United States MCD-64
Environmental Protection March 1 980
Agency
Municipal Environmental
Research Laboratory
Office of
Water Program Operations
v>EPA Innovative
and
Alternative
Technology
A New
Approach to
An Old
Problem
US EPA HQ& Chemical Libraries
1200 Penn. Ave NW WJC West 3340
Washington DC 20460
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A new Federal law, the Clean Water Act of 1977,
P1-95-217, provides extra dollars for municipalities that
adopt innovative or alternative solutions to their
municipal wastewater and other waste treatment needs.
Special emphasis is on ideas that
Reclaim, reuse water
Recycle wastewater constituents, I.e., nutrients
Eliminate surface discharge
Conserve or recover energy
Lower total costs
What is The Innovative and Alternative
Technology Prograrn?
The innovative and Alternative Technology Program is a
new program established by Congress to allow increased
grant assistance to qualifying communities for the con-
struction of wastewater treatment facilities. The current
program began on October 1, 1978, and continues until
the end of September, 1981, unless extended by
Congress.
The new program is a modification of the normal Federal
Construction Grants Program and has several important
added features such as:
85% grants for the construction of innovative or alter-
native municipal treatment technologies instead of
the normal 75% grants.
The 10% grant increase (75% to 85%) will be paid out
of a special fund set aside annually from each States
allocation that can only be used for I /A technology.
This set-aside fund Is 2% for the first two years (FY 79
and 80) and 3% for the third year (FY 81).
Each year at least 1/2% of the special set-aside fund
must be used for innovatIve technology
If a new i/A technology fails to meet design goals dur-
ing the first two years of operation, another grant may
be awarded for 100% of the costs of replacing or cor-
recting the failed system. ThIs means the local
government and the local taxpayers will not have to
pay for new technologies that do not work.
Who Is Responsible for Implementation of the Program?
The new law says that the Envlronmentai Protection
Agency Is responsible but that the States also have a
major part in managing the Construction Grants Pro-
gram, Including the special hA provisions. Success of the
program will rely heavily on cooperative participation by
the consultants and local government at the grass roots
level.
What Will the New hA ProvIsions Cost? The actual
amount may vary from year to year, but Congress has set
asIde 2% of the total Construction Grant funds to be
spent in FY 79 and FY 80 and 3% in FY 81 for i/A tech-
nology. The set aside amounts to $100 million in FY79
and FY80 and $150 million in FY81.
This is not the whole story. Since the set-aside funds are
only used to increase the Federal funding share from
75% to 85%, the set-aside money can be stretched over a
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large number of projects in different communities, giving
everyone a better chance to participate in the new pro-
gram. For example, In FY81, it is estimated that one out
of four projects will involve I/A technology funding.
What Is Alternative Technology?
Alternative technologies are proven methods of waste-
water treatment that Congress and EPA would like to en-
courage:
Effluent Treatment Energy Recovery
- iand treatment - co-disposai of siudge and refuse
- aquifer recharge - anaerobic digestion with >90%
aquacuiture methane recovery
- sliviculture seif-sustaining incineration
(non potabie) Individual and On-Site Systems
revegetation of disturbed iand - on-site treatment
- containment ponds septage treatment
- treatment and storage prior to - aitemative coliection systems for
iand appiication smail communities
- preappilcatlon treatment
Siudge
- iand appilcation
- composting pnor to iand
application
- drying prior to land appiication
These Alternative Technologies automatically qualify for
the grant Increase. They may also be considered cost-
effective even if their total cost is up to 15% greater than
other treatment methods because Alternative
Technologies have the added benefits of recycling,
reclamation, or water and energy conservation.
An Alternative Technology qualifies as an Innovative
Technology if it is designed to meet any one of the
following criteria
Save 15% total cost
Save 20% net primary energy
Improve operational reliability
improve toxics management
Increase environmental benefit
Improve joint Industrial/municipal treatment poten-
tial.
Since at least 1/2% of the 2% or 3% set-aside funds
must be spent on Innovative Technology, States should
encourage municipalities to examine these Improved ap-
plications of Alternative Technology that qualify them as
Innovative Technology
What Is Innovative Technology?
Innovative Technologies are developed methods of
wastewater treatment not fully proven under the cir-
cumstances of their Intended use.
One of the big problems in the past with the design of
wastewater treatment works is the better be safe than
sorry attitude on the part of designers and local and
state government decision officials. This has lead to the
construction of overly-conservative and often times cost-
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ly conventional treatment works. The operation and
maintenance costs of conventional treatment systems
have also risen sharply during the past fIve years and cut
deeper Into local municipal budgets.
The innovative technology program recognizes that if a
special effort is made during the planning stages of
municipal treatment works, many potential money-
saving and energy-saving techniques could be identified
and incorporated Into new facilities.
Innovative Technologies can come about as:
New process and equipment Inventions
Improvement and modification of old or known pro-
cesses
New or unique combinations of known processes and
techniques
Greater integration and use of natural processes
Maximum use of physical surroundings and en-
vironmental conditions
In addition to new or improved applications of Alternative
Technology, technologies that originate as conventional
forms of treatment, but contain elements of Increased
risk and benefit, rnay qualify as Innovative if they:
Save 15% total cost or
Save 20% net primary energy
Over the most cost-effective non-innovative alternative.
The purpose of the three-year trial period Is to convince
designers and local authorities that the cost, energy, and
other benefits of Innovative approaches outweigh the
slightly Increased risk.
Both Congress and EPA recognized that there might be a
reluctance on the part of designers and municipal
governments to take a chance on unproven innovative
Technologies.
This concern has given rise to the 1X% payback pro vi-
sion of the new law. If an Innovative or Alternative
Technology fails to meet design goals within the first two
years of operation, the Federal Government will pay 100%
of the cost of replacing or correcting the failed system.
With this provision, a municipality is protected if it
makes sure its consultant thoroughly investigates in-
novative Technology as part of the facility planning pro-
cess.
Why Are Cost and Energy Important?
Cost The Environmental Protection Agency
recognizes its obligation to cost-effectiveness in the
overall management and expenditure of the $5 billion per
year Construction Grants Program. A fundamental
operating principle of the Program Is the maintenance of
the highest standards In achieving the Congressional
and Agency goal of Increased cost-effectiveness In the
construction of publicly-owned treatment works.
in addition to the capital cost associated with the con-
struction of wastewater treatment facilities, the local
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communities must bear the cost of operating the facility.
This cost over the life of the facility can equal and
sometimes exceed the capital investment. The local share
of capital and operating costs of collection and treatment
facilities for small rural communities can often exceed
$300 per user per year, which Is disproportionately high
and unaffordable.
For I /A technology projects, the Agency has taken a very
positive step forward in providing the economic incen-
tive of a 10% grant Increase for Innovative Technologies
that save a minimum of 15% over the total cost of the
most cost-effective, non-innovative alternative.
Energy Both the Clean Water Act and Its legislative
history emphasize energy conservation and energy re-
cycling In the construction and operation of wastewater
treatment works.
Conservation of energy is doubly important, first
because it conserves an unrenewable resource, and sec-
ond because It lowers operating costs. EPA set a specific
achievable goal of 20% net primary energy reduction as a
criterion for eligibility as Innovative Technology In the I/A
regulations.
Early experiences with the program show a strong in-
terest in the incorporation of energy-saving concepts
such as alternative energy sources In the design of
wastewater treatment works. Proposed concepts in-
clude:
Energy conservation measures
Energy recovery systems
Use of solar energy
Use of geo-thermal sources.
How Does the hA Program Work?
All municipalities in the U.S. that can apply for a normal
75% Federal Construction Grant to construct improved
wastewater treatment works may also be eligible for an
i/A (85%) grant.
The normal Construction Grant Program operates in
three steps:
o Step 1 - Evaluation of alternative solutions and
preparation of a preliminary plan called a facilities
plan
o Step 2- Preparation of a detailed plan and specifica-
tions for actual construction
o Step 3 - Construction of the approved wastewater
treatment works.
Since the Congress and EPA want to encourage in-
novative and alternative solutions, all Step 1 olans In-
itiated after September 30, 1978 must consider Innovative
anti alternative solUtions.
The consulting engineers and local governments must
carefully analyze the local problems and propose in-
novative and alternative solutions. The plans they
develop are reviewed by the State and Federal authorities
to see if the solutions are cost-effective and meet qualify-
ing criteria.
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Are There Any Strings Attached to the Increased Grant
Funding for innovative and Alternative Projects? Both
EPA and Congress feel strongly that the new program
must not delay the normal progress of the Construction
Grants Program In meeting the national goals.
Alternative Technologies that meet the stated goals of In-
creased recycling, reclamation, reuse, and energy
recovery are automatically eligible for the grant increase
if their cost is no more than 15% greater than the cost of
other treatment methods that do not recycle, reclaim or
save energy. These applications can be processed with
no substantial delay or additional requirements.
Innovative technology applications require an additional
evaluation in accordance with legislative and regulatory
mandates. EPA has initiated specific actions to ac-
celerate and streamline the preparation and evaluation of
innovative applications which include:
Preparation of a comprehensive hA Technology
Assessment Manual.
Formation of an hA Technology Clearinghouse.
Formation of a special Technical Support Group to
assist State and Regional Offices in processing i /A
applications.
Since applications for the i/A set-aside funds will normally
be considered on a first-come, first serve basis, It is
Important for municipalities and local citizens to get in-
volved early.
What Can I Do?
As a vital part of the CWA of 1977, EPA has developed
specific programs to encourage public participation.
There are also a number of actions that can and should
be undertaken by those concerned with seeing that their
community fully benefits from the hew hA Technology
Program.
Identify and meet with local community officials.
Find out what wastewater treatment facilities are
being constructed.
Learn the identity of the design engineer.
- Is the designer a specialist In wastewater treatment
technology?
- Has the designer had previous experience with in-
novative or alternative technologies?
Has the designer explained the important questions
of total and local costs to the affected persons?
Compare the proposed cost of the recommended
solution to those of other similar communities.
Where and How Can I Find Out More About hA
Technology? The National i/A Program is being manag-
ed, along with the normal Construction Grant Program,
by the ten EPA Regional Offices and by the State agen-
cies that have been delegated authority. Each EPA
Regional Office has designated an hA technology coor-
dinator who can provide further information.
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REGIONAL VA COORDINATORS
Region Name Phone
NataiieTaub 617-223 .5604
JFK Federal Building, Room 2203
Boston, Massachusetts 02203
Water Division Director Lester Sutton
George Mccann 213-284 4596
26 Federal Plaza, Room 1009
New York, New York 10001
Water Division Director Conrad Simon
Ill James Hagan 21 5597-91 31
Curtis Building
6th & Walnut Streets
Philadelphia, Pennsylvania 19106
Water Division Director Greene Jones
IV George White 404881-2056
345 Courtland Street, NE
Atlanta, Georgia 30308
Water Division Director Paul Traina
V Steve Poloncsik 312-353-2314
230 South Dearborn Street
ChIcago, illinoIs 60604
Water Division Director Charles Sutt in
VI Ancil Jones 2141292845
First International Building
1201 Elm Street
Dallas, Texas 15270
Water DIvisIon Director (Acting) Earl Karl
V ii Lynn Harrington 810-758-2725
324 East 11th Street
Kansas City, Missouri 64106
Water Division Director Earl Stephenson
Viii Stan Smith 303-327-2735
1860 Uncoln Street
Denver, Colorado 80203
Water DivIsion Director David Standley
IX irvIng Terzich 415-556-8316
215 Fremont Street
San Francisco, Califomla 94105
Water DivisIon Director Frank Covlngton
X Carl Nadler 206-399-1266
1200 Sixth Avenue
Seattle, Washington 98101
Water Division Director Robert Burd
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