United States
Environmental Protection
Agency
Office of
Solid Waste and
Emergency Response
9380.0-17FS
August 1991
oEPA
Furthering the Use of Innovative
Treatment Technologies in
OSWER Programs
Introduction
The Office of Solid Waste and Emergency Response
(OSWER) is seeking to further the use of innovative
treatment technologies to permanently clean-up contami-
nated sites in the Superfund, RCRA, and Underground
Storage Tank (UST) programs. According to a directive
from OSWER's Assistant Administrator Don Clay, "...we
must invest the necessary resources and take the risks
now to develop the technologies necessary to fulfill the
long-term needs of our hazardous waste clean-up pro-
grams.'7 The directive, which was signed on June 10,
1991, includes a forwarding memorandum to EPA re-
gions that calls for technological leadership and a sense of
responsible urgency to prevent expenditures in pursuing
less effective or more costly remedies. This fact sheet is
based on OSWER Directive 9380.0-17.
Reasonable risk-taking is encouraged in selecting innova-
tive treatment technologies that are capable of treating
contaminated soils, sludges, and ground water more effec-
tively, less expensively, and in a manner more acceptable
to the public than existing conventional methods.
"Innovative treatment technologies" are newly-developed
technologies that lack sufficient full-scale application data to
ensure their routine consideration for site remediation. They
may be new technologies, or may already be in use for various
industrial applications other than hazardous waste remedia-
tion. As such, innovative technologies are not part of stan-
dard engineering practice or the competitive market process
where available alternatives are routinely presented to the
government and private sector. In functional terms, OSWER
labels as "innovative" those treatment technologies other
than incineration and solidification/stabilization for source con-
trol, and other than pumping with conventional treatment for
ground water.
Inherent risks associated with early technology use serve
as very serious impediments. The directive calls on po-
tentially responsible parties, facility owners/operators,
and consulting engineers to constructively work with un-
certainty to further the application of technologies that
are truly innovative. The directive also calls on EPA re-
gional and headquarters managers to support Remedial
Project Managers and On-Scene Coordinators in their ef-
forts to use new technologies.
Innovative treatment technologies should be routinely con-
sidered as an option in engineering studies where treat-
ment is appropriate. They should not be eliminated from
consideration solely because of uncertainties in their per-
formance and cost. These technologies may be found to be
cost-effective, despite the fact that their costs are greater
than conventional options, after consideration of potential
benefits including increased protection, superior perfor-
mance, and greater community acceptance. In addition,
future sites will benefit by information gained from the
field experience.
The directive sets forth several initiatives and new proce-
dures that will provide incentives for broader use of inno-
vative technology. Some of these initiatives are directed
toward potentially responsible parties and owner/opera-
tors, since these groups will be assuming a larger share of
the remedial projects in the future. Other new initiatives
are intended to remove impediments to the first-time use
of new equipment. The directive also encourages wider
application of available resources and tools and highlights
some important on-going program efforts.
New Initiatives
1. Superfund Innovative Technology Start-Up Initiative
OERR will be revising its procedures for setting Remedial
Action funding priorities to give more consideration to in-
novative technologies. Expedited funding of Fund-lead re-
medial design and construction projects that involve
innovative treatment technologies will move the agency to-
ward the Superfund program's goals for technology devel-
opment and will provide data to support future Records of
Decision (RODs).
This initiative also provides contract flexibility in the
start-up phase of selected remedial and removal actions to
assist vendors in establishing operations that satisfy per-
formance standards. In an effort to remove some of the
impediments to the use of new full-scale equipment, this
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initiative will provide financial support for initial start-up
and shake-down prior to beginning actual remediation.
Funds are not targeted at making the technology "work
at any cost", but in establishing performance adequacy of
the technology prior to the onset of the contracted clean-
up. Contracting strategies are being considered to com-
pensate vendors regardless of whether or not they are
able to meet performance requirements for a portion of
the site remediation.
2. Dual Track RI/FS Initiative (Superfund)
EPA regions may fund additional treatability studies and
engineering analyses for promising treatment technolo-
gies that would otherwise be considered unproven or too
early in the development process. For PRP-lead sites ear-
ly in the planning process, this initiative encourages the
use of treatability studies to ensure that alternative rem-
edies are thoroughly evaluated and considered in the
ROD. Even if, in a particular case, there may be some
doubt as to EPA's ability to recover the costs for these ad-
ditional studies, they should nonetheless be pursued be-
cause of their value to the overall program.
3. Tandem ROD Evaluation Initiative (Superfund)
Primarily applicable to PRP-lead sites (though also to
some Fund-lead sites), this program will enable regional
staff to rapidly evaluate the efficacy of a PRP-proposed in-
novative remedy that is offered in tandem with the pri-
mary one approved in the ROD. Both remedies would be
part of the proposed plan. The alternate solution would
be approved in the ROD on a contingent basis but would
undergo further development and pilot testing during the
design period of the primary technology. Tandem RODs
move the process of cleanup toward closure while leaving
room for PRPs with an interest in innovative technologies
to pursue additional pilot tests to demonstrate an alter-
nate approach that is both innovative and potentially
cost-effective. The OSWER/ORD Technical Support Cen-
ters and the SITE Demonstration Program will provide
RPMs with technical support for evaluation of PRP work.
When considering a tandem ROD, the region should con-
sult with ORD concerning the scope of effort required for
the evaluation.
If, after testing and evaluation, the innovative technology
is chosen for implementation but the process has caused
significant delays to the schedule, the region may consid-
er the engineering problems of making the full-scale unit
operational when assessing stipulated penalties. That is,
in limited cases, stipulated penalties should not be im-
posed if the delays are the unavoidable result of the use of
an innovative process.
4. Removal Program Initiative (Superfund)
It is OSWER policy to further the use of innovative tech-
nologies through the removal program. The relatively
small waste volumes and streamlined contracting proce-
dures of the removal program provide an opportunity to
complete clean-up projects and provide documentation on
"lessons learned".
The potential of the removal program for these applica-
tions has not been realized because time constraints often
favor excavation and off-site disposal or treatment and
also because of the absence of clear legislated goals re-
garding the use of new technology. This directive is
meant to clarify EPA's position on this issue and to en-
courage the use of innovative technologies for all actions,
including time-critical actions, where feasible. These
projects are expected to fulfill an important role in adding
to our knowledge on promising new technologies.
5. RCRA Corrective Action and Closure
Innovative Technology Initiative
This initiative encourages the regions to conduct treatabili-
ty or technology demonstration studies at corrective action
and closure sites to gain additional information on the use
of innovative treatment for contaminated soil and debris.
EPA is developing best demonstrated available technology
(BOAT) treatment standards for contaminated soil and de-
bris at CERCLA and RCRA corrective action and closure
sites. These sites present unique treatment problems
that were not considered when developing the current
BOAT standards which were based on data from the
treatment of industrial process wastes. There is general
agreement that wide scale use of incineration is not ap-
propriate for soil and debris and there is a need to explore
alternative approaches.
The current schedule is to promulgate a rule for the treat-
ment of debris in May 1992 and for soil in April 1993.
Prior to publication of these final rules, a site-specific
treatability variance process (40 CFR 268.44 (h)) is avail-
able for contaminated soil and debris to establish an al-
ternative standard for specified waste at individual
sites. The variance process, along with applicable treat-
ment guidance levels, is described in Superfund LDR
Guide #6A (OSWER Directive 9347.3-06FS, July 1989),
and is intended to be used as an interim approach until
final standards are established.
The regions should work with owner/operators to select
pilot-scale projects that can provide data on the capability
of technologies and the treatability of different wastes.
Projects should be carefully selected to maximize the util-
ity of data and likelihood of success.
Authority for issuing site-specific variances for contaminated
soil and debris has been delegated to the regions. The facility
and EPA, in collaboration with the state, can implement van
ances for on-site demonstrations through two mechanisms:
temporary authorization under the Permit Modification Rule,
or 3008(h) orders for interim-status facilities.
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6. Demonstration Projects at Federal Facilities
(Super-fund, RCRA, and UST)
EPA is exploring the use of Federal Facilities for both
site-specific technology demonstrations and as test loca-
tions for evaluation of more widely applicable technolo-
gies. Regions are encouraged to suggest innovative
approaches and to be receptive to proposals for innovation
from Federal Facility managers, e.g., by building timing
and performance flexibility into compliance agreements
in acknowledgment of the uncertainties associated with
innovation. Federal Facilities often have characteristics
that make them desirable for applying innovative ap-
proaches: large area, isolated locations, controlled access,
numerous contamination problems, and increasingly ac-
tive environmental restoration programs.
The Office of Federal Facilities Enforcement (OFFE) and
the Technology Innovation Office (TIO) will work with
the regions to identify locations for test and evaluation
activities and to develop policies and guidance to ensure
that support for innovation is congruent with other pro-
gram and environmental objectives.
7. Federal Technology Transfer Act
During the clean-up planning and implementation pro-
cess, PRPs or owner/operators should be reminded of
the opportunity to engage EPA in evaluation studies or
other arrangements (at their expense) to determine
whether an innovative technology would be operative in
the situation they are facing or other similar situations.
Under the Federal Technology Transfer Act (FTTA) of
1986, cooperative agreements related to research, de-
velopment, and technology transfer will allow the PRP
to reimburse EPA for facilities, support services, and
staff time spent in joint evaluation of early technology
treatability or pilot studies.
Since this program is conducted in the research and de-
velopment arena, it offers an opportunity for non-adver-
sarial interaction outside the regulatory context. This
opportunity should be especially advantageous to
(1) PRPs and owner/operators capable of early planning
for technology options at a few sites and desirous of early
EPA input, as well as (2) PRPs and owner/operators that
will be faced with a number of similar waste sites in the
future—under Superfund, RCRA Corrective Action, and
the UST program—who want to develop more uniform,
cost-effective technology proposals for such sites.
Implementation
The first six initiatives involve field testing new technolo-
gies that may benefit from technical assistance from
ORD. ORD represents an objective third party that can
easily be accessed through the existing OSWER/ORD
support structure. This structure consists of five labora-
tories that constitute the Technical Support Centers (both
for Superfund and newly established for RCRA), the Su-
perfund Technical Assistance Response Team (START)
Program, the Bioremediation Field Initiative, and the Su-
perfund Innovative Technology Evaluation (SITE) Pro-
gram. OSWER has asked ORD to give priority to
requests for technical assistance under this directive.
Broader Application of Existing
Policies, Available Resources,
and Tools
Furthering Innovative Remediation at Leaking
UST Sites
State and local UST programs have identified 100,000
confirmed leaks, and this number may triple in the next
several years. Most site remediation involves pumping
and treating ground water and excavation and off-site
treatment of contaminated soils. Regional offices should
increase their efforts to make state and local managers
and staff, as well as clean-up consultants and contractors,
more familiar with non-traditional but proven technolo-
gies. Headquarters will continue fostering the develop-
ment of new tools and techniques and should increase its
support of regional efforts to achieve broader use of im-
proved technologies.
Further Enabling State innovative Technology
Leadership
The CERCLA core funding program provides an opportu-
nity to assist states in establishing innovative technology
advocates. Cooperative agreements with state response
programs may be a vehicle to support and promote the
use of innovative technologies in state CERCLA pro-
grams, with spinoff benefits for their RCRA and UST pro-
grams as well.
In addition, regions should be open to assisting states in-
terested in furthering technology development and en-
courage state applications for authority for RCRA R&D
permitting, permit modification, treatability exclusion,
and Subpart X permitting. States may also want to work
directly with Federal Facilities in developing pilot sites
for innovative technologies. For the reasons discussed in
the section on Federal Facilities above, these sites are of-
ten good candidates for such development projects.
Model Ri/FS Work Plan and PRP Notice Letter
Demand for Innovative Options
Some regions have issued special notices containing a
Statement of Work and administrative order language re-
quiring the responsible party to evaluate the use of inno-
vative technologies at a particular site. This procedure
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should receive broader use at Superfund sites where al-
ternatives for remediation are being considered for analy-
sis in the RI/FS and where prerequisite treatability
studies are required. This requirement in the special or
general notice letters will help facilitate the development
and use of innovative treatment technologies by the pri-
vate sector. Specific language for this approach can be
developed from OWPE's guidance document entitled
"Model Statement of Work for RI/FSs Conducted by
PRPs" (OSWER Directive 9835.8).
Advocacy and Funding of Treatability Studies
Superfund program policy requires that treatability
studies be conducted to generate data to support the
implementation of treatment technologies. Funds are
budgeted annually in the SCAP based on expected
need. Data and reports should be sent to Glen Shaul at
RREL for inclusion in the ATTIC database. The correct
protocol and format for these reports is in EPA's "Guide
for Conducting Treatability Studies Under CERCLA"
(EPA/540/2-89/058). Oversight funding for evaluating a
PRP-lead treatability study should also be requested
through the SCAP budget process. Oversight of PRP-
lead treatability studies may be funded through the en-
forcement budget. If a PRP recommends use of an
innovative treatment at a site, but current treatability
study data on the technology are insufficient, EPA poli-
cy allows the Agency to conduct and fund technology-
specific treatability studies. Cost of these studies are
recoverable under Section 107 of CERCLA.
Tracking and Expediting SITE Demonstrations
OSWER is encouraging greater participation in the SITE
program in response to a recent Inspector General audit
of the program that focused on delays in matching Super-
fund sites with technologies. ORD management has also
agreed that SITE demonstration projects must be more
responsive to regional needs for treatability data.
The SITE program will make the design of technology eval-
uation sufficiently flexible to meet the regional offices'
needs for treatability studies before remedy selection is
made. Based on an ORD internal management review of
the SITE program, changes are underway to make the
program a more integral component of regional Super-
fund site activities.
Existing Program Efforts
OSWER has several other ongoing efforts directed toward
furthering the application of innovative alternatives. These
represent important resources that should continue to be
used by the UST, RCRA, and Superfund Programs.
Technical Support and Information Management
EPA maintains several computer database that may be
accessed for information on treatment technologies.
These databases include the Alternative Treatment Tech-
nology Information Center (ATTIC), the Cleanup Infor-
mation (CLU-IN) Bulletin Board, the ROD Database, the
Hazardous Waste Collection Database, and the Comput-
erized On-Line Information System (COLIS). These sys-
tems include information on the application of innovative
technologies and may be used to aid networking among
OSCs and RPMs.
Technical assistance is available to Superfund and RCRA
staff through ORD's Technical Support Centers and the
Environmental Response Branch of OERR. Part of this
effort involves networking among project managers
through the Engineering and Ground Water Forums. In
addition, as part of an initiative to provide direct techni-
cal support to OSCs and RPMs, the Superfund Technical
Assistance Response Team (START) has been established
to help evaluate the potential use of technologies.
Bioremedlation Field Initiative
Begun in the fourth quarter of FY 1990, this program is
intended to provide more real-time information on the
field application of biotechnology for treating hazardous
waste. The major focus of this initiative is to furnish
direct support in evaluating full-scale cleanup
operations and technical assistance for conducting
treatability and pilot-scale studies.
Eliminating Contract Impediments
Under the Federal Acquisition Regulations, firms are
restricted from performing both the design and
construction of a project. EPA has determined that this
applies only to the prime contractor responsible for the
overall design, and not to the subcontractors
performing treatability studies.
Innovative technology is considered a special exception
from general conflict of interest guidelines. EPA will
permit contractors and/or subcontractors who perform
evaluation of innovative technologies for the Agency to
later work for the PRPs in as many instances as
possible.
Additional Information
Copies of the policy (OSWER Directive 9380.0-17) and ad-
ditional copies of this fact sheet are available from:
National Technical Information Service (NTIS)
Springfield, VA 22161
Phone (703) 487-4650
Agency and State employees may obtain copies of the di-
rective or this fact sheet from the Superfund Document
Center, U. S. Environmental Protection Agency, Room
2514, 401M Street S.W., Washington, DC 20460. The
telephone number is FTS or 202/382-5628.
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