For reasons of economy, this document is printed in a limited number. Delegates are 

kindly asked to bring their copies to meetings and not to request additional copies.

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

INTERNATIONAL MARITIME ORGANIZATION

IMO 

E

MARINE ENVIRONMENT PROTECTION 

COMMITTEE 

59th session 

Agenda item 2 

MEPC 59/2/2

 5 December 2008

 Original: ENGLISH

HARMFUL AQUATIC ORGANISMS IN BALLAST WATER 

Application for Basic Approval of the Blue Ocean Shield 

Ballast Water Management System 

Submitted by China 

SUMMARY

Executive summary: This document contains the non-confidential information regarding 

the application for Basic Approval of the Blue Ocean Shield Ballast 

Water Management System 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). 

The complete dossier has been submitted to IMO for review by the 

GESAMP-Ballast Water Working Group. 

Strategic direction: 7.1 

High-level action: 7.1.2 

Planned output: 7.1.2.4 

Action to be taken: Paragraph 5 

Related documents: BWM/CONF/36; MEPC 57/21; BWM.2/Circ.13 and BWM.2/Circ.15 

Introduction 

1 Regulation D-3.2 of the International Convention for the Control and Management 

of Ships’ Ballast Water and Sediments stipulates that ballast water management systems that 

make use of Active Substances to comply with the Convention shall be approved by IMO on the 

basis of the procedure developed by the Organization. 

2 This document contains the non-confidential information related to the application 

for Basic Approval of the Blue Ocean Shield Ballast Water Management System in accordance 

with the “Procedure for approval of ballast water management systems that make use 

of Active Substances (G9)”. 
MEPC 59/2/2 - 2 - 

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3 The competent authority of China has verified the application dossier of 

the Blue Ocean Shield Ballast Water Management System, and believes it satisfies the data 

requirements of Procedure (G9). 

4 Therefore, China submits the non-confidential part of the manufacturer’s application 

dossier in the annex of this document to the Organization for evaluation in accordance 

with Procedure (G9). The complete dossier will be made available to the experts of 

the GESAMP-BWWG with the understanding of confidential treatment. 

Action requested of the Committee 

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

***
MEPC 59/2/2 

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ANNEX 

NON-CONFIDENTIAL INFORMATION ON THE BLUE OCEAN SHIELD 

BALLAST WATER MANAGEMENT SYSTEM (CHINA)

Table of Contents 

1 INTRODUCTION 

1.1 Working Principles of the Blue Ocean Shield Ballast Water Management System 

1.2 Technology overview 

2 DESCRIPTION OF THE BLUE OCEAN SHIELD SYSTEM 

2.1 Description of the Blue Ocean Shield system and its components 

2.2 Description of pilot scale test system used for Basic Approval 

3 DEFINITIONS 

4 ACTIVE SUBSTANCE AND OTHER CHEMICALS 

4.1 Active Substance 

4.2 Other Chemicals 

5 RISK CHARACTERIZATIONS 

5.1 Screening for persistency, bioaccumulation and toxicity 

5.2 Acute toxicity testing of the treated ballast water 

5.3 Risk characterization and analysis 

6 RISK TO SAFETY OF SHIP AND HUMAN HEALTH 

6.1 Safety Instructions 

6.2 Regulation of the use of Active Substances 

6.3 Risks for safety of ship 

7 ASSESSMENT REPORT 

8 CONCLUSIONS 

REFERENCES 

APPENDIX − ACUTE TOXICITY TESTING DATA OF THE TREATED BALLAST WATER 
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This application is prepared in accordance with the “Procedure for Approval of Ballast Water 

Management systems that make use of Active Substances (G9)” and the Methodology for 

information gathering and the conduct of work of the GESAMP-BWWG. 

1 INTRODUCTION 

1.1 Working Principles of the Blue Ocean Shield Ballast Water Management System 

China Ocean Shipping (Group) Company (COSCO) has joined forces with Tsinghua University 

to develop a modular ballast water management system (Blue Ocean Shield) that operates in-line 

during the uptake and discharge of ballast water. Prior to UV treatment, a filter system 

specifically designed for ballast water applications will significantly reduce the sediment load of 

the ballast water, as well as remove some micro-organisms. The filtration system is installed on 

the discharge side of the ballast water pumps and is fully automatic in terms of its operation in 

cleaning. This does not, however, affect the treatment process and the flushing water is returned 

to the sea. The UV unit employs low-pressure, high output ultra violet (LPUV) lamps to destroy 

living micro-organisms present in the ballast water. 

Ballast water is treated at intake and once again at discharge. The treatment on intake ensures 

that a minimal amount of viable organisms enter the ballast water tanks and reduces sediment 

built-up in the tanks, which is a potential area for the survival of organisms. The water is treated 

again at discharge only by the UV system to ensure that the potential re-growth of organisms in 

the ballast water tanks is decreased as much as possible. 

1.2 Technology overview 

UV technologies have become attractive options for water disinfection processes as they address 

increasing concerns regarding the inactivation of Cryptosporidium parvum and Giardia lamblia 

(Clancy et al., 2000). UV disinfection effectively deactivates and destroys both bacteria and 

viruses. Moreover, it does not form any disinfection by-products under regular disinfection doses 

(Chang, J.C.H. et al. 1985; Hijnen, W. A. M. et al. 2006). Therefore, UV disinfection is a 

feasible technique for ballast water treatment. However, the chemicals in seawater are more 

complex than those in municipal drinking water and wastewater. UV irradiation also plays a key 

role in effectively decomposing the micro-pollutants in waters in advanced oxidation process, 

such as NDMA (Carstenk et al., 2008), Metolachlor (Ruth et al., 2000), naphthalene (Beltran, 1995), 

atrazine (Beltran et al., 1997), diazinon (Doong and Chang, 1998), and carbaryl 

(Patterson et al., 1998). Accordingly, concerns have emerged regarding UV irradiation’s 

production of by-products in ballast water disinfection. 

Irradiation with UV light is highly effective and has been used for decades to reduce or eliminate 

various micro-organisms. The inactivation mechanism involves absorption of ultraviolet light 

by DNA or RNA pyrimidine bases thymine or cytosine in DNA and uracil or cytosine in RNA 

causing a photochemical reaction in which a chemical dimmer is formed between the two bases. 

The dimmer inhibits the formation of new DNA or RNA chains in the process of cell replication 

mycosis, thus resulting in the affected micro-organism’s inactivation of the ability to replicate 

(Bolton et al., 2003). 
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For ballast water, UV light technologies have been successful in the laboratory and on a larger 

scale. However, if the improperly “treated water” stays in the open air tank, the water’s state 

must be considered as re-growth has been reported after UV treatments. To solve this problem, 

the ballast water is treated by the UV system again during deballasting. Another critical problem 

with LPUV is photorepair after exposure to LPUV (Sanz et al., 2007); no significant photorepair 

has been reported from using LPUV in a dark environment. Treating the ballast water again 

during deballasting can eliminate the problem of photorepair. 

A summary of the specific advantages of the LPUV-based ballast water management is as 

follows: 

.1 UV is the most environmentally friendly way to reduce the number of viable 

micro-organisms without polluting the local seawater ecology. 

.2 No by-products are formed under regular disinfection doses. 

.3 The process requires little maintenance and is easy to handle. 

.4 Involves minimum operating costs and maximum operating safety. 

.5 The process do not increase the corrosion rate of ballast tank. 

2 DESCRIPTION OF THE BLUE OCEAN SHIELD SYSTEM 

2.1 Description of the Blue Ocean Shield system and its components 

The Blue Ocean Shield system is a complete system, composing of four main functions. 

 Hydrocyclone: removes most of larger or heavier particles. 

Hydrocyclone is a device used to separate particles in a liquid suspension based on the 

density and size of the particles. Hydrocyclones have a cylindrical section at the top, 

where liquid enters the unit, and a conical base. The particular Blue Ocean Shield 

hydrocyclone units have three exits: a small one on the bottom (weighty particles, 

underflow), a smaller exit at the top (lighter particles, overflow) and a larger exit in the 

middle (middle flow). In the treatment process, centrifugal force moves larger, weighty 

particles to the bottom exit and light particles to the top. 

 Parameters of hydrocyclone unit: 

 Flow rate: 250 m3

/hr 

 Working pressure: 0.8 bar 

 Maximum working pressure: 10 bar 

 Material: SS 316L 
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Figure 1: Picture of Hydrocyclone system 

Filter:

The filter is a device used to separate solid particles by size. In the Blue Ocean Shield 

system, multiple element tubular filter units with accessorial filtration are used. 

The ship’s high-pressure gas can be automatically used by filters on cleaning function, 

which had more than two filter units installed at the same time in order to meet with 

uninterrupted water supply. Filter impurities from the ship arise through the discharge 

pipe into the water at the original port. 

 Parameters of filter unit: 

 Flow rate: 250 m3

/hr 

 Filtration degree: 50 micron 

 Working pressure: 2.0 bar 

 Maximum working pressure: 10 bar 

 Automatic cleaning 

 Material 

- Filter housing: SS 316L 

 - Filter screen: seawater-fast material 
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Figure 2: Picture of Filter system 

 UV disinfection: 

No substances are added to the process. Removes most micro-organisms and algae 

smaller than 50 μm. 

 Flow rate: 250 m3/hr 

Low pressure UV lamps 

Material: SS 316L 

Maximum dose: 300 mJ/cm2 

Automatic washing wiper for quartz sleeves 

Figure 3: Picture of UV system 
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 Control and auxiliary equipment: including sampling points. 

The control system and transformer control the system and supply all components with 

power. The auxiliary equipment controls the flow and measures different alarm levels. 

Figure 4: Picture of control system 

The Blue Ocean Shield system may be run in different configurations depending on the level of 

treatment required and the particular properties of the ballast water. For example: 

 - Hydrocyclone /Filter / UV 

 - Filter / UV 

The Blue Ocean Shield can be viewed as flexible and modular, and can be applied in different 

configurations for different end user requirements. 

This application will focus on the UV treatment unit, as this is the only component involving the 

use of Active Substances. 

Figure 5: Flow diagram of Blue Ocean shield system 
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2.2 Description of pilot scale test system used for Basic Approval 

In order to confirm and justify this system, the applicant has developed a pilot scale system and 

systematic experiments were performed using “treated water” and raw seawater. 

The UV unit employs low-pressure, high-output ultra violet (LPUV) lamps to destroy living 

micro-organisms present in the liquid being treated. During deballasting, the ballast water is 

treated again by the UV unit to destroy any organisms which may have re-grown in the tanks 

during the voyage. The ballast water management system used for the pilot test consists of a UV 

unit and a monitoring and control panel. The maximum flow rate designed for the pilot system 

is 2 m3

/hr. The UV doses used for acute and mutagenicity toxicity are 100 mJ/cm2

and 300 mJ/cm2

. For other tests, the UV dose range is from 37 to 1990 mJ/cm2. 

The test strategy is as follows: 

 - Basic Characteristics Testing: to investigate any change in the seawater before and 

after treatment, the basic characteristics (i.e., ions, TOC, UV absorbance scanning, 

and SUVA) of seawater are compared with the “treated water”. 

- By-products formation testing: to investigate the possibility of the formation of 

harmful halogenated organics and inorganics. 

- Toxicity Testing: to investigate the acute toxicity for sea water before and after 

UV system. 

The seawater (DOC=8.1mg/L; SS=7.0 mg/L) transported to the laboratory will be treated twice 

by the model Blue Ocean Shield ballast water treatment system. The control sample will not be 

treated by the water treatment system. Part of control sample and treated water will be used for 

the test immediately. 

The results of biological efficacy testing of the Ballast Water Management System showed that 

the system has met the standard in regulation D-2 of the Convention in all test cycles. 

3 DEFINITIONS 

3.1 In the Blue Ocean Shield ballast water management system, the UV process produces a 

“photon” as the only “Active Substance”, which is responsible for inactivating all harmful 

aquatic micro-organisms and pathogens present in the ballast water. 

3.2 For the Blue Ocean Shield system, “ballast water discharge” is the treated ballast water 

that has passed the UV unit twice, during ballasting and deballasting, respectively. 

3.3 The Blue Ocean Shield ballast water management system does not intentionally add any 

“preparation” besides UV light. 

3.4 The Blue Ocean Shield ballast water management system does not produce any 

“relevant chemical”. 

LPUV lamps are traditionally used in UV disinfection and emit monochromatic UV radiation 

at 254 nm, which is close to the optimum germicidal wavelength of 260 nm. 

Medium-pressure UV (MPUV) lamps were developed in the last decade and emit a broad 
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spectrum of wavelengths in the UV radiation region ranging from 200 to 400 nm. 

Puay et al., 2008) Therefore, LPUV cannot form any “relevant chemical,” such as hydroxyl 

radical, for the hydroxyl radical only form under some wavelengths not including 254 nm 

(Pamela et al., 1998). 

4 ACTIVE SUBSTANCE AND OTHER CHEMICALS 

4.1 Active Substance 

The LPUV-based system deems photons the only Active Substance available to kill and 

inactivate micro-organisms. The definition of “photon” is a particle of electromagnetic radiation 

that travels at the speed of light, used to explain phenomena that require light to behave as 

particles rather than as waves. As the photons are only available upon turning on the LPUV lamp, 

there must be no residual photons in both the “ballast water” and “ballast water discharge”. 

As there is no current, the photon has no chance of being exposed to aquatic plants, invertebrates, 

fish, and other biota, including sensitive and representative micro-organisms. Therefore, all tests 

for effects on aquatic plants, invertebrates, fish, and other biota, including sensitive and 

representative micro-organisms, are “not applicable” due to the non-residual characteristics of the 

photon. 

Since the photons generated in the LPUV reactor are never exposed to the mammalian, all tests 

for effects on mammalian are “not applicable”. 

A photon reacts with organics at a relatively slow rate and the reaction rate is dependant on the 

chemical properties of matter, such as quantum yield, molar extinction coefficient, and photolysis 

fraction (Bolton, 2001). For the case of DOC, a significantly high UV dose is required for its 

reduction (Buchanan et al., 2006). 

The applied UV dose in the LPUV system is 300 mJ/cm2

 in the maximum condition, as it is too 

small to break down any dissolved organics. Buchanan et al. (2006) reported that more 

than 10,000 mJ/cm2

 is required for just a 5% reduction of DOC. 

The physical and chemical properties of photon are showed in Table 1. 
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Table 1: Physical and chemical properties for the Active Substance, 

Preparations and treated ballast water 

Physical property Active Substance 

(Photon) 

CAS number –

Molecular weight (g/Mol) –

Melting point (°C) N.A.

Boiling point (°C) N.A.

Flash point (°C) N.A.

Density (g/mL at 20°C) N.A.

Vapour pressure (Pa at 20°C) N.A.

Vapour Density (air=1) N.A.

Water solubility/dissociation N.A.

constant (pKa) N.A.

pH –

Octanol/water partition coefficient(log Pow) N.A.

Oxidation/reduction potential (V) N.A.

Corrosivity to the materials N.A.

Autoignition temperature (°C) N.A.

Explosive properties N.A.

Oxidizing properties N.A.

Surface tension (N/mm at -183°C) N.A.

Viscosity (Pa.s at -183°C) N.A.

Thermal stability and identity of relevant breakdown 

products 

N.A.

Other known relevant physical or chemical hazards N.A.

 N.A.: Not applicable. 

4.2 Other Chemicals 

According to Procedure (G9), when the processes may produce by-products not deemed to be 

“Relevant Chemicals” by the applicant, a justification for such a conclusion should be provided. 

Of the DBPs (disinfection by-products) directly formed in UV irradiation processes, aldehydes 

and carboxylic acids are two classes of organic oxidation by-products that have been observed in 

several studies pertaining to water treatment. Individual aldehydes of interest include 

formaldehyde, acetaldehyde, glyoxal, and methyl-glyoxal. Carboxylic acids of interest include 
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formic acid (as formate), acetic acid (as acetate), and oxalate acid (as oxalate). These compounds 

have typically been observed in the highest concentrations relative to other aldehyde and 

carboxylic acid by-products (Liu et al., 2002). 

If the dose is high enough, the UV-based system may produce other chemicals such as aldehydes 

and carboxylic acids, THMs, HAAs, and other halogenated organics. The results of the chemical 

test for the model Blue Ocean Shield ballast water treatment system showed no concentration 

changes before or after UV irradiation when the doses were under 300mJ/cm2, confirming 

literature stating chemicals might be produced by UV. 

Pilot testing results indicated that UV did not have a significant impact on most chemicals 

(Table 2). For CHCl3 and TTHMs (CHCl3 is a composition of TTHMs), there was little increase 

after UV (from undetectable to 3 μg/l when the UV dose is 406 mJ/cm2), but is a safety value for 

the EPA drinking water regulation which suggests 80 μg/L (USEPA, 2003) and WHO drinking 

water regulation which suggests 300 μg/L (WHO, 2006). 
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Table 2: The impact of UV on the chemical in seawater 

Parameter/UV 

dose mJ/cm2

 0 60 97 156 252 406 1234 1990 LOD*

F- mg/L 0.67 0.65 0.68 0.73 0.68 0.68 0.68 0.68 0.01 

Cl- g/L 14.5 14.6 14.5 14.6 14.5 14.7 14.6 14.7 0.1 

Nitrate (as N) mg/L 4 5 4 5 5 5 5 4 1 

SO4

2- g/L 1.69 1.7 1.69 1.67 1.68 1.68 1.67 1.7 0.01 

Br- mg/L 60.8 61 60.8 61.2 60.7 60.9 61.1 61.4 0.1 

CO3

2- mg/L 7.48 6.23 6.23 6.23 6.23 8.1 7.48 6.23 0.01 

HCO3

-

 mg/L 151 152 149 152 146 148 152 146 1 

NH3-N mg/L 0.41 0.35 0.3 0.33 0.37 0.4 0.39 0.27 0.01 

Nitrite mg/L 0.04 0.044 0.049 0.046 0.038 0.043 0.037 0.051 0.001 

PO4

3- mg/L 0.028 0.069 0.11 0.11 0.04 0.14 0.12 0.042 0.001 

CN- mg/L UD UD UD UD UD UD UD UD 0.001 

S2- mg/L UD UD UD UD UD UD UD UD 0.001 

TP mg/L 0.18 0.19 0.18 0.18 0.34 0.2 0.2 0.28 0.01 

Organic nitrogen mg/L 0.28 0.35 0.38 0.32 0.3 0.27 0.24 0.47 0.01 

Total nitrogen mg/L 4.5 6.24 4.94 5.66 6.1 5.48 5.6 5.16 0.01 

chlorite mg/L 0.4 0.4 0.35 0.24 0.3 0.43 0.42 0.41 0.01 

chlorate mg/L 3.19 3.67 2.76 2.68 2.79 3.16 2.7 2.87 0.01 

Formaldehyde mg/L UD UD UD UD UD UD UD UD 0.01 

Aldehyde mg/L 2.85 4.38 3.5 2.28 2.72 1.88 1.62 2.01 0.01 

CHCl3 μg/l UD UD 2 2 2 3 5 6 1 

CHBr2Cl μg/l UD UD UD UD UD UD UD UD 1 

CHBrCl2 μg/l UD UD UD UD UD UD UD UD 1 

CHBr3 μg/l UD UD UD UD UD UD UD UD 1 

TTHMs μg/l UD UD 2 2 2 3 5 6 1 

MCAA μg/l UD UD UD UD UD UD UD UD 2 

DCAA μg/l 2 2 2 2 2 2 2 8 2 

MBAA μg/l 2 2 UD UD UD UD UD 4 2 

TCAA μg/l 2 2 UD UD UD UD UD 4 2 

BCAA μg/l 8 8 8 10 10 8 12 12 2 

BDCAA μg/l 2 2 2 UD UD UD UD 4 2 

DBAA μg/l UD UD UD UD UD UD UD UD 2 

CDBAA μg/l UD UD UD UD UD UD UD UD 2 

* UD means undetected 

* LOD: Limit of Detection (SD*3.14, n=7) = MDL (method detection limit) 
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5 RISK CHARACTERIZATION 

Internationally recognized associations, such as the International UV Association (IUVA), 

guarantee that water treatment by UV irradiation is a clean process. The IUVA describes the UV 

technology as shown below: 

Since UV is light, it travels through air and water at the speed of light, and when the UV source 

is turned off, the UV is gone. There are no residuals and the water that has been exposed to UV is 

in the same state as before exposure, and therefore not radioactive. UV water disinfection units 

are designed to provide enough of a UV dose so that any pathogenic micro-organisms in the 

water are rendered inactive. The UV is absorbed by the DNA in micro-organisms and the DNA is 

damaged so that the organisms cannot reproduce. Cells that cannot reproduce cannot cause 

disease. The most noted benefit of UV is that it purifies while the water is passing through 

the unit, but after the water is disinfected, the quality does not changed. 

(http://www.iuva.org/public/faqs.php) 

5.1 Screening for persistency, bioaccumulation and toxicity 

.1 Persistence tests 

The half-life of the “Active Substance” (photon) is extremely short. As referred to 

in the criteria for identification of PBT substances (see the table in section 6.4.1 

of Procedure (G9)), the “Active Substance” (photon) produced from the LPUV are 

not regarded as the PBT substance. Therefore, the assessment of PBT does not 

seem necessary. 

.2 Bioaccumulation tests 

The potential for bioaccumulation of the treated water is assessed by the 

measurement of possible changes in the octanol/water partition values of the 

treated water. The LPUV did not change the physical and chemical quality 

of seawater (refer to section 4.2). Therefore, the assessment of 

bioaccumulation/biomagnification/ bioconcentration does not seem necessary. 

.3 Toxicity tests 

No significant toxic effects have been detected, even using 100% treated ballast 

water. Solely physical ballast water treatment methods such as filtration, 

centrifugation, ultraviolet irradiation, and oxygen stripping are assumed to not 

require toxicity testing. 

Through Ames testing and a complete analysis of the organic matter, the effluent 

would not be expected to be toxic to aquatic organisms or have negative effects on 

ecological communities at environmentally relevant concentrations. 
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5.2 Acute toxicity testing of the treated ballast water 

Premnas biaculeatus, Artemia Salina and Skeletonema costatum were chosen as the challenge 

organisms for acute toxicity testing. The results show that no acute toxicity was observed in the 

100% treated ballast water (Table 3 and appendix). 

Premnas biaculeatus, distributed widely in the Indian Ocean and the Pacific Ocean, is the 

preferred species for toxicity testing to assess possible risks for the environment since it is a 

sensitive indicator species and the bodyweight of Premnas biaculeatus is <3.0 g, which meets the 

requirement of USEPA test guideline. 

Artemia Salina belongs to Arthropoda-Crustacea-Branchiopoda-Anostraca, and is distributed 

widely in high salt water areas of all over the world. Artemia Salina feeds primarily on 

zooplankton and phytoplankton and is also consumed by many other aquatic organisms, such as 

fish. Therefore, Artemia Salina plays an important role in the food chain of high salt water areas, 

as well as belonging to the second trophic level animal, a requirement of Procedure (G9). 

Species of algae recommended by USEPA as test organisms for the algae acute toxicity test are 

the freshwater green alga, S.capricornutum (or R. subcapitata), the marine diatom, S. costatum, 

the freshwater diatom, N. pelliculosa, and the blue-green alga or cyanobacterium. In the ballast 

water acute toxicity test, S. costatum was selected for the test system, meeting the requirement 

of Procedure (G9) and USEPA test guidelines. 

Table 3: The acute toxicity testing of the treated ballast water 

Results Trophic 

level Species method endpoint 100 

mJ/cm2

300 

mJ/cm2

Reference 

Fish Premnas 

biaculeatus OECD 202 NOEC/96h 100% 100% (PSEC 2008 report 

E083420068) 

Invertebrates Artemia 

Salina OECD 203 NOEC/96h 100% 100% (PSEC 2008 report 

E083490078) 

Algae Skeletonem

a costatum 

OECD 201 IrC50/96h 100% 100% (PSEC 2008 report 

E085480018) 

5.3 Risk characterization and analysis 

This process does not involve the addition of any chemicals. The potential for bioaccumulation 

of the treated water was assessed by the measurement of possible (if any) changes in the 

octanol/water partition values of the treated water. The LPUV did not change the physical and 

chemical quality of seawater (section 4.2). Therefore, the assessment of 

bioaccumulation/biomagnification/bioconcentration does not seem necessary. 

As shown in the chemical and toxicity testing, there will be no significant residuals or effects 

directly after using the LPUV unit and therefore, discharge concentrations at different time 

intervals is not relevant. 
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Internationally recognized associations, such as International UV Association (IUVA) and 

the USEPA, guarantee that water treatment by UV irradiation is a clean process. The treated 

water does not contain any toxic matter. This fact was confirmed by measuring several 

halogenated chemicals, which cause harmful effects on marine ecosystems and human health, in 

the “treated water”. 

As a physical treatment process, the treated water has no bioaccumulation potential. 

The assessment of sediment species is redundant for the physical treatment process. 

Since no carcinogenic, mutagenic and endocrine disruptive substances were found in the 

analyzed water after the treatment and the mutagenic toxicity results showed no toxicity in the 

treated water, the assessment is not relevant. 

As shown in the chemical and toxicity testing, there will be no significant residuals or effects 

directly after using the Blue Ocean Shield unit and therefore monitoring of “Active Substances” 

or “Preparations” in the discharge is not relevant. 

6 RISK TO SAFETY OF SHIP AND HUMAN HEALTH 

6.1 Safety Instructions 

To prevent injury, basic safety precautions should be observed by all personnel, including the 

following: 

 .1 Read and follow all safety instructions. 

.2 Avoid possible electric shock, special care should be taken since water is 

employed in the use of this system. Do not attempt to repair yourself. No user 

serviceable parts. Return the system to an authorized service facility for service or 

discard the system. 

.3 Do not operate the system if it has a damaged cord or plug, or if it is 

malfunctioning or has been dropped or damaged in any manner. 

 .4 Always unplug the system from an outlet before servicing or cleaning. Never yank 

the cord to pull the plug from the outlet. Always grasp the plug and pull to 

disconnect. 

.5 To prevent risk of electrical shock, connect this system only to a properly 

grounded, grounding type power supply receptacle that is protected by 

a Ground Fault Circuit Interrupter (GFCI). Inspect performance of the GFCI as 

per manufacturer’s suggested maintenance schedule. 

.6 Visually inspect this system prior to installation. If the quartz sleeve or lamp is 

broken, cracked or damaged in any way, do not use it. Contact COSCO Client 

Services for replacement parts. 

.7 To reduce the risk of electrocution, keep all connections dry and off the ground. 

Do not touch the plug with wet hands. 
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.8 The light emitted by the lamp will cause serious eye damage and will burn 

unprotected skin. Do not plug the unit into an electrical outlet without properly 

securing the lamp/sleeve into the reaction chamber. Disconnect the lamp harness 

before removing the lamp from the reactor. 

.9 Always shut off the water flow and release water pressure before cleaning or 

maintaining unit. 

.10 Installation of this system must be in accordance with local plumbing and 

electrical codes, as well as any and all applicable regulations and laws. 

6.2 Regulation of the use of Active Substances 

One potential risk present in the Blue Ocean Shield system is related to the UV process, which 

involves the UV-irradiation from the UV-lamps and overheating in the UV treatment unit. If the 

flow is cut off, the lamps will automatically shut-off and there will be no risk of overheating. 

Several independent actions ensure that the shut-off occurs. The lamps are completely enclosed 

in the UV chambers and cannot be operated outside the chamber. Therefore, there is no risk that 

any personnel are exposed to the UV-irradiation. 

The light emitted by the lamp will cause serious eye damage and will burn unprotected skin. 

If the emergency shut switch is set on the cover of reactor, the lamps will be shut down 

automatically when someone opens the reactor. 

6.3 Risks for safety of ship 

.1 UV does not change the physical and chemical quality of ballast water 

within 300 mJ/cm2

 (section 4.2), so it could not increase the corrosion rate of BW. 

.2 The automatic shut-off switch prevents overheating of the UV reactor 

(section 6.2). Also, all material is fireproofed so the risk of fire is very low. 

.3 No noise pollution from the Blue Ocean Shield ballast water management system. 

.4 The Blue Ocean Shield system meets the related regulations of SOLAS. 

7 ASSESSMENT REPORT 

In this proposal, the test results found no significant levels of potentially toxic substances and 

no significant mutation effects of the full strength effluent on aquatic organisms. The results 

showed that all properties of the “treated water” were almost identical to those of the “pre-treated 

water”. This indicates that the “treated water” does not contain any residual oxidants, including 

“Active Substance,” “Relevant Chemicals,” any residual by-products or any toxicity. 

The acute toxicity testing was performed by the Presentation of Supervision and Test Center 

for Pesticide Safety Evaluation and Quality Control (PSEC), the testing site owner and testing 

organization. PSEC was established in 1982 under a cooperative program supported 

by UNDP, UNIDO, and China’s former Ministry of Chemical Industry. The Centre conducts 

toxicological safety evaluations of drugs, pesticides, and other fine chemicals. The Centre has 

designed its organizational structure around GLP (Good Laboratory Practice). All data and 

reports issued by the Centre have been approved by relevant government agencies. 
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In 2004, PSEC received Ministry of Agriculture accreditation for agrochemical ecotoxicological 

safety evaluation. At the same time, PSEC also was accredited for the testing of new chemicals. 

Later, in 2006, PSEC was also accredited according to ISO/IEC 17025 by China National 

Laboratory Accreditation Board. This accreditation provides the customer with certainty 

that PSEC’s laboratories use testing procedures according to internationally acknowledged 

quality systems (ISO/IEC 17025). 

PSEC now performs ecological testing based on OECD Principles of Good Laboratory Practice 

and according to international standards. PSEC is registered as a GLP laboratory in China and is 

regularly inspected by the State Food and Drug Administration and the Ministry of Agriculture 

of China. The ecotoxicological laboratory performs standardized tests (e.g., in accordance 

with OECD, USEPA guidelines or ISO standards) as well as special services concerning toxicity, 

biodegradability and bioaccumulation of chemical substances, products and complex mixtures. 

The chemical testing was performed by PONY TEST, which is qualified by China National 

Acceditation Service for Conformity Assessment (CNAS) and China Metrology Accreditation 

(CMA) and has recognized agreements with 58 other countries and regions, including 

the United States, the United Kingdom and Germany. As a large comprehensive testing 

organization based on ISO/IEC 17025, the reports provided by PONY TEST reflect its 

international approval and international notarization credit. 

All chemical analyses were conducted according to standard methods. 

All samples for chemical analysis were obtained from the pilot-scale system developed 

by COSCO and Tsinghua University. 

All data on quality assurance are provided in each test report. The tests were performed in the 

pilot scale system using natural seawater according to the QAPP in the confidential documents. 

Further testes on a full-scale system will be also performed according to the QAPP. 

8 CONCLUSIONS 

The Blue Ocean Shield Ballast Water Management System uses the LPUV process to inactivate 

all harmful aquatic micro-organisms and pathogens present in seawater. 

In this system, photon is defined as an “Active Substance.” The chemical testing done before and 

after the treatment did not indicate any significant residual substances. The results from acute and 

mutagenicity toxicity tests show that there was no toxic effect detected in the treated water. Also, 

this UV-based system is deemed a clean process by internationally recognized associations 

(i.e., the USEPA and IUVA), as it does not use any added chemicals or produce any toxic matter. 

The system placed on a ship will not require the handling of any chemicals on board, nor will it 

compromise the safety of the ship or the crew. As shown in the chemical tests, the 

properties/reactivity of the water is not changed, in comparison with the inlet seawater, and did 

not affect the corrosion rate in the BW tanks. 

The pilot testing results clearly show that there is no potential for acute toxicity in the 

“treated water.” Therefore, it was determined that the Blue Ocean Shield Ballast Water 

Management System can absolutely produce safe “ballast water” in the marine aquatic 

environment, as well as for relevant ships and crews. 
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REFERENCES 

Beltran, F. J, Intermedias of the oxidation of naphthalene in water with the combination of 

hydrogen peroxide and UV radiation. Chemosphere, Vol. 30, No. 8, pp. 1463-1475 (1995). 

Beltran, F. J., Gonzalez, M., Rivas, J. F. Alvarez, P. Industrial wastewater advanced oxidation. 

Part 2. Ozone combined with hydrogen peroxide or UV radiation. Environmental Toxicology and 

Chemistry. 15(6), 868-872 (1997). 

Bolton, J.R., Linden, K.G., Standardization of methods for fluence (UV dose) determination in 

bench-scale UV experiments. J Environ ENG-ASCE 129 (3): 209-215 (2003). 

Bolton J.R. Ultraviolet applications handbook. Bolton Photosciences Inc, Canada, pp 5, 12, 15, 

19, 27-28 (2001). 

Buchanan W., Roddick F. Porter N. and Drikas M. Formation of hazardous by-products resulting 

from the irradiation of natural organic matter: Comparison between UV and VUV irradiation. 

Chemosphere. 63, 1130-1141 (2006). 

Carstenk K, Schmidt, and Heinz N, N-Dimethylsulfamide as Precursor for 

N-Nitrosodimethylamine (NDMA) formation upon ozonation and its fate during drinking water 

treatment. Environ. Sci. Technol. 42, 6340–6346 (2008). 

Chang, J.C.H., Ossoff, S.F., Lobe, D.C., Dorfman, M.H., Dumais, C.M., Qualls, R.G., Johnson, 

J.D.,. UV inactivation of pathogenic and indicator micro-organisms. Appl. Environ. 

Microbiol. 49 (6), 1361–1365 (1985). 

Clancy, L. J., Bukhari, Z., Hargy, M. T., Bolton, R. J., Dussert, B. W., Marshall, M. M. Using 

UV to inactivate cryptosporidium. J. AWWA, 97(9), 97-104 (2000). 

Doong, R., Chang, W. Photoassisted iron compound catalytic degradation of organophosphorous 

pesticides with hydrogen peroxide. Chemosphere, 37(13), 2563-2572 (1998). 

Hijnen, W.A.M., Beerendonk, E.F. Medema, G.J.,. Inactivation credit of UV radiation for 

viruses, bacteria and protozoan (oo)cysts in water: A review. Water Res 22(3):3-4 (2006). 

Kang J.W. and Hoffmann M.R. Kinetics and Mechanism of the sonolytic destruction of methyl 

tert-butyl ether by ultrasonic irradiation in the presence of ozone. Envrion. Sci. Technol, 

32, 3194-3199 (1998). 

Letterman R.D. Water quality & treatment, A handbook of community water supplies: 

Chapter 12 Chemical oxidation Fifth Ed. AWWA, McGraw Hill Inc. (1999). 

Liu W., Andrews S.A., Bolton J.R., Linden K.G., Sharpless C., Stefan Mihaela., 

Comparison of DBP Formation from Different UV Technologies at Bench Scale, 

Conference Information: 3rd World Water Congress of the International-Water-Association, 

2, 515-521 (2002). 
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National Research Council. Stemming the Tide: Controlling Introductions of Nonindigenous 

Species by Ships’ Ballast Water. National Academy Press, Washington D.C. (1996). 

Patterson, H. H., Bachman, J., Kanan, S. Kinetics and the influences of dissolved organic matter 

on the photodecomposition of the carbonate pesticides carbofuran, carbaryl and aldicarb. 

ACS National Meeting, Am. Chem. Soc., Div. Environ. Chem. 38(2), 105-106 (1998). 

Ruth I. Wilson and Scott A. Mabury, Photodegradation of Metolachlor: Isolation, Identification, 

and Quantification of Monochloroacetic Acid, J. Agric. Food Chem., 48, 944-950 (2000). 

Sanz E.N., Davila I.S., Andrade Balao J.A. and Quiroga Alonso J.M. Modelling of 

reactivationafter UV disinfection: Effect of UV-C dose on subsequent photoreactivation and dark 

repair. Water Res. 41, 3141-3151 (2007). 

P.L.C. Drinking Water Standards. 

USEPA Drinking Water Standards. 

WHO Guidelines for Drinking-water Quality. 
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APPENDIX 

ACUTE TOXICITY TESTING DATA OF THE TREATED BALLAST WATER 

Premnas biaculeatus, Artemia Salina and Skeletonema costatum were chosen as the challenge 

organisms for acute toxicity testing. No acute toxicity was observed in the 100% treated water. 

The fish treated with the two kinds of 100% treated ballast water showed no visibly toxic signs or 

mortality during the test periods. Results are presented in Table 5. The NOEC (no observed 

effect concentration) is greater than 100% treated ballast water. 

Table 5: Cumulative mortality data of fish (Premnas biaculeatus) 

Test 

Concentration 

Initial 

Population 

Time 

(hr) 

Cumulative 

Mortality Abnormalities 

6 0 

24 0 

48 0 

72 0 

Control 7 

96 0 

No observed toxic signs 

6 0 

24 0 

48 0 

72 0 

T-1 

(100% 

100mJ/cm2

) 

7 

96 0 

No observed toxic signs 

6 0 

24 0 

48 0 

72 0 

T-2 

(100% 

300mJ/cm2

) 

7 

96 0 

No observed toxic signs 

During the 48-hour exposure period, no toxic signs or deaths were observed in the two kinds 

of 100% active ingredients of ballast waters. Results are presented in Table 6. 

The test results indicate that EC50 of two kinds of 100% treated ballast water with the UV dose 

of 100 mJ/cm2 and 300 mJ/cm2 to Artemia Salina were: NOEC > 100% treated ballast water. 
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Table 6: Cumulative mortality data of invertebrates (Artemia Salina) 

Test 

Concentration Parallel Initial Population 

24h 

Cumulative 

Mortality 

48h 

Cumulative 

Mortality 

Abnormalities

1 5 0 0 No observed 

toxic signs 

2 5 0 0 No observed 

toxic signs 

3 5 0 0 No observed 

toxic signs 

Control 

4 5 0 0 No observed 

toxic signs 

1 5 0 0 No observed 

toxic signs 

2 5 0 0 No observed 

toxic signs 

3 5 0 0 No observed 

toxic signs 

100% 

100mJ/cm2

4 5 0 0 No observed 

toxic signs 

1 5 0 0 No observed 

toxic signs 

2 5 0 0 No observed 

toxic signs 

3 5 0 0 No observed 

toxic signs 

100% 

300mJ/cm2

4 5 0 0 No observed 

toxic signs 

During the 96-hour exposure period, growth inhibition and other toxic signs were not observed in 

the two kinds of 100% treated ballast water. In addition, the results of calculations met the 

requirements of the test validity. See Table 7. 

The test results indicate that IrC50 (96hr) and IyC50 (96hr) of 100 mJ/cm2 and 300 mJ/cm2 to 

Skeletonema costatum were more than 100% content. 
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Table 7: Cumulative mortality data of algae (Skeletonema costatum) 

Algae concentration (×104/mL) 

Test Concentration Parallel 

0h 24h 48h 72h 96h 

State 

1 7.7 10.8 17.3 31.3 48.8 Normal 

2 7.7 10.5 17.0 34.0 49.8 Normal 

3 7.7 11.3 17.5 30.5 50.5 Normal 

4 7.7 11.8 15.8 32.3 48.3 Normal 

5 7.7 10.8 17.8 29.8 50.5 Normal 

Control 

6 7.7 10.8 18.8 31.0 50.8 Normal 

Average - 7.7 11.0 17.3 31.5 49.8 - 

1 7.7 11.3 17.5 31.3 51.0 Normal 

2 7.7 11.0 19.0 31.8 53.3 Normal 

3 7.7 11.0 18.0 34.3 51.0 Normal 

4 7.7 11.5 16.5 32.0 48.0 Normal 

5 7.7 10.8 19.0 29.8 52.8 Normal 

100% 100 mJ/cm2

6 7.7 10.5 18.3 32.3 50.0 Normal 

Average - 7.7 11.0 18.0 31.9 51.0 - 

1 7.7 9.8 16.5 29.5 54.0 Normal 

2 7.7 11.3 20.8 31.3 50.8 Normal 

3 7.7 11.0 18.5 30.8 48.8 Normal 

4 7.7 11.5 19.8 30.0 48.3 Normal 

5 7.7 11.3 19.0 31.8 51.3 Normal 

100% 300 mJ/cm2

6 7.7 11.3 17.0 32.8 52.3 Normal 

Average - 7.7 11.0 18.6 31.0 50.9 - 

___________