.nist.gov/cgi /cbook.cgi?Name=hydroxyl +radical&Units=SI)

.1 the Chemical (IUPAC) name; InChI=1/HO/h1H

.2 the CAS number: 3352-57-6 .3 the Molar mass: 17.01 (g/mol) .4 the empirical formula: HO

.5 the structural formula: O* H and .6 Other name: Hydroxyl

4.1.4 Discharge characteristics

The basic process of the “EcoBallast” manageme nt system operates using the UV photons and the produced hydroxyl radical (OH•) to inactivate marine organisms without addition of chemicals. Since the hydroxyl radical (OH•) its elf does not show significant presence in the treated water due to its very short lifetime (around 10 -7 seconds), the only environmental concern of the “EcoBallast” management system mi ght be possible reaction products, so called “by-products” and “ thei r residual toxicity”.

4.1.4.1 Literature reviews

- chemical changes of UV irradiated water;

- changes in biodegradabil ity and growth potential;

- changes in residual toxicity in the fish farming application;

- changes in residual toxicity in water ecosystem;

- effects on the formation of chlorination by-products; and

- potential effect on seawat er salts and bromate.

4.2 Data-set for Active Substa nces and Preparations

All analyses were carried out according to standa rd methods. All tests were carried out under the supervision of the Korea Marine Equipment Re search Institute (KOMERI), Korea Testing & Research Institute (KTR) and Marine Eco-Te chnology Institute (MEI). KOMERI laboratory is accredited by KOLAS (Korea Laboratory Accr editation Scheme) for phytoplankton and micro-organism analysis (Appendix I). Thus, th e study director of KOMERI is accredited by IOC-by KOLAS for chemical analyses of environmental samples including DOC and POC analysis (Appendix I). Although MEI Instit ute is not accredited specifically for toxicological testing (e.g., Good La boratory Practice, GLP), the Inst itute has an ecotoxicologicalMEPC 59/2/4
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I:\MEPC\59\2-4.doc laboratory, personnel with a solid experience in toxicological research, and all tests were performed according to GLP. The data on quality assurance (QA) are provided in each test report (Appendix III).

The corrosivity test of UV treated seawater wa s performed using the SWBT (Simulated Wave Ballast Tank) by Coating Performance Test La boratory in Protective Coatings & Corrosion Research Department, Hyundai Industrial Resear ch Institute (HIRI) located on Hyundai Heavy Industries Co. Ltd. in Ulsan, the Republic of Korea. Although this institute is not accredited, two researchers involved in this project are accredite d by NACE Certified Coa ting Inspector Level 2. The Institute has personnel with a solid experi ence in protective coating and corrosion research, and all tests were performed accordi ng to IMO MSC 82/WP.3 (Appendix IV).

4.2.1 Properties and actions of the Preparation

4.2.1.1 Data on effects on aquatic plants, inv ertebrates, fish, and other biota, including sensitive and representative organisms

Acute aquatic toxicity

No significant acute toxicity was observed; see report in Appendix III, se ction 3.1. The results are summarized in Tables 5 and 6.

Algae: For the study to assess the effects of the UV-treated seawater on the diatom, Skeletonema

costatum , during 72 hours

, NOEC and LOEC values from Hypot hesis Test based on the cell densities at the end of the experiment were calc ulated for both 34 psu and 21 psu treated ballast

water.

Crustacean: For the study to assess the effects of the UV-treated seawater on the copepod, Tigriopus japonicus, during 48 hours, EC 25 , EC 50 , LC 25 and LC 50 values based on mobilization and survival data at the end of the experi ment were calculated for both 34 psu and 21 psu UV-treated ballast water.

Fish: For the study to assess the effects of the UV-treated ballast water on flounder, Paralichthys olivaceus , during 96 hours, LC 25 and LC 50 values based on survival data at the end of the experiment were calculated for both 34 psu and 21 psu treated ballast water.

Echinoderms: For the study to assess the effects of the UV-treated ballast water on sea urchin, Anthocidaris crassispina , during 48 hours, EC 25 , EC 50 , LC 25 and LC 50 values based on mobilization and survival data at the end of the experiment were calculated for 34 psu treated ballast water.

Mollusc: For the study to assess the effects of the UV-treated ballast water on pacific oyster, Crassostrea gigas , during 48 hours, EC 25 , EC 50 , LC 25 and LC 50 values based on mobilization and survival data at the end of the experiment were calculated for 34 psu treated ballast water.MEPC 59/2/4
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I:\MEPC\59\2-4.doc Table 5: Acute aquatic toxicity of 34 psu ballas t water treated by the HHI-BWM system

LC 50 and/or EC 50 Species End point Conc.(%) Reference/Comments/ justification for missing data

Algae Skeletonema costatum EC 50 72 h > 100 OECD 201

Crustacean Tigriopus japonicus EC 50 48 h
LC 50 48 h > 100
> 100 OECD 202

Fish Paralichthys olivaceus LC 50 96 h > 100 OECD 203

Echinoderm Anthocidaris crassispina EC 50 48 h
LC 50 48 h > 100
> 100 OECD 202

Mollusc Crassostrea gigas EC 50 48 h
LC 50 48 h > 100
> 100 OECD 202

Table 6: Acute aquatic toxicity of 21 psu ballas t water treated by the HHI-BWM system

LC 50 and/or EC 50 Species End point Conc.(%) Reference/Comments/ justification for missing data

Algae Skeletonema costatum EC 50 72 h > 100 OECD 201

Crustacean Tigriopus japonicus EC 50 48 h
LC 50 48 h > 100
> 100 OECD 202

Fish Paralichthys olivaceus LC 50 96 h > 100 OECD 203

Chronic aquatic toxicity

No chronic toxicity was observed; see report in Appendix III, section 3.2. The results are summarized in Tables 7 and 8.

Algae: For the study to assess the effects of th e UV treated ballast water on the diatom, Skeletonema costatum, during 96 hours, NOEC and LOEC valu es from Hypothesi s Test based on cell densities at the end of th e experiment were calculated fo r both 34 psu and 21 psu treated ballast water.

Fish: For the study to assess the effects of th e UV treated ballast water on olive flounder, Paralichthys olivaceus , during seven to eight days, NOEC and LOEC values from result of Hypothesis Test based on number of the living organism at the end of the experiment were calculated for 34 psu and 21 psu treated ballast water.

Echinoderms: For the study to assess the effects of the UV treated ballast water on the sea urchin, Anthocidaris crassispina , during 14 days, NOEC and LOEC values from result of Hypothesis Test based on the livin g organism at the end of the experiment were calculated for 34 psu treated ballast water.

Mollusc: For the study to assess the effects of the UV treated ballast water on pacific oyster, Crassostrea gigas , during 10 days, NOEC and LOEC values from result of Hypothesis Test based on the living organism at the end of the experiment were calculated for 34 psu treated ballast water.MEPC 59/2/4
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I:\MEPC\59\2-4.doc Table 7: Chronic aquatic toxicity of 34 psu ball ast water treated by the HHI-BWM system

LC 25 , LC 50 , LOEC,
and/or NOEC Species End point Conc.(%) Reference/Comments/ justification for missing data

Algae Skeletonema costatum NOEC 96 h 100 OECD 201

Fish Paralichthys olivaceus NOEC 8 D 100 OECD 212

Echinoderm Anthocidaris crassispina NOEC 14 D
LOEC 14 D
LC 25 14 D
LC 50 14 D 6.25
12.50
18.50
> 100 OECD 210

Mollusc Crassostrea gigas NOEC 10 D
LOEC 10 D
LC 25 10 D
L C 50 10 D 12.50
25.00
49.10
> 100 OECD 210

Table 8: Chronic aquatic toxicity of 21 psu ball ast water treated by the HHI-BWM system

LC 25 , LC 50 and/or
NOEC Species End point Conc.(%) Reference/Comments/ justification for missing data

Algae Skeletonema costatum NOEC 96 h 100 OECD 201

Fish Paralichthys olivaceus NOEC 7 D 100 OECD 212

Endocrine disruption

Not specifically tested; however the acute toxicity test, the chronic toxicity test, and the chemical analyses of discharged seawat er suggest that endocrine di sruption is unlikely to occur (see Appendix II for Chemical Analysis Report and Appendix 3 for Toxicity Test Report).

Sediment toxicity

As shown in the Appendix II for Chemical Anal ysis Report and Appendix III for Toxicity Test Report, there are no residuals resulting from the treatment. This means that “EcoBallast” treatment will not cause sedimentation toxicity.

Bioavailability/biomagnification/bioconcentration

Not specifically tested; however, the chemical analyses of “EcoBallast” treated seawater (see Appendix II for Chemical Analysis Repo rt) do not show any significant changes of its components compared to “Control” seawat er, which suggests that changes in bioavailability/biomagnification/ bioconcentration do not occur.MEPC 59/2/4
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I:\MEPC\59\2-4.doc Food web/population effects

Since the full strength (100%) treat ed seawater and brackish water did not have any deleterious effects on any of the test species including mari ne and brackish water organisms, discharged ballast water can be expected to be non-toxic to aquatic organisms and the ecosystem in general.

4.2.1.2 Data on mammalian toxicity

Since the photon (defined as “Active Substanc e”) generated in the “EcoBallast” Management System are never exposed to mammals, toxici ty tests on mammalians are “Not Applicable”.

Since the hydroxyl radical (OH•) (defined as “Relevant Substanc e”) are short-lived and will disappear before leaving the “Eco Ballast” Management System, toxicity tests on mammalians are “Not Applicable”.

Chemical Analysis (Appendix II) and Toxicity Test (Appendix III) also suggest that there will be no residuals resulting from the treatm ent which will show mammalian toxicity.

4.2.1.3 Data on environmental fate and eff ect under aerobic and anaerobic conditions

Modes of degradation (biotic; abiotic)

The free radicals resulting from the interactions between UV irradiation and some photosensitizing chemical compounds (such as nitr ate and DOM) in the seawater will decay into stable non-radical chemical compounds or will i nvolve several oxidation r eactions before leaving the “EcoBallast” system. In addition to the formation of stable non-radical species through decay processes, the decay of excited state DOM may also result in the direct formation of non-radical species. Mopper and Kieber (2000) have reviewed the formation of non-radical species from the decay of excited state DOM. From their revi ew, the net effects of these photo-chemical processes and transformations are the oxida tion of DOM, cleavage of humic substances, oxidation of reduced sulphur, photo-bleaching of ab sorbance and fluorescence properties, loss of dissolved oxygen, photo-reduction of trace metals, release of complex-bound molecules such as phosphate, and production of relativ ely stable low molecular wei ght (LMW) molecules such as hydrogen peroxide, NO and NO 2 , reduced iodine species, ammonium, hydrocarbons, organic acids, carbon dioxide, carbon monoxide, sulphide, and carbonyl compounds. It should be pointed out that the radicals produced in the helix UV reactor are not different from those naturally formed by sunlight in the surface layer of seawater. Therefore all chemicals compounds formed by these reactions will be expected to follow natural decomposition processes by natural biotic or abiotic pathways

.

Bioaccumulation, partition coefficient, octanol/water coefficient

Not specifically tested; however, the Chemical Analysis (Appendix II) and Toxicity Test (Appendix III) indicate that the tr eated water has not been changed.

Persistence and identification of the main meta bolites in the relevant media (ballast water, marine and fresh waters)

No significant quantities of by-products were m easured by the Chemical Analysis (Appendix II).MEPC 59/2/4
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I:\MEPC\59\2-4.doc Reaction with organic matter

The free radicals resulting from the interactions between UV irradiation and some photosensitizing compounds such as nitrate a nd natural dissolved organic matter (DOM) in seawater will react with severa l types of organic matter as described in section 2.2.3.1. These radicals are formed under natural conditions in surface seawater, so any decomposition compounds from “EcoBallast”, if formed, can be e xpected to be similar to those produced during natural decomposition of orga nic matter in seawater.

To identify products of concern to the environm ent from the reaction of radicals with organic matters, some halogenated hydrocarbons were an alysed in brackish wate r and seawater tests (Tables 9 and 10). The detailed info rmation can be found in Appendix II.

Table 9: Concentrations of potential Relevant Ch emicals in control and treated seawater samples in 21 PSU test

Time (day 0) Time (day 1) Time (day 5) Chemical compounds Unit MDL Control Treated Control Treated Control Treated
AOX mg/L 0.01 0.45 0.39 0.76 0.36 0.68 0.29

EOX mg/L 0.01 0.00 0.00 0.00 0.00 0.00 0.00

Bromate μ g/L 0.46 0.0 0.0 0.0 0.0 0.0 0.0
Trichloromethane μ g/L 0.001 0.000 0.000 0.000 0.000 0.000 0.000
Dibromochloromethane μ g/L 0.001 0.000 0.000 0.000 0.000 0.000 0.000
Bromoform μ g/L 0.001 0.003 0.002 0.003 0.000 0.004 0.000
Dibromomethane μ g/L 0.001 0.000 0.000 0.000 0.000 0.000 0.000
Dichlorobromomethane μ g/L 0.001 0.000 0.000 0.000 0.000 0.000 0.000 1,2,3-Trichloropropane μ g/L 0.001 0.000 0.000 0.000 0.000 0.000 0.000 1,2-Dibrom-3- chloropropane μ g/L 0.001 0.000 0.000 0.000 0.000 0.000 0.000

2-Chlorophenol μ g/L 0.03 0.00 0.00 0.00 0.00 0.00 0.00 3-Chlorophenol μ g/L 0.03 0.00 0.00 0.00 0.00 0.00 0.00 4-Chlorophenol μ g/L 0.03 0.00 0.00 0.00 0.00 0.00 0.00 2,3-Dichlorophenol μ g/L 0.02 0.00 0.00 0.00 0.00 0.00 0.00 2,4-Dichlorophenol+ 3,5-Dichlorophenol μ g/L 0.02 0.00 0.00 0.00 0.00 0.00 0.00
2,5-Dichlorophenol μ g/L 0.03 0.00 0.00 0.00 0.00 0.00 0.00 2,6-Dichlorophenol μ g/L 0.03 0.00 0.00 0.00 0.00 0.00 0.00 3,4-Dichlorophenol μ g/L 0.03 0.00 0.00 0.00 0.00 0.00 0.00 2,3,4-Trichlorophenol μ g/L 0.03 0.00 0.00 0.00 0.00 0.00 0.00 2,3,5-Trichlorophenol +2,4,5-Trichlorophenol μ g/L 0.02 0.00 0.00 0.00 0.00 0.00 0.00
2,3,6-Trichlorophenol μ g/L 0.03 0.00 0.00 0.00 0.00 0.00 0.00 2,4,6-Trichlorophenol μ g/L 0.03 0.00 0.00 0.00 0.00 0.00 0.00 3,4,5-Trichlorophenol μ g/L 0.03 0.00 0.00 0.00 0.00 0.00 0.00 2,3,4,5- Tetrachlorophenol μg/L 0.03 0.00 0.00 0.00 0.00 0.00 0.00MEPC 59/2/4
ANNEX Page 26

I:\MEPC\59\2-4.doc

(Table 9, continued)

Time (day 0) Time (day 1) Time (day 5) Chemical compounds Unit MDL Control Treated Control Treated Control Treated 2,3,4,6- Tetrachlorophenol μg/L 0.03 0.00 0.00 0.00 0.00 0.00 0.00

2,3,5,6- Tetrachlorophenol μg/L 0.03 0.00 0.00 0.00 0.00 0.00 0.00

PCP μg/L 0.03 0.00 0.00 0.00 0.00 0.00 0.00 2-Chlorotoluol μg/L 0.01 0.00 0.00 0.00 0.00 0.00 0.00 4-Chlorotoluol μg/L 0.01 0.00 0.00 0.00 0.00 0.00 0.00 1,2,4- Tribromobenzol μg/L 0.001 0.000 0.000 0.000 0.000 0.000 0.000

1,3,5- Tribromobenzol μg/L 0.001 0.000 0.000 0.000 0.000 0.000 0.000

Chloral hydrate μg/L 0.02 0.00 0.00 0.00 0.00 0.00 0.00 Dibromoacetonitrile μg/L 0.01 0.00 0.00 0.00 0.00 0.00 0.00 Dichloroacetonitrile μg/L 0.01 0.00 0.00 0.00 0.00 0.00 0.00 Trichloroacetonitrile μg/L 0.02 0.00 0.00 0.00 0.00 0.00 0.00
Monochloroacetic acid μg/L 0.01 0.00 0.00 0.00 0.00 0.00 0.00

Dichloroacetic acid μg/L 0.01 0.00 0.00 0.00 0.00 0.00 0.00 Trichloroacetic acid μg/L 0.01 0.00 0.00 0.00 0.00 0.00 0.00
Bromochloroacetic acid μg/L 0.01 0.00 0.00 0.00 0.00 0.00 0.00

Bromoacetic acid μg/L 0.01 0.00 0.00 0.00 0.00 0.00 0.00 Dibromoacetic acid μg/L 0.01 0.00 0.00 0.00 0.00 0.00 0.00 Density g/cm 3 0.00001 1.0238 1.0237 1.0237 1.0237 1.0237 1.0237 TRO mg/L 0.02 0.00 0.00 0.00 0.00 0.00 0.00 DOC mg/L 0.005 11.40 26.30 POC mg/L 0.005 7.95 8.15 TSS mg/L 77.10 79.53 Salinity PSU 20.81MEPC 59/2/4
ANNEX Page 27

I:\MEPC\59\2-4.doc Table 10: Concentrations of potential Relevant Ch emicals in control and treated seawater samples in 34 PSU test

Time (day 0) Time (day 1) Time (day 5) Chemical compounds Unit MDL Control Treated Control Treated Control Treated
AOX mg/L 0.01 0.51 0.51 0.45 0.48 0.24 0.29

EOX mg/L 0.01 0.00 0.00 0.00 0.00 0.00 0.00

Bromate μ g /L 0.46 0.0 0.0 0.0 0.0 0.0 0.0
Trichloromethane μ g/L 0.001 0.000 0.000 0.000 0.000 0.000 0.000
Dibromochloromethane μ g/L 0.001 0.000 0.000 0.000 0.000 0.000 0.001
Bromoform μ g/L 0.001 0.015 0.008 0.016 0.008 0.010 0.004
Dibromomethane μ g/L 0.001 0.000 0.000 0.000 0.000 0.000 0.000
Dichlorobromomethane μ g/L 0.001 0.000 0.000 0.000 0.000 0.000 0.000 1,2,3-Trichloropropane μ g/L 0.001 0.000 0.000 0.000 0.000 0.000 0.000 1,2-Dibrom-3- chloropropane μ g/L 0.001 0.000 0.000 0.000 0.000 0.000 0.000

2-Chlorophenol μ g/L 0.03 0.00 0.00 0.00 0.00 0.00 0.00 3-Chlorophenol μ g/L 0.03 0.00 0.00 0.00 0.00 0.00 0.00 4-Chlorophenol μ g/L 0.03 0.00 0.00 0.00 0.00 0.00 0.00 2,3-Dichlorophenol μ g/L 0.02 0.00 0.00 0.00 0.00 0.00 0.00 2,4-Dichlorophenol+ 3,5-Dichlorophenol μ g/L 0.02 0.00 0.00 0.00 0.00 0.00 0.00
2,5-Dichlorophenol μ g/L 0.03 0.00 0.00 0.00 0.00 0.00 0.00 2,6-Dichlorophenol μ g/L 0.03 0.00 0.00 0.00 0.00 0.00 0.00 3,4-Dichlorophenol μ g/L 0.03 0.00 0.00 0.00 0.00 0.00 0.00 2,3,4-Trichlorophenol μ g/L 0.03 0.00 0.00 0.00 0.00 0.00 0.00 2,3,5-Trichlorophenol +2,4,5-Trichlorophenol μ g/L 0.02 0.00 0.00 0.00 0.00 0.00 0.00
2,3,6-Trichlorophenol μ g/L 0.03 0.00 0.00 0.00 0.00 0.00 0.00 2,4,6-Trichlorophenol μ g/L 0.03 0.00 0.00 0.00 0.00 0.00 0.00 3,4,5-Trichlorophenol μ g/L 0.03 0.00 0.00 0.00 0.00 0.00 0.00 2,3,4,5- Tetrachlorophenol μg/L 0.03 0.00 0.00 0.00 0.00 0.00 0.00

2,3,4,6- Tetrachlorophenol μg/L 0.03 0.00 0.00 0.00 0.00 0.00 0.00

2,3,5,6- Tetrachlorophenol μg/L 0.03 0.00 0.00 0.00 0.00 0.00 0.00MEPC 59/2/4
ANNEX Page 28

I:\MEPC\59\2-4.doc (Table 10, continued)

Time (day 0) Time (day 1) Time (day 5) Chemical compounds Unit MDL Control Treated Control Treated Control Treated PCP μg/L 0.03 0.00 0.00 0.00 0.00 0.00 0.00 2-Chlorotoluol μg/L 0.01 0.00 0.00 0.00 0.00 0.00 0.00 4-Chlorotoluol μg/L 0.01 0.00 0.00 0.00 0.00 0.00 0.00 1,2,4- Tribromobenzol μg/L 0.001 0.000 0.000 0.000 0.000 0.000 0.000

1,3,5- Tribromobenzol μg/L 0.001 0.000 0.000 0.000 0.000 0.000 0.000

Chloral hydrate μg/L 0.02 0.00 0.00 0.00 0.00 0.00 0.00 Dibromoacetonitrile μg/L 0.01 0.00 0.00 0.00 0.00 0.00 0.00 Dichloroacetonitrile μg/L 0.01 0.00 0.00 0.00 0.00 0.00 0.00 Trichloroacetonitrile μg/L 0.02 0.00 0.00 0.00 0.00 0.00 0.00
Monochloroacetic acid μg/L 0.01 0.00 0.00 0.00 0.00 0.00 0.00

Dichloroacetic acid μg/L 0.01 0.00 0.00 0.00 0.00 0.00 0.00 Trichloroacetic acid μg/L 0.01 0.00 0.00 0.00 0.00 0.00 0.00
Bromochloroacetic acid μg/L 0.01 0.00 0.00 0.00 0.00 0.00 0.00

Bromoacetic acid μg/L 0.01 0.00 0.00 0.00 0.00 0.00 0.00 Dibromoacetic acid μg/L 0.01 0.00 0.00 0.00 0.00 0.00 0.00 Density g/cm 3 0.00001 1.0139 1.0138 1.0138 1.0138 1.0139 1.0137 TRO mg/L 0.02 0.00 0.00 0.00 0.00 0.00 0.00 DOC mg/L 0.005 4.62 4.55 POC mg/L 0.005 2.12 2.20 TSS mg/L 32.50 31.83 Salinity PSU 33.95

Potential physical effects on w ildlife and benthic habitats

Not specifically tested. However, treatment does not seem to affect the physical properties of the seawater and its habitats, as deduced from the chemical analysis data in Appendix II.

Potential residues in seafood

Bioaccumulation is not expected, and no pot ential residues in seafood resulting from “EcoBallast” treatment are likely to occur.

Any known interactive effects

There are no known or expect ed interactive effects.MEPC 59/2/4
ANNEX Page 29

I:\MEPC\59\2-4.doc 4.2.1.4 Physical and chemical properties for th e Active Substances and Preparations and the treated ballast water, if applicable.

The “EcoBallast” treatment technology does not involve any addition of chemicals. The free radicals which may be generated have very shor t lifetime and are consumed inside the reactor, and may react with DOM in the seawater transf orming this into low molecular weight (LMW) carbon products. Only the redox potential, de nsity and corrosivity are tested here.

Density

The density of controlled and treated seawater wa s measured. That values were not significantly different from those of the raw seawater (see Appendix II), which means any significant physical and chemical changes of the seawater have no t been introduced. The results are summarized in Table 11.

Table 11: Density in control and treated seawater (OECD Guide 109: 1996)

Time (day 0) Time (day 1) Time (day 5) Salinity Unit MDL Control Treated Control Treated Control Treated 21 PSU g/cm 3 0.00001 1.0238 1.0237 1.0237 1.0237 1.0237 1.0237 34 PSU g/cm 3 0.00001 1.0139 1.0138 1.0138 1.0138 1.0139 1.0137

Oxidation/reduction potential

The oxidation and reduction potential was measur ed after “EcoBallast” tr eatment. That values were not significantly different from those of the raw seawater (see Appendix I), which means any significant physical and ch emical changes of the seawat er have not been introduced. The results are summarized in Table 12.

Table 12: Oxidation and Reduction Potential (ORP ) in control and treated seawater

Influent water (immediately after ballasted water, day 0) Discharged water (after de-ballasted water, day 5)

Control(mV) Treated(mV) Control(mV) Treated(mV) Salinity (PSU)

B* M E B M E B M E B M E

21 341 344 338 342 349 337 335 319 311 343 345 345
34 347 329 325 335 342 324 336 328 356 327 310 322

* B, beginning; M, middle; E, end.

Corrosivity to the materials or equipment of normal ship construction

The corrosivity test has been performed with the discharged seawater from the “EcoBallast” system during about six months. Th e test results showed no significant changes of the corrosivity of the discharged seawater compared to raw seawater (see Appendix IV).

4.2.1.5 Analytical methods at environm entally relevant concentrations.

All analytical methods follow In ternationally Recognized methods (see Appendix II, section 2.4).MEPC 59/2/4
ANNEX Page 30

I:\MEPC\59\2-4.doc 4.3 Assessment report

4.3.1 A proposal for approval should include an assessment report. The assessment report should address the quality of the test reports, the risk characteri zation and a consideration of the uncertainty associated with the assessment.

The analyses performed will be complemented with further tests both with re gard to toxicity as well as chemical properties of the tr eated ballast water if necessary.

The preliminary test results reve aled no measurable levels of potentially toxic substances and no acute or chronic effects of the full strength effluent on aquatic organisms. Therefore, no apparent environmental ri sks could be identified.

All analyses were carried out according to st andard methods as described in each Appendix.

5 RISK CHARACTERIZATION

5.1 Screening for persistency, bioaccumulation and toxicity

5.1.1 An assessment on the intrinsi c properties of the Active Substa nce and/or Preparation such as persistency, bioaccumulation and toxicity shou ld be conducted (see Table 1 in section 6).

.1 Persistence tests

Not specially tested. According to the lite rature review, the half life of hydroxyl radical (OH•) is very short, in the range of 10 -7

− 10 -9 seconds.

.2 Bioaccumulation tests

Not specifically tested; however, the Chemical Analysis (Appendix II) and Toxicity Test (Appendix III) indicate that the treated wa ter has not been changed.

.3 Toxicity tests

Acute and chronic ecotoxicity tests of “E coBallast” treated seawater and brackish water covering multiple test species (a fis h, an invertebrate and a plant) showed no effects on the tested organisms (Appendix III).

5.2 Toxicity testing of th e treated ballast water

Acute and chronic ecotoxicity tests with “Eco Ballast” treated seawater and brackish water covering multiple test species (a fish, an inverteb rate and a plant) indicated no acute or chronic toxicity to any test organisms at any effluent concentrations as tested. Even the full strength effluent (100%) did not show any deleterious eff ects on any of the test species. Consequently, the effluent can be expected to be non-toxic to aquatic organisms as well as to the marine environment in general (Appendix III).

The actual NOEC of “EcoBallast” tr eated seawater and brackish water was not measurable; the statistically determined NOEC was 100%. (Appendix III).MEPC 59/2/4
ANNEX Page 31

I:\MEPC\59\2-4.doc Since the free radicals have a very short lifeti me and no significant toxi c effects to aquatic organisms have been observed, and the NOEC has been shown to be 100%, there should be no need for holding time in order to observ e further adverse effects upon discharge.

5.2.1 Information on Total Residual Oxidants (TRO) and Total Residual Chlorine (TRC) should be provided as part of the application fo r evaluation, for both the ballast water treatment process and the ballast water discharge.

The Total Residual Oxidants (TRO) was measured for the discharged seawater from “EcoBallast” Management System (Table 13). There was no difference between treated water and raw (control) seawater. The detailed in formation can be found in Appendix II.

The Total Residual Chlorine (TRC) was not meas ured specially. The definition of TRO and TRC is as follows (http://hc-sc.gc. ca/ewh-semt/pubs/contaminants):

TRC includes both combined residual chlorine ( CRC) and free chlorine. Fr ee chlorine is also called free residual chlorine (FRC) or free available chlorine (F AC), and it includes hypochlorous acid and the hypochlorite ion. In the presence of bromide, such as in seawater, reactive chlorine atoms can be completely or partially replaced by bromine atoms. The collection of reactive chlorine and bromine species is called chlori ne-produced oxidants (CPO) or total residual oxidants (TRO).

From the definition of TRO and TRC describe d above, some of reactive chlorine can be measured as TRO. By the fact that “EcoBa llast” does not use any chlorine compound and the results of TRO measurement (Table 13), the result of TRC may be assumed to be almost same as the value of TRO in the ‘“EcoBallast” system.

Table 13: TRO in control and treate d seawater. (EPA method 330.5:1989)

Time (day 0) Time (day 1) Time (day 5) Salinity Unit MDL Control Treated Control Treated Control Treated 21 PSU mg/L 0.02 0.0 0.0 0.0 0.0 0.0 0.0 34 PSU mg/L 0.02 0.0 0.0 0.0 0.0 0.0 0.0

5.3 Risk characterization and analysis

The test results revealed no measurable levels of potentially toxic substances and no acute or chronic effects of the full strength effluent on aquatic organisms. Therefore, no apparent environmental risks could be identified.

Acute and chronic eco-toxicity tests of the “Eco Ballast” treated seawater and brackish water showed no effects on any of the test organisms (Appendix III).

The free radicals resulting from the interactions between UV irradiation and some photosensitizing agents such as nitrate and na tural dissolved organi c matter (DOM) in the seawater will react with seve ral organic compounds as describe d in section 2.2.3.1 “Formation of hydroxyl radical (OH•))” and sec tion 4.2.1.3 “mode of degradation” . These radicals are also formed naturally in the surface of seawater so an y products from “EcoBallast”, if formed, can be expected to be of a similar chemical nature to those resulting from natural decomposition in the water, see also section 2.2 “Background for dete rmining the Active Substance and Relevant Chemicals” and section 4.1.4 “D ischarge characteristics”.MEPC 59/2/4
ANNEX Page 32

I:\MEPC\59\2-4.doc Since the free radicals have a very short lifetime; no significant t oxic effects to aquatic organisms and the aquatic environments; and the toxicity te st results showed that NOEC was 100%, there is no need for holding time as argued above, and therefore measurements of discharge concentrations at different tim e intervals are not relevant.

The partition coefficients (solids-water parti tion coefficient (Kd) a nd/or organic carbon normalized distribution coefficient (Koc)) of the Active Substances, Preparations and Relevant Chemicals as well as the logarithm octanol/water partition coefficient (logPow) have not been determined, however, the “Chemical Analysis” (Appendix II) and “Toxicity Test” (Appendix III) indicate that the seawater treated by the “EcoBa llast” management system has not been changed.

Secondary poisoning testing is here deemed not relevant as chemi cal analyses data indicate that bioaccumulation does not occur (Appendix II), and thes e data also indicate that the sediment in the ballast water tanks are non-t oxic. Furthermore, no carcinog enic, mutagenic or endocrine disruptive substances were f ound in the analysed seawater.

In conclusion, it should be noted that the analyses performed and presented in this document are preliminary and will be complemented with further tests both with regard to toxicity as well as chemical properties of the treated water, if necessary. The test results found no measurable levels of potentially toxic substances and no acute or ch ronic effects of the full strength effluent to aquatic organisms. Therefore, no apparent environmental risks could be identified.

All analyses were carried out in accordance with standard me thods and toxicity testing was performed under supervision of the Korea Mari ne Equipment Research Institute (KOMERI), Korea Testing & Research Inst itute (KTR) and Marine Eco- Technology Institute (MEI). KOMERI laboratory is accredited by KOLAS for phytoplankton and micro-organism analyses (Appendix I). The study director of KOMERI is accredited by IOC-UNESCO for identification of harmful microalgae (Appendix I). KTR laboratory is accred ited by KOLAS for chemical analysis of environmental samples including DO C and POC analysis (Appendix II). Although MEI Institute is not accredited specifically for toxicological testing (e.g., Good Laboratory Practice, GLP), the Institute has an Ecotoxicol ogy laboratory, personnel with a solid experience in toxicological research, and all tests were performed according to GLP. The data on quality assurance (QA) are provided in each test report. (Appendix III).

6 EVALUATION CRITERIA

6.1 Ship and personnel safety

6.1.1 Hazard Identification (HAZID) study of “EcoBallast” Management System

A HAZID study was conducted to identify possible h azardous events and how to manage hazards to personnel and ship through the design and operational phase of the “EcoBallast” management system. The HAZID workshop was organized includi ng of experts with expe rience in mechanical and process design, manufacture, and ship trial test, etc., in HHI. The workshop identified the following operations and issues as relevant in relation to ship and personnel safety:

- UV reactor; - Auto back flushing filter; - CIP unit; and - Human safety.MEPC 59/2/4
ANNEX Page 33

I:\MEPC\59\2-4.doc 6.1.2 Managements in emergency conditions

Emergency conditions are considered in the design of “EcoBallast” management system especially during operation on board (Table 14).

6.2 Environmental protection

The chemical analyses (Appendix II) and the toxi city tests (Appendix III) have led to the conclusion that there are no potenti al risks to the aquatic environm ent. No potentially dangerous substances were identified in the water and the discharge effluent (100%) did not have any harmful effects on any of the tested organisms.

An Emission Scenario Document (ESD) has not b een prepared as the “EcoBallast” system does not use chemicals in the treatment of the water.

7 REGULATION OF THE USE OF ACTIV E SUBSTANCES AND PREPARATIONS

7.1 Handling of Active Substances and Preparations

The “EcoBallast” management system is desi gned with a specified number of UV lamps according to the maximum design flow rate of the ballast system. If the flow rate of ballast system decreases, the control system will de tect this and decrease power of each lamp accordingly in order to minimize the power consumption and to prevent over-dosage of UV irradiation. Therefore the “EcoBallast” manageme nt system will not produce higher quantities of “Active Substances” in case of fl uctuating (decreasing) flow rate.

7.2 Hazard documentation and labelling

7.2.1 The proposal should include ((M)SDS) as required. The (M)SDS should describe appropriate storage and handling to gether with the effects of degr adation and chemical reactivity during storage and should be included in the instructions provided by the manufacturer.

A ((M)SDS) is deemed not applicable for the “EcoBallast” system.

7.3 Procedures and use

8 APPROVAL

8.1 Basic approval

8.2 Final Approval

8.3 Notification of approval

8.4 Modification

8.5 Withdrawal of approvalMEPC 59/2/4
ANNEX Page 34

I:\MEPC\59\2-4.doc 9 CONCLUSION

The “EcoBallast” Management System uses filter and UV technology. The direct effect of UV irradiation will destroy DNA of the micro- organisms causing their death. Also indirect effect of UV will produce radicals and attack cells, which is the same mechanism of the natural process which occurs when the sunlight hits the surface of the seawater. There are no chemicals added and there are no chemicals formed which can enter the ballast tanks.

The chemical Analysis before and after the trea tment has not indicated any residual substances. Toxicity test results from acute and chronic toxi city tests with seawater and brackish water show that there is no toxic effect de tected in the treated water.

10 REFERENCES

Alam, M. Z. B. and Ohgaki, S. (2002). Role of hydrogen peroxide ra dical in producing the residual effect of u ltraviolet radiation. Water Environment Research . 74 (3), 248-255.

Andreozzi, R. Caprio, V., Insola, A., and Marotta , R. (1999). Advanced oxidation process (AOP) for water purification and recovery. Catalysis Today . 53, 51-59.

Arana, I., Muela, A., Iriberri, J., Egea, L., and Barcina, I. ( 1992). Role of hydrogen peroxide in loss of culturability mediated by visible light in Escherichia coli in a freshwater ecosystem. Applied and Environmental Microbiology . 58, 3903-3907.

Barroin, G. and Feuillade, M. (1986). Hydr ogen Peroxide as a pot ential algicide for Oscillatoria rubescens D.C. Water Research , 20, 619-623.

Björnsson, B. (2004). Can UV-tr eated seawater cause cata ract in juvenile cod ( Gadus morhua L.)? Aquaculture . 240, 187-199.

Bukhari, Z., Abram, F., and LeChevallier, M. (2 004). Using ultraviolet light for disinfection of finished water. Water Science and Technology . 50 (1), 173-178.

Bullock, G. L. and Stuckey, H. M. (1977). Ultrav iolet treatment of water for destruction of five gram-negative bacteria pathogenic to fishes. Journal of the Fisheries Research Board of Canada . 34, 1244-1249.

Cooper, W.J. and Zika, R.G. (1983). Photochemical formation of hydrogen peroxide in surface and ground waters exposed to sunlight. Science . 220, 711-712.

Curtis, T.P., Mara, D.D., and Silva, S.A. (1992) . Influence of pH, oxygen, and humic substances on ability of sunlight to damage fecal co liforms in waste stabilization pond water. Applied and Environmental Microbiology . 58, 1335-1343.

de Veer, I., Moriske, H.J., and Ruden, H. (1994). Photochemical decomposition of organic compounds in water after U.V.-irradiation: i nvestigation of positive mutagenic effects. Toxicology Letters . 72, 113-119.

Gjessing, E.T. and Källqvist, T. (1991). Algicidal and chemical effect of UV radiation of water containing humic substances. Water Research . 25 (4), 491-494.MEPC 59/2/4
ANNEX Page 35

I:\MEPC\59\2-4.doc Hedges, J.I. (1992) Global biogeochem ical cycles: progress and problems. Marine Chemistry . 39,
67-93.

Kashinkunti, R.D., Linden, K.G., Shin, G., Metz, D.H., Sobsey, M.D., Moran, M.C., and Samuelson, A.M. (2004). Investigating multibarrier inactivation for Cincinnati-UV, by-products, and biostability. Journal American Wate r Works Association . 96 (6), 114-127.

Kimura, T., Yoshimizu, M., Tajima, K., Ezura, Y., and Sakai, M. (1976). Disinfection of hatchery water supply by ultrav iolet (U.V.) irradiation – Suscep tibility of some fish-pathogenic bacteria and microorganisms inhabiting pond waters. Bulletin of the Japan Soc iety of Scientific Fisheries. 42, 207-211.

Kruithof, J.C., van der Leer, R.C., and Hijnen, W.A.M. (1992) . Practical experiences with UV disinfection in the Netherlands . J Water SRT-Aqua . 41 (2), 88-94.

Lethola, M.J., Mittinen, I.T., Vartiainen, T., Rantakokko, P., Hir vonen, A., and Martikainen, P.J. (2003). Impact of UV disinfection on microbia lly available phosphorus, organic carbon, and microbial growth in drinking water. Water research . 37, 1064-1070.

Liltved. H., Hektoen, H., and Efraimsen, H. (1995) . Inactivation of bact erial and viral fish pathogens by ozonation or UV irradiat ion in water of different salinity. Aquacultural Engineering . 14, 107-122.

Liltved H., Vogelsang C., Modahl I., and Dannevi g B. (2006). High resistance of fish pathogenic viruses to UV irradiatio n and ozonated seawater. Aquacultural Engineering , 34, 72-82.

Lund, V. and Hongve, D. (1994). Ultraviolet irra diated water containing humic substances inhibits bacterial metabolism. Water Research . 28 (5), 1111-1116.

Lund, V. and Ormerod, K. (1994). The influence of disinfection processes on biofilm formation in water distribution system. Water Research . 29 (4), 1013-1021.

MacKinnon, M.D. (1981). The measurem ent of organic carbon n sea water. In Marine Organic Chemistry , Elsevier Oceanography Seri es, 31 ed. E.K. Duursma & R.Dawson, 415-443. Elsevier Scientific Publishing, Amsterdam.

Miller, R.V., Jeffrey, W., Mitchell, D., and Elasri, M. (1999). Bact erial responses to ultraviolet light. ASM News . 65, 535-541.

Mopper, K. and Degens, E.T. (1979) Organic carbon in the ocean: Natural and cycling. In The Global Carbon Cycle , ed. Bolin, B., Degens, E.T., Kemp e, S., and Ketner, P., 293-316, John Wiley & Sons, New York.

Mopper K. and Kieber D.J. (2000) Marine photochemistry and its impact on carbon cycling. In The effects of UV radiation in the marine environment , Cambridge environmental chemistry series, 10 ed. de Mora S., Demers S., and Ve rnet M. 101-129, Cambridge University Press, Cambridge.MEPC 59/2/4
ANNEX Page 36

I:\MEPC\59\2-4.doc Parkingson, A., Barry, M.J., Roddick, F.A., a nd Hobday, M.D. (2001). Preliminary toxicity assessment of water after treatment with UV-irradiation and UVC/H2O2. Water Research . 35 (5), 3656-3664.

Parkingson, A., Roddick, F.A., and Hobday, M. D. (2003). UV photooxidation of NOM: issues related to drinking water treatment. Journal of Water Supply and Technology-Aqua . 52 (8),
577-586.

Peldszus, S., Andrews, S.A., Souza, R., Smith, F., Douglas, I., Bolton, J., and Huck, P.M. (2004). Effect of medium-pressure UV irradiation on brom ate concentrations in drinking water, a pilot scale study. Water Research . 38 (1), 211-217.

Reed R.H. (1997). Solar inactivation of fecal b acteria in water: the critical role of oxygen. Letters in Applied Microbiology . 24, 276-280.

Sage E. (1993). Distribution and repair of photol esions in DNA: genetic consequences and the role of sequence context. Photochemistry and Photobiology . 57, 163-174.

Sako, H. and Sorimachi, M. ( 1985). Susceptibility of fish pathogenic viruses, bacteria and fungus to ultraviolet irra diation and the disinfecti on effect of W- ozone water sterilizer on the pathogens in water. Bull. National Research Institute of Aquaculture . 8, 51-58.

Sharpless, C.M., Page, M.A., and Linden, K.G. (2003). Impact of hydrogen peroxide on nitrite formation during UV disinfection. Water Research . 37, 4730-4736.

Shaw, J.P., Malley, J.P., and Willough S.A. (2000). Effects of UV irradiati on on organic matter. Journal American Water Works Association . 92 (4), 157-167.

Takeda, K., Takedoi H., Yamaji S., Ohta K., and Sakugawa H. (2004). Determination of Hydroxy Radical Photoproduction Rates in Natural Waters. Analytical Sciences . 20, 153-158.

Cited Internet Addresses

webbook.nist.gov 3⁄4 [http://webbook.nist.gov/ cgi/cbook.cgi?Name=hydroxyl+radical&Units=SI]

Canada Environmental Protection Act, 1999 3⁄4 [http://hc-sc.gc.ca/ewh-semt/pubs/contaminants]

* * *MEPC 59/2/4
ANNEX Page 37

I:\MEPC\59\2-4.doc APPENDIX I



### EXTRACTION OF QAPP

Project Name: HHI-BWM System

System Developer: Hyundai Heavy Industry Co., Ltd 1, Jeongha-dong Dong-gu, Ulsan, Republic of Korea Tel. 82-52-202-2114
Fax. 82-52-202-3470 english.hhi.co.kr

Primary System Tester (Type Approval Test Organization) Korea Marine Equipment Research Institute 1125-22 Dongsam-dong, Youngdo-gu, Busan, Republic of
Korea
Tel. 82-51-400-5000
Fax. 82-51-400-5091 www.komeri.re.kr

October 2008 

### Quality Assurance Project Plan (QAPP)
for testing of HHI-BWM (EcoBallast) System
for Type Approval by the Ministry of Land, Transport and Maritime Affairs (MLTM), Republic of Korea
in accordance with the
Guidelines for A pp roval of Ballast Water Mana g ement S y stems (G8)MEPC 59/2/4
ANNEX Page 38

I:\MEPC\59\2-4.doc Contents

Introduction and background ...................................................................................................

......... Quality Management Plan (QMP) .................................................................................................

... 1. Hyundai Heavy Industries ...................................................................................................

... 2. Korea Marine Equipment Research Institute ......................................................................... Quality Assurance Proj ect Plan (QAPP) .........................................................................................

.. Quality St atement .............................................................................................................

........ Approval Sheet ................................................................................................................

......... Distribution List .............................................................................................................

.......... 1. PROJECT MANAGEMENT ................................................................................................ 1.1 Project Description .......................................................................................................

.. 1.1.1 Address of QAPP ................................................................................................. 1.2 Project Organization and Responsibilities ...................................................................... 1.3 Project and Task Description .......................................................................................... 1.3.1 Test Site ...............................................................................................................

. 1.3.2 The HHI-BWM System ....................................................................................... 1.3.3 Test Schedule ....................................................................................................... 1.3.4 Task ....................................................................................................................

.. 1.4 Quality Assurance Objectives ......................................................................................... 1.5 Training and Certification ............................................................................................... 1.5.1 Collection and Handling of Samples .................................................................... 1.5.2 Laboratory Testing and Analysis ......................................................................... 1.6 Document and Records ................................................................................................... 1.6.1 QAPP .................................................................................................................... 1.6.2 Field Sample Records............................................................................................ 1.6.3 Chain of Custody Records .................................................................................... 1.6.4 Laboratory Raw Data Records .............................................................................. 2. MEASUREMENT AND DATA ACQUISITION ................................................................ 2.1 Sampling Process Design .............................................................................................. 2.2 Sampling Methods ................................................................................................... 2.2.1 Sample Collection, Preparation, Decontamination Procedure ............................. 2.2.2 Sampling Equipment, Preservation, and Holding Times ..................................... 2.2.3 Sampling/Measurement System Failure Response and Corrective Action Process 2.3 Sample Handling and Custody ...................................................................................... 2.4 Preparation of Samples and Analytical Methods .......................................................... 2.4.1 Analysis of Organisms in Water Samples ( ≥ 10 – 50 μm and ≥ 50 μm) ............. 2.4.2 Samples for Chemical Analyses (KTR) ............................................................... 2.4.3 Samples for Bacteriological Analysis .................................................................. 2.5 Quality Control Procedures ........................................................................................... 2.6 Data Acquisition ..........................................................................................................

.. 2.7 Data Management .......................................................................................................... 2.7.1 Data Recording ..................................................................................................... 2.7.2 Data Validation .................................................................................................... 2.7.3 Data Transformation ............................................................................................ 2.7.4 Data Transmittal ................................................................................................... 2.7.5 Data Reduction ..................................................................................................... 2.7.6 Data Analysis ....................................................................................................... 2.7.7 Data Tracking ....................................................................................................... 2.7.8 Data Storage and Retrieval ................................................................................... 2.7.9 Data Release .........................................................................................................MEPC 59/2/4
ANNEX Page 39

I:\MEPC\59\2-4.doc 3. ASSESSMENT AND OVERSIGHT .................................................................................... 3.1 Assessment and Response Actions ................................................................................ 3.2 Reports to Management .................................................................................................
4. DATA VALIDATION AND USABILITY ........................................................................... 4.1 Data Review, Validation, and Verification ................................................................... 4.1.1 Sampling Design .................................................................................................. 4.1.2 Calibration ............................................................................................................ 4.1.3 Data Reduction and Processing ............................................................................ 4.2 Validation and Verification Methods ............................................................................
5. REFERENCES .................................................................................................................

..... 6. APPENDICES .................................................................................................................

...... Appendix 1 ....................................................................................................................

...... Appendix 2 ....................................................................................................................

...... Appendix 3 ....................................................................................................................

...... Appendix 4 ....................................................................................................................

...... Appendix 5 ....................................................................................................................

...... Appendix 6 ....................................................................................................................

...... Appendix 7 ....................................................................................................................

...... Appendix 8 Reference materials and papers ........................................................................ Appendix 9 Full-scale (200 ton/hr) Test Report ..................................................................

Appendix 1. Species identification of influent (ballast) water ( ≥ 50 μm, min. dimension)

Appendix 2. Pictures of organisms ( ≥ 50 μm, min. dimension)

Appendix 3. Species identification of influent (ballast) water ( ≥ 10-50 μm, min. dimension)

Appendix 4. Pictures of organisms ( ≥ 10-50 μm, min. dimension)

Appendix 5. Pictures of incubated bacteria

Appendix 6. Chain of custody record

* * *MEPC 59/2/4
ANNEX Page 40

I:\MEPC\59\2-4.doc APPENDIX II



### TEST REPORTS OF CHEMICAL ANALYSIS

Quality Assurance Project Plan (QAPP)



### HHI-BWM (EcoBallast) System

Korea Testing & Research Institute

prepared by: Jae-Hong Kim Korea Testing & Research Institute 411 Daun-dong, Jung-gu, Ulsan, Republic of Korea www.ktr.or.kr

reviewed by: Mu-Sang Lyu Korea Testing & Research Institute 411 Daun-dong, Jung-gu, Ulsan, Republic of Korea www.ktr.or.kr

under contract to Ph.D. Kee-Yong Park Hyundai Heavy Industries Co., Ltd 1, Jeongha-dong Dong-gu, Ulsan, Republic of Korea english.hhi.co.kr

co-work to Young-Soo Kim Korean Marine Equipment Research Institute 1125-22 Dongsam-dong, Youngdo-gu, Busan, Republic of Korea eng.komeri.re.kr

October 2008

* * *MEPC 59/2/4
ANNEX Page 41

I:\MEPC\59\2-4.doc APPENDIX III



### TEST REPORTS OF AQUATIC TOXICITY

Test Report on Aquatic Organism Toxicity

No significant acute toxicity wa s observed in treated deballasting seawater compared to control seawater. But slightly low NOEC observed in ch ronic toxicity test on treated deballasting seawater of 34 PSU. Echinoderm and mollusc show 6.25% of NOEC and 12.50% of NOEC, respectively. Besides of these two organisms, any other organisms do not show significant toxicity in chronic toxicity test on treated deballasting seawater.

* * *MEPC 59/2/4
ANNEX Page 42

I:\MEPC\59\2-4.doc APPENDIX IV



### TEST REPORTS OF CORROSIVITY

Corrosivity tests were conducted to assess the effect of effluent from “EcoBallast” system on protective coating of wate r ballast tank. For test, epoxy coating system which is the most widely used in ship’s ballast tank coating was appl ied to SWBT (Simulated Wave Ballast Tank) according to IMO document MSC 82/WP.3.

Following coating performances were eval uated for natural and treated seawater:

 Adhesion strength,

 Anti-corrosion resistance,

 Cathodic disbondment resistance,

 Colour change,

 Chemical molecular change on surf ace coating using FT-IR analysis.

The key results are as follows:

 Adhesion strength was little affected by seawat er condition and coating adhesion strength and coating failure mode satisfied the requirement of IMO PSPC;

 It was found that UV-treated wa ter did not significantly affect corrosion creep of coating system comparing with natural seawater c ondition and corrosion cree p of coating system well satisfied IMO PSPC criterion, below 8 mm regardless of seawater condition;

 The cathodic disbondment difference between na tural seawater condition and UV-treated condition is negligible level. In additi on, coating system satisfied thoroughly cathodic disbondment criterion of IMO PSPC, < 8mm, regardless of seawater condition. These observations confirmed that cathodic disbondment resistance was not affected by UV-treated seawater;MEPC 59/2/4
ANNEX Page 43

I:\MEPC\59\2-4.doc  There was no remarkable colour difference be tween two exposed environments since all of the colour differences ( ∆ E) are below 1, which cannot be distinguished with the naked eye;

 FT-IR analysis results show that there is negligible chemical structure change or chemical aging even though the coating films were expos ed to UV-treated seawater environment.

As a conclusion, results clearly indicated that UV- treated seawater, the effluent of “EcoBallast” system, has negligible effect on coating performance of ship’s ba llast tank, when compared with natural seawater and coating performance will meet the IMO PSPC requirement regardless of seawater condition.

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I:\MEPC\59\2-4.doc APPENDIX V



### HAZID STUDY

Hazard identification (HAZID) study of “EcoBallast” to be installed on board ship was conducted. Objective of study is to identify and summarize all known hazardous events during the normal operation and maintenance phases. A HAZID workshop was carri ed out by attendees who have a lot of experiences of mechanical an d process design, fabricat ion, installation, and sea trial tests, etc., in HHI. The sc opes of HAZID study are as follows:

• UV reactor (UV unit)

• Auto back-flushing filter (Filter unit)

• CIP unit (Cleaning unit)

• Human safety (Crew)

As a result of HAZID workshop, a total of 15 hazards were identified for the normal operation and maintenance phases of “Ecoballast”. Among those identified, the critical 12 hazards were compiled in the Hazard Register, and recommende d the corrective or preventive action plans.

The key summaries of HAZID workshop are as follows:

Hazard
No. Hazard System (or Sub-system) Mode

1 UV lamp goes out UV reactor Operation

2 UV lamp fails during the ope ration UV reactor Operation

3 UV lamp fails to start UV reactor Operation

4 UV radiation expose to personal UV reactor Operation

5 UV lamp breaks during the maintenance tasks Human safety Maintenance

6 UV lamp breaks during the storage or transport phase Human safety Storage

7 Used UV lamp breaks during the disposal phase Human safety Disposal

8 Geared motor fails Filter Operation

9 Too frequent back-flushing or continuous back-flushing occurs Filter Operation

10 The cleaning solution is flooded over the CIP tank CIP unit Cleaning

11 Leakage of chemical line and CIP tank CIP unit Cleaning

12 Too low level of solution in CIP tank CIP unit Operation

* * *MEPC 59/2/4
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I:\MEPC\59\2-4.doc APPENDIX VI



### System description of “EcoBallast”

1 Introduction

2 System Overview

2.1 Process summary

2.2 System boundary

2.3 Electric power distribution for treatment system

2.4 System control

2.5 Safety functions of system

2.6 Equipment model line-up for ba llast water treatment system

2.7 Utilities

3 Equipment Unit

3.1 System Control Unit

3.2 Filter Unit

3.3 UV Unit

3.4 CIP Unit

4 System Operation

4.1 General

4.2 Modes of operation

4.3 Sequence of operations

4.4 Control functions in normal operation

5 Appendix

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