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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 ORGANISMS IN BALLAST WATER 

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

Submitted by the Republic of Korea

SUMMARY

Executive summary: This document contains the non-confidential information related to 

the application for Basic Approval 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)” adopted 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 Substances 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 water management systems that make use 

of Active Substances (G9)”, adopted by resolution MEPC.126(53), defines the principal aspects 

to be documented by data or testing (MEPC 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 Organization should evaluate the information provided in the 

application. 
MEPC 59/2/4 - 2 - 

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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 reviewed by the GESAMP-Ballast Water Working Group. In the 

meantime, a document on the proposal for approval 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 the 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 understanding of confidential treatment. 

Action requested of the Committee

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

*** 
MEPC 59/2/4 

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ANNEX

NON-CONFIDENTIAL INFORMATION 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 “EcoBallast” system and its components 

1.3 Development of Helix type UV reactor 

1.4 Description of the pilot scale 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 environmentally relevant concentrations. 

4.3 Assessment report 
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5 RISK CHARACTERIZATION 

5.1 Screening for persistency, bioaccumulation and toxicity 

5.2 Toxicity testing of the 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 ACTIVE 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 (“EcoBallast”) 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 TEST FOR UV-TREATED BALLAST 

WATER 

APPENDIX V HAZID STUDY ON “EcoBallast” 

APPENDIX VI SYSTEM DESCRIPTION OF HHI BALLAST WATER 

MANAGEMENT SYSTEM 
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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 Ballast 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 minimal 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 water is treated again during discharge to ensure 

that any potential re-growth of organisms in the ballast water tanks is prevented. The working 

principle is disinfection or destruction 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 marine organisms through 

UV radiation; and controls and auxiliary functions. Accordingly, 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 schematically 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 fully 
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automatic in terms of its operation and cleaning without affecting the filtration 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 might 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 reduce 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 treatment because the helical 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 eliminated as far as possible. The helix lamp 

arrangement (patent pending) overcomes the need for additional 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 alarms 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” (CIP) unit which is an automatic service device 

that cleans the quartz sleeves covering the UV lamps after each ballasting and de-ballasting 

operation. The operation is according to programme by manual initiation during the voyage 

period. CIP unit is installed adjacent to the UV reactor and the line is connected to every 

UV reactor. After service operation of UV reactors, the reactors will be cleaned by the CIP unit 

one by one. 

Biodegradable acid solution could 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 detected by installed pH meter or cleaning 

performance after cleaning operation which can be estimated by comparing light intensity before 

and after cleaning. The detailed description of cleaning unit is prepared in Appendix VI. 
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The application for Basic Approval will focus on the Helix type UV reactor. The filter and other 

components are not considered to be relevant 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 spectrum has to be applied, which inactivates 

microbial organisms, and the so-called germicidal range is at wavelengths 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 technology 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 Monochromatic 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 better 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 nm 
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As a result of the comparisons in Table 1 and Table 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 data available for ballast 

water application of such standard UV systems. Some literature data suggest that the UV dose 

for some marine species varies from 200 to 300 mWs/cm2

 to reach a 3-log step reduction for 

ballast water application. However, the long experience of our co-developer, Wedeco AG 

Germany, as well-known manufacturer of UV disinfection systems for drinking water and waste 

water treatment plants, suggest that 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 conducted to obtain spectra indicating the sensibility of different 

phytoplankton species exposed to different types of UV radiation. 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/cm2

 is needed to achieve a 1 log step mortality rate 

(Figure 2h). 

UV design in order to meet 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 inlet water conditions. Different water qualities 

represent a considerable challenge to the performance of the UV system. UV radiation does not 

spread homogenously in water; the spreading decreases logarithmically with the distance from 

the point of radiation. In order to deal with the non-uniform spreading of the UV radiation, the 

construction of the UV lamp and the reactor chamber has been re-designed. The chamber has 

been changed so that water flow is in the direction along the quartz 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 the seawater to UV radiation; and 

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

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-

0 1000 2000 3000 4000 5000

Log(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 5000

Log(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 5000

Log(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/m2)

0 1000 2000 3000 4000 5000

Log(N/No)

-5

-4

-3

-2

-1

0

UV Dose (J/m2)

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. No

means the initial concentration of algae and N means 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/cm2

 which is equal to 10 J/m2. 
MEPC 59/2/4 

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Reactor design 

Based on the pre-test results and design principles mentioned above, a computational fluid 

dynamics (CFD) simulation had been carried out aiming at keeping the number of lamps and the 

process-related power consumption in a moderate 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 reactor, (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 scale test system of “EcoBallast”

The pilot scale test system is set up at Hyundai 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, corrosivity test and chemical water analysis. 
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Figure 4: Land-based test facility at Hyundai Heavy Industries Co. Ltd., Ulsan, the 

Republic of Korea. The helix UV reactor was installed and its performance was tested. 

The flow diagram of the test facility is shown in Figure 5. It has three 280 m3 ballast tanks and 

a 250 m3

/hr ballast pump. All materials for the test facility 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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All tanks have drain valves in the bottom of each 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 the 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 m3

/h 

Treatments Two treatments, during ballasting and during de-ballasting 

Power consumption 39 ± 1 kW for UV unit 

 Less than 1 kW for Filter Unit 

Treated volume more than 200 m3

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/cm2

. 

1.6 Sampling and measurements 

Sampling locations (points) are indicated by P0-P4 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) respectively. Sampling point P4 was used to 

sampling for corrosivity test, toxicity test, and performance analysis. Procedures for sampling 

and transfer are described in detail in Appendix 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 and biological water quality criteria defined 

by IMO; 

- the efficiency of the HHI “EcoBallast” system in removing/inactivating target 

organisms during ballasting and deballasting after five days’ storage (P4); 

- the corrosivity of UV treated seawater directly after treatment at the time of ballasting (P4); 
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- the water quality in the control tank (Tank-1(100A)) as a reference to the water quality 

of control tank during discharge after five days’ storage (P4); 

- the acute and chronic environmental toxicity 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 μm 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 μm for treated 

- 20 Litres : - Marine organisms, ≥50 μm for control 

- 1 m3 : - Marine organisms, ≥50 μm for treated 

Figure 7: Test water flow diagram 

Positions of sampling are as follows: 

P0: Raw seawater; P1: IMO influent requirement for treatment on day 0 and control 

water on day 5; P2: IMO influent requirement for control water on day 0; P3: 
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treated water on day 1 and day 5; P4: treated 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, 

POC2)

- 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 μm, 

≥ 10 - 50 μm 

- Bacteria 

- TSS 

B, M, E 

*

1) B means “Beginning of the test; M means “Middle 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 m3/hr) test results 

The full scale (200 m3

/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 Ballast 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/m3) 4.62 × 105 ≥ 105

≥ 10-50 μm (individuals/mL) 1.28 × 103 ≥ 103 1-6 

(> 32 

PSU) Heterotrophic Bacteria (cells/mL) 2.60 × 

104 ≥ 104

ACCEPTABLE 

≥ 50 μm (individuals/m3) 2.80 × 105 ≥ 105

≥ 10-50 μm (individuals/mL) 1.65 × 103 ≥ 103

2-5 

(> 3- 32 

PSU) Heterotrophic Bacteria (cells/mL) 3.50 × 104 ≥ 104

ACCEPTABLE 
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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 

2-5 ≥ 50 μm 6 phylum 10 species 3 phylum 5 species 

(> 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 

1-6 Treatment 4.55 2.20 31.83 

(> 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 

Test organism 

period Organism classification 

T5*

D-2 

Standard Assessment 

≥ 50 μm (individuals/m3) 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/m3) 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. 
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Table 3-5: Assessment of valid condition for land-based test 

Test Viable organism 

period Organism size class 

C5*

Minimum G8 

requirement Assessment 

≥ 50 μm (individuals/m3) 1.10 × 105 1-6 ≥ 100 

(> 32 

PSU) ≥ 10 - 50 μm (individuals/ml) 1.32 × 102 ≥ 100 

ACCEPTABLE 

≥ 50 μm (individuals/m3) 2.27 × 104 ≥ 100 2-5 

(> 3- 

32 

PSU) ≥ 10 - 50 μm (individuals/ml) 8.58 × 102 ≥ 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 Industries Co. Ltd.”. The system is composed of a filtration unit 

followed by a helix UV reactor equipped with medium 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 back into the sea through back-washing of the 

filter. During de-ballasting, the ballast water will be treated again but only by the helix 

UV reactor. 

2.1.2 “Treated Water” means the seawater treated 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 and specific action on or against harmful aquatic micro-organisms 

and pathogens. Therefore the UV irradiation “Photon” can be defined here as the “Active 

Substance”. 

2.1.5 “Preparation” as defined in Procedure (G9) 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 organic 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. 
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2.2 Background for determining the “Active Substance” and “Relevant Chemicals” 

2.2.1 Introduction

Natural and artificial UV light (wavelength of 190-400 nm) may damage living organisms by 

directly and indirectly altering biological molecules like nucleic acids and proteins. UV light can 

be divided into three different types according to the wavelength. UV-A extends from 320 

to 400 nm, UV-B extends from 290 to 320 nm, whereas UV-C, which is called short UV, extends 

from 100 to 290 nm (Figure 8) Direct effects of UV light on nucleic acids include 

photo-dimerizations between adjacent pyrimidine bases, photo-hydration of cytosine, inter- and 

intra-strand cross-links and protein-DNA cross-links. Indirect damages may occur when reactive 

oxygen species are generated; such compounds may 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 biological molecules (mainly DNA and proteins) in 

the organisms when they absorb the UV light, resulting 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 lamps. The low-pressure 

mercury-vapour lamp emits approximately 85% of its energy output as monochromatic light at a 

wavelength of 253.7 nm, which is within the optimum wavelength range of 250 to 270 nm for 

bactericidal effects (Figure 8). Medium pressure 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 damage. 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 (Sage 1993). Once the pyrimidine residues are 

covalently bound together, replication of the nucleic acid is blocked or results in mutant daughter 

cells unable to multiply. 
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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 inorganic molecules in water can absorb UV light, 

causing changes in the water quality. UV is absorbed 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 reactive oxygen species. The resulting high energy oxidants such as 

hydrogen peroxide (H2O2), superoxide (O2

-·) 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 (H2O2) is produced photo-chemically by a variety of mechanisms both 

internally within the cells of aquatic organisms and also externally in their surrounding 

environment. The main photochemical pathway is by the dismutation from superoxide: 

O2 +hv Æ O2

-· Æ H2O2

H2O2 has long been used as an algicide and bactericide, at concentrations in the millimolar range 

(e.g., 0.2 ~1.5 mmol/Litre against filamentous cyanobacteria; Barroin and Feuillade, 1986). 

H2O2 is a powerful oxidant capable of damaging nucleic acids, proteins and pigments. Although 

this damage may be incurred by direct reaction between biomolecules and the H2O2, many of 

these effects are mediated by the Fenton reaction, whereby more reactive oxidants are generated, 

in particular hydroxyl radical (OH•) : 

H2O2 + Fe2+ Æ OH·

+OH- + Fe3+ 

The extreme reactivity of the hydroxyl radical (OH•) is indicated by its short half-life, typically 

nanoseconds. Hydroxyl radical (OH•) attack nucleic acids, proteins and membranes and 

consequently few parts of the cell are immune from their effects; even catalases and peroxidases 

are attacked and degraded by this highly reactive oxygen species. 

The detailed mechanisms by which hydroxyl radical (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 radiation is mainly from dissolved organic matter or 

from nitrate. 
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Dissolved organic matter 

Dissolved organic matter (DOM) in seawater is present at concentrations of about 0.5 - 2 mg/L 

(MacKinnon, 1981) and represents one of the largest reservoirs of organic carbon on the surface 

of the earth (Mopper and Degens, 1979; Hedges, 1992). Despite the size of this carbon pool, 

only about 25% to 50% has been characterized. The uncharacterized fraction of DOM has often 

been referred to as marine humic substances. In natural waters, photochemical reactions are 

initiated by absorption of sunlight 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 chemical compounds, such as the hydroxyl radical (OH•). At present, 

little is known about the photochemical reaction and reactive sites within marine DOM that are 

responsible for production of reactive transients at the sea surface.

Nitrate 

Nitrate (NO3

-

) is a very strong absorber of UV radiation below 250 nm (Sharpless et al. 2003) 

and a characteristic photoreaction of this compound is reduction to nitrite (NO2

-

). Takeda et al. 

(2004) reported that although most of the hydroxyl 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. 

NO3

-

 + hv Æ ÆOH• 
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Figure 10: General pathways for the photochemical oxidation of dissolved organic matter in 

natural water (Source: Mopper and Kieber, 2000). 

Table 4: Reactive oxygen species and oxidants 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 1.23 
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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 compounds 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 paragraph 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 electromagnetic waves (or photons), 

carrying energy for partial DNA alteration 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 the 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 reactions caused by sun light. 

Photosensitizing dissolved organic matter (DOM) and nitrate may adsorb electromagnetic energy 

and small quantities of free radicals may be produced and these radicals will react immediately 

with other substances to create “reaction products”. Of these transient oxygen species, the 

hydroxyl radical (OH•) is by far the most reactive and both of hydrogen peroxide (H2O2) and 

superoxide (O2

-·) can be converted to hydroxyl radical (OH•). 

Since hydroxyl radical (OH•) react non-selectively 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 formation of radicals is a prerequisite for creation of 

“reaction products” and hydroxyl radical (OH•) is by far the most reactive among the produced 

radicals, hydroxyl radical (OH•) can be regarded as the representative 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 harmful 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 “Active Substance” of the 

“EcoBallast” system. 
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4.1.3 Relevant Chemicals 

The UV irradiation of “EcoBallast” can be absorbed by some photosensitive compounds such as 

nitrate and natural dissolved organic matter (DOM) in seawater to produce reactive oxygen such 

as hydroxyl radical (OH•). Therefore, hydroxyl radical (OH•) is here defined as 

“Relevant Chemical”. 

4.1.3.1 The information required by IMO as listed below 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” management 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•) itself 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 might be possible reaction products, so called 

“by-products” and “ their residual toxicity”. 

4.1.4.1 Literature reviews 

- chemical changes of UV irradiated water; 

- changes in biodegradability 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 seawater salts and bromate. 

4.2 Data-set for Active Substances and Preparations 

All analyses were carried out according to standard methods. All tests were carried out under the 

supervision of the Korea Marine Equipment Research Institute (KOMERI), Korea Testing & 

Research Institute (KTR) and Marine Eco-Technology Institute (MEI). KOMERI laboratory is 

accredited by KOLAS (Korea Laboratory Accreditation Scheme) for phytoplankton and 

micro-organism analysis (Appendix I). Thus, the 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 Institute is not accredited specifically for 

toxicological testing (e.g., Good Laboratory Practice, GLP), the Institute has an ecotoxicological 
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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 was performed using the SWBT (Simulated Wave 

Ballast Tank) by Coating Performance Test Laboratory in Protective Coatings & Corrosion 

Research Department, Hyundai Industrial Research 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 accredited by NACE Certified Coating Inspector Level 2. 

The Institute has personnel with a solid experience in protective coating and corrosion research, 

and all tests were performed according 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, invertebrates, fish, and other biota, including 

sensitive and representative organisms 

Acute aquatic toxicity

No significant acute toxicity was observed; see report in Appendix III, section 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 Hypothesis Test based on the cell 

densities at the end of the experiment were calculated 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, EC25, EC50, LC25 and LC50 values based on mobilization 

and survival data at the end of the experiment 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, LC25 and LC50 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, EC25, EC50, LC25 and LC50 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, EC25, EC50, LC25 and LC50 values based on mobilization and 

survival data at the end of the experiment were calculated for 34 psu treated ballast water.
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Table 5: Acute aquatic toxicity of 34 psu ballast water treated by the HHI-BWM system 

LC50 and/or EC 50 Species End point Conc.(%)

Reference/Comments/ 

justification for missing data

Algae Skeletonema costatum EC50 72 h > 100 OECD 201

Crustacean Tigriopus japonicus EC50 48 h

LC50 48 h

> 100

> 100 OECD 202

Fish Paralichthys olivaceus LC50 96 h > 100 OECD 203

Echinoderm Anthocidaris crassispina EC50 48 h

LC50 48 h

> 100

> 100 OECD 202

Mollusc Crassostrea gigas EC50 48 h

LC50 48 h

> 100

> 100 OECD 202

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

LC50 and/or EC 50 Species End point Conc.(%)Reference/Comments/ 

justification for missing data

Algae Skeletonema costatum EC50 72 h > 100 OECD 201

Crustacean Tigriopus japonicus EC50 48 h

LC50 48 h

> 100

> 100 OECD 202

Fish Paralichthys olivaceus LC50 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 the UV treated ballast water on the diatom, 

Skeletonema costatum, during 96 hours, NOEC and LOEC values from Hypothesis Test based on 

cell densities at the end of the experiment were calculated for both 34 psu and 21 psu treated 

ballast water. 

Fish: For the study to assess the effects of the 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 living 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. 
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Table 7: Chronic aquatic toxicity of 34 psu ballast water treated by the HHI-BWM system 

LC25, LC50, LOEC, 

Species and/or NOEC

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

LC25 14 D

LC50 14 D

6.25

12.50

18.50

> 100

OECD 210

Mollusc Crassostrea gigas

NOEC 10 D

LOEC 10 D

LC25 10 D

L C50 10 D

12.50

25.00

49.10

> 100

OECD 210

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

LC25, LC50 and/or 

Species NOEC

End point Conc.(%)

Reference/Comments/ 

justification for missing data

Algae Skeletonema costatum NOEC 96 h 100 OECD 201

Fish Paralichthys olivaceus NOEC7 D 100 OECD 212

Endocrine disruption

Not specifically tested; however the acute toxicity test, the chronic toxicity test, and the chemical 

analyses of discharged seawater suggest that endocrine disruption 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 Analysis 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 Report) do not show any significant changes of its 

components compared to “Control” seawater, which suggests that changes in 

bioavailability/biomagnification/bioconcentration do not occur. 
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Food web/population effects

Since the full strength (100%) treated seawater and brackish water did not have any deleterious 

effects on any of the test species including marine 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 Substance”) generated in the “EcoBallast” Management 

System are never exposed to mammals, toxicity tests on mammalians are “Not Applicable”. 

Since the hydroxyl radical (OH•) (defined as “Relevant Substance”) are short-lived and will 

disappear before leaving the “EcoBallast” 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 treatment which will show mammalian toxicity. 

4.2.1.3 Data on environmental fate and effect 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 nitrate and DOM) in the seawater will decay into 

stable non-radical chemical compounds or will involve several oxidation reactions 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 review, the net effects of these photo-chemical 

processes and transformations are the oxidation of DOM, cleavage of humic substances, 

oxidation of reduced sulphur, photo-bleaching of absorbance and fluorescence properties, loss of 

dissolved oxygen, photo-reduction of trace metals, release of complex-bound molecules such as 

phosphate, and production of relatively stable low molecular weight (LMW) molecules such as 

hydrogen peroxide, NO and NO2, 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 treated water has not been changed.

Persistence and identification of the main metabolites in the relevant media (ballast water, 

marine and fresh waters)

No significant quantities of by-products were measured by the Chemical Analysis (Appendix II). 
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Reaction with organic matter

The free radicals resulting from the interactions between UV irradiation and some 

photosensitizing compounds such as nitrate and natural dissolved organic matter (DOM) in 

seawater will react with several 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 expected to be similar to those produced during 

natural decomposition of organic matter in seawater. 

To identify products of concern to the environment from the reaction of radicals with organic 

matters, some halogenated hydrocarbons were analysed in brackish water and seawater tests 

(Tables 9 and 10). The detailed information can be found in Appendix II. 

Table 9: Concentrations of potential Relevant Chemicals 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 μg/L 0.46 0.0 0.0 0.0 0.0 0.0 0.0 

Trichloromethane μg/L 0.001 0.000 0.000 0.000 0.000 0.000 0.000 

Dibromochloromethane μg/L 0.001 0.000 0.000 0.000 0.000 0.000 0.000 

Bromoform μg/L 0.001 0.003 0.002 0.003 0.000 0.004 0.000 

Dibromomethane μg/L 0.001 0.000 0.000 0.000 0.000 0.000 0.000 

Dichlorobromomethane μg/L 0.001 0.000 0.000 0.000 0.000 0.000 0.000 

1,2,3-Trichloropropane μg/L 0.001 0.000 0.000 0.000 0.000 0.000 0.000 

1,2-Dibrom-3-

chloropropane μg/L 0.001 0.000 0.000 0.000 0.000 0.000 0.000 

2-Chlorophenol μg/L 0.03 0.00 0.00 0.00 0.00 0.00 0.00 

3-Chlorophenol μg/L 0.03 0.00 0.00 0.00 0.00 0.00 0.00 

4-Chlorophenol μg/L 0.03 0.00 0.00 0.00 0.00 0.00 0.00 

2,3-Dichlorophenol μg/L 0.02 0.00 0.00 0.00 0.00 0.00 0.00 

2,4-Dichlorophenol+ 

3,5-Dichlorophenol μg/L 0.02 0.00 0.00 0.00 0.00 0.00 0.00 

2,5-Dichlorophenol μg/L 0.03 0.00 0.00 0.00 0.00 0.00 0.00 

2,6-Dichlorophenol μg/L 0.03 0.00 0.00 0.00 0.00 0.00 0.00 

3,4-Dichlorophenol μg/L 0.03 0.00 0.00 0.00 0.00 0.00 0.00 

2,3,4-Trichlorophenol μg/L 0.03 0.00 0.00 0.00 0.00 0.00 0.00 

2,3,5-Trichlorophenol 

+2,4,5-Trichlorophenol μg/L 0.02 0.00 0.00 0.00 0.00 0.00 0.00 

2,3,6-Trichlorophenol μg/L 0.03 0.00 0.00 0.00 0.00 0.00 0.00 

2,4,6-Trichlorophenol μg/L 0.03 0.00 0.00 0.00 0.00 0.00 0.00 

3,4,5-Trichlorophenol μg/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 
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(Table 9, continued) 

Chemical Time (day 0) Time (day 1) Time (day 5) 

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/cm3 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 20.81 
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Table 10: Concentrations of potential Relevant Chemicals 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 μg /L 0.46 0.0 0.0 0.0 0.0 0.0 0.0 

Trichloromethane μg/L 0.001 0.000 0.000 0.000 0.000 0.000 0.000 

Dibromochloromethane μg/L 0.001 0.000 0.000 0.000 0.000 0.000 0.001 

Bromoform μg/L 0.001 0.015 0.008 0.016 0.008 0.010 0.004 

Dibromomethane μg/L 0.001 0.000 0.000 0.000 0.000 0.000 0.000 

Dichlorobromomethane μg/L 0.001 0.000 0.000 0.000 0.000 0.000 0.000 

1,2,3-Trichloropropane μg/L 0.001 0.000 0.000 0.000 0.000 0.000 0.000 

1,2-Dibrom-3-

chloropropane μg/L 0.001 0.000 0.000 0.000 0.000 0.000 0.000 

2-Chlorophenol μg/L 0.03 0.00 0.00 0.00 0.00 0.00 0.00 

3-Chlorophenol μg/L 0.03 0.00 0.00 0.00 0.00 0.00 0.00 

4-Chlorophenol μg/L 0.03 0.00 0.00 0.00 0.00 0.00 0.00 

2,3-Dichlorophenol μg/L 0.02 0.00 0.00 0.00 0.00 0.00 0.00 

2,4-Dichlorophenol+ 

3,5-Dichlorophenol μg/L 0.02 0.00 0.00 0.00 0.00 0.00 0.00 

2,5-Dichlorophenol μg/L 0.03 0.00 0.00 0.00 0.00 0.00 0.00 

2,6-Dichlorophenol μg/L 0.03 0.00 0.00 0.00 0.00 0.00 0.00 

3,4-Dichlorophenol μg/L 0.03 0.00 0.00 0.00 0.00 0.00 0.00 

2,3,4-Trichlorophenol μg/L 0.03 0.00 0.00 0.00 0.00 0.00 0.00 

2,3,5-Trichlorophenol 

+2,4,5-Trichlorophenol μg/L 0.02 0.00 0.00 0.00 0.00 0.00 0.00 

2,3,6-Trichlorophenol μg/L 0.03 0.00 0.00 0.00 0.00 0.00 0.00 

2,4,6-Trichlorophenol μg/L 0.03 0.00 0.00 0.00 0.00 0.00 0.00 

3,4,5-Trichlorophenol μg/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 0.00 
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(Table 10, continued) 

Chemical Time (day 0) Time (day 1) Time (day 5) 

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/cm3 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 wildlife 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 potential residues in seafood resulting from 

“EcoBallast” treatment are likely to occur. 

Any known interactive effects 

There are no known or expected interactive effects. 
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4.2.1.4 Physical and chemical properties for the 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 short lifetime and are consumed inside the reactor, 

and may react with DOM in the seawater transforming this into low molecular weight (LMW) 

carbon products. Only the redox potential, density and corrosivity are tested here. 

Density 

The density of controlled and treated seawater was 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 not 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/cm3 0.00001 1.0238 1.0237 1.0237 1.0237 1.0237 1.0237 

34 PSU g/cm3 0.00001 1.0139 1.0138 1.0138 1.0138 1.0139 1.0137 

Oxidation/reduction potential

The oxidation and reduction potential was measured after “EcoBallast” treatment. That values 

were not significantly different from those of the raw seawater (see Appendix I), which means 

any significant physical and chemical changes of the seawater 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. The 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 environmentally relevant concentrations. 

All analytical methods follow Internationally Recognized methods (see Appendix II, section 2.4). 
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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 characterization and a consideration of the 

uncertainty associated with the assessment. 

The analyses performed will be complemented with further tests both with regard to toxicity as 

well as chemical properties of the treated ballast water if necessary. 

The preliminary 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. 

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

5 RISK CHARACTERIZATION 

5.1 Screening for persistency, bioaccumulation and toxicity

5.1.1 An assessment on the intrinsic properties of the Active Substance and/or Preparation such 

as persistency, bioaccumulation and toxicity should be conducted (see Table 1 in section 6). 

.1 Persistence tests 

Not specially tested. According to the literature 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 water has not been changed. 

.3 Toxicity tests 

Acute and chronic ecotoxicity tests of “EcoBallast” treated seawater and brackish 

water covering multiple test species (a fish, an invertebrate and a plant) showed no 

effects on the tested organisms (Appendix III). 

5.2 Toxicity testing of the treated ballast water 

Acute and chronic ecotoxicity tests with “EcoBallast” treated seawater and brackish water 

covering multiple test species (a fish, an invertebrate 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 effects 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” treated seawater and brackish water was not measurable; the 

statistically determined NOEC was 100%. (Appendix III). 
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Since the free radicals have a very short lifetime and no significant toxic 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 observe 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 for 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 information can be found in Appendix II. 

The Total Residual Chlorine (TRC) was not measured 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. Free chlorine is also 

called free residual chlorine (FRC) or free available chlorine (FAC), 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 chlorine-produced oxidants (CPO) or total residual 

oxidants (TRO). 

From the definition of TRO and TRC described above, some of reactive chlorine can be 

measured as TRO. By the fact that “EcoBallast” 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 treated 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 “EcoBallast” 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 natural dissolved organic matter (DOM) in the 

seawater will react with several organic compounds as described in section 2.2.3.1 “Formation of 

hydroxyl radical (OH•))” and section 4.2.1.3 “mode of degradation”. These radicals are also 

formed naturally in the surface of seawater so any 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 determining the Active Substance and Relevant 

Chemicals” and section 4.1.4 “Discharge characteristics”. 
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Since the free radicals have a very short lifetime; no significant toxic effects to aquatic organisms 

and the aquatic environments; and the toxicity test results showed that NOEC was 100%, there is 

no need for holding time as argued above, and therefore measurements of discharge 

concentrations at different time intervals are not relevant. 

The partition coefficients (solids-water partition coefficient (Kd) and/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 “EcoBallast” management system has not been changed.

Secondary poisoning testing is here deemed not relevant as chemical analyses data indicate that 

bioaccumulation does not occur (Appendix II), and these data also indicate that the sediment in 

the ballast water tanks are non-toxic. Furthermore, no carcinogenic, mutagenic or endocrine 

disruptive substances were found 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 chronic 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 methods and toxicity testing was 

performed under supervision of the Korea Marine Equipment Research Institute (KOMERI), 

Korea Testing & Research Institute (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 accredited by KOLAS for chemical 

analysis of environmental samples including DOC 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 Ecotoxicology 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 hazardous 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 including of experts with experience 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. 
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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 toxicity tests (Appendix III) have led to the 

conclusion that there are no potential risks to the aquatic environment. 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 been prepared as the “EcoBallast” system does 

not use chemicals in the treatment of the water. 

7 REGULATION OF THE USE OF ACTIVE SUBSTANCES AND PREPARATIONS

7.1 Handling of Active Substances and Preparations

The “EcoBallast” management system is designed 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 detect 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” management system will not produce higher quantities of 

“Active Substances” in case of fluctuating (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 together with the effects of degradation 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 approval 
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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 treatment has not indicated any residual substances. 

Toxicity test results from acute and chronic toxicity tests with seawater and brackish water show 

that there is no toxic effect detected in the treated water. 

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Hedges, J.I. (1992) Global biogeochemical cycles: progress and problems. Marine Chemistry. 39, 

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Parkingson, A., Barry, M.J., Roddick, F.A., and Hobday, M.D. (2001). Preliminary toxicity 

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Sako, H. and Sorimachi, M. ( 1985). Susceptibility of fish pathogenic viruses, bacteria and 

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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 irradiation 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] 

* * * 
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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 Approval of Ballast Water Management Systems (G8)
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Contents 

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

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

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

2. Korea Marine Equipment Research Institute ......................................................................... 

Quality Assurance Project Plan (QAPP) ........................................................................................... 

Quality Statement ..................................................................................................................... 

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 ......................................................................................................... 
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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 

* * * 
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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 

* * * 
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APPENDIX III 

TEST REPORTS OF AQUATIC TOXICITY

Test Report on Aquatic Organism Toxicity 

No significant acute toxicity was observed in treated deballasting seawater compared to control 

seawater. But slightly low NOEC observed in chronic 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. 

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APPENDIX IV 

TEST REPORTS OF CORROSIVITY

Corrosivity tests were conducted to assess the effect of effluent from “EcoBallast” system on 

protective coating of water ballast tank. For test, epoxy coating system which is the most widely 

used in ship’s ballast tank coating was applied to SWBT (Simulated Wave Ballast Tank) 

according to IMO document MSC 82/WP.3. 

Following coating performances were evaluated for natural and treated seawater: 

 Adhesion strength, 

 Anti-corrosion resistance, 

 Cathodic disbondment resistance, 

 Colour change, 

 Chemical molecular change on surface coating using FT-IR analysis. 

The key results are as follows: 

 Adhesion strength was little affected by seawater condition and coating adhesion strength 

and coating failure mode satisfied the requirement of IMO PSPC; 

 It was found that UV-treated water did not significantly affect corrosion creep of coating 

system comparing with natural seawater condition and corrosion creep of coating system 

well satisfied IMO PSPC criterion, below 8mm regardless of seawater condition; 

 The cathodic disbondment difference between natural seawater condition and UV-treated 

condition is negligible level. In addition, 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; 
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 There was no remarkable colour difference between 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 exposed 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 ballast tank, when compared with 

natural seawater and coating performance will meet the IMO PSPC requirement regardless of 

seawater condition. 

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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 carried out by attendees 

who have a lot of experiences of mechanical and process design, fabrication, installation, and sea 

trial tests, etc., in HHI. The scopes 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 recommended 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 operation 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 

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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 ballast 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 

__________