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 Printed on Recycled Paper ------- 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. ------- 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 ------- 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. ------- |