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Transfer of Pollution Prevention Technologies Chapter 1 INTRODUCTION The Pollution Prevention Act of 1990 and the Clean Air Act Amendments of 1990 established a national environmental protection policy identifying pollution prevention as the preferred method of addressing problems created by industrial waste. Pollution prevention1 is defined as “… any practice which reduces the amount of a hazardous substance, pollutant, or contaminant entering any waste stream or otherwise released into the environment (including fugitive emissions) prior to recycling, treatment, or disposal; and any practice which reduces the hazards to public health or the environment associated with the release of such substances, pollutants, or contaminants”2 Pursuant to the act, pollution prevention includes only those activities affecting the volume or the physical, chemical, or biological characteristics of substances in a way that is integral to a production process. Processes at the end of the production cycle, commonly called “end-of-pipe” processes, such as waste management, recycling, and waste treatment, are not included in the definition. According to Executive Order 12088,3 the head of each federal agency is responsible for ensuring that the agency’s facilities, programs, and activities meet federal, state, and local environmental requirements. In response to increased interest in environmental issues during the late 1980s, along with requirements that the use of ozone-depleting chemicals in military systems be eliminated, the identification of hazardous waste sites on military installations, and rising costs of hazardous waste disposal, the U.S. Department of Defense (DOD) focused attention on pollution prevention. In Executive Order 12856,4 the Pollution Prevention Act of 1990 and the 1990 Clean Air Act Amendments were declared applicable to federal facilities.5 As a result, the Department of Defense established pollution prevention programs and set a goal of reducing hazardous waste by 50 percent by 1999 based on a 1992 baseline.6 In a recent National Research Council report,7 environmentally compatible manufacturing technologies were identified as advances that could be leveraged to meet the needs of defense manufacturing. Coatings technologies were specifically identified as a target area. In 1990, the Department of Defense established the U.S. Army Industrial Ecology Center, located at Picatinny Arsenal in New Jersey.8 Picatinny Arsenal had been carrying out pollution prevention related functions since 1986. The Industrial Ecology Center was tasked to reduce the costs and risks of meeting the Army’s long-range environmental goals for materials and processes used in the manufacture, overhauling, and maintenance of weapons systems. The three stated objectives of the Industrial Ecology Center are: To provide technology and management tools to ensure compliance with environmental regulations and acquisition reform goals; To coordinate, integrate, and transition environmental research and development related to pollution prevention and compliance; and 1 Section 6602(b) of the Pollution Prevention Act 2 Pollution prevention can also be defined as the elimination of the waste stream. The term pollution reduction would then be used when the quantity or toxicity of waste is reduced but not eliminated. 3 Executive Order 12088. Federal Compliance with Pollution Control Standards. Issued 1978. Available at <http://es.epa.gov/oeca/fedfac/cfa/eo12088.htm>. Accessed February 2002. 4 Executive Order 12856. Federal Compliance with Right-to-Know Laws and Pollution Prevention Requirements. Issued 1993. Available at <http://es.epa.gov/program/exec/12856.html>. Accessed February 2002. 5 Guide to Environmental Enforcement and Compliance at Federal Facilities. EPA 315-B-98-011. Available at <http://es.epa.gov/oeca/fedfac/yellowbk/yellowbk.pdf>. Accessed February 2002. 6 Memorandum on Environmental Security Program Measures of Merit, Deputy Undersecretary of Defense (Environmental Security). Available at <https://www.denix.osd.mil/denix/Public/Policy/AF/Policy/note22.html>. Accessed February 2002. 7 National Research Council. 1999. Defense Manufacturing in 2010 and Beyond. Washington D.C.: National Academy Press. 8 Industrial Ecology Center. Available at <http://w3.pica.army.mil/iec>. Accessed July 2001.
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Transfer of Pollution Prevention Technologies To implement new environmental technologies via technology transfer to the U.S. Army, the Department of Defense, and industrial manufacturing facilities.9 NATIONAL DEFENSE CENTER FOR ENVIRONMENTAL EXCELLENCE History In direct response to projected requirements associated with environmental problems within the Department of Defense, Congress designated funds for the establishment of the National Defense Center for Environmental Excellence (NDCEE).10 The NDCEE was established “as a national resource for demonstrating, applying, and disseminating advanced environmental technologies to the DOD, other government agencies, and industry.”11 Its stated mission is to: Transfer environmentally acceptable materials and processes to defense industrial activities and private industry; Provide training that supports the use of new environmentally acceptable technologies; and Perform applied research and development, where appropriate, to accelerate the transfer of new technologies.12 The Industrial Ecology Center was the program management office that oversaw the NDCEE from January 1993 until September 2000. The Concurrent Technologies Corporation (CTC) has held the operating contract for managing the NDCEE facility and its programs since 1993. On April 30, 1998, the Army Materiel Command awarded a follow-on contract for $150 million to the Concurrent Technologies Corporation to operate the NDCEE for the next 5 years. The Concurrent Technologies Corporation, a professional services company with a staff of more than 1200, serves clients in the private sector, as well as state and federal government organizations.13 This report describes activities that occurred in the period from the NDCEE’s inception until September 30, 2000. Organization The NDCEE is organized to provide expert scientific, engineering, laboratory, and minifactory services to solve environmental problems for DOD organizations. Its task is to facilitate the transition of environmentally acceptable materials, engineering design tools, and manufacturing processes to defense industrial activities and to provide training to support their use. The NDCEE is meant to be uniquely capable of providing the Department of Defense with third-party, unbiased validation of environmental technologies. The center includes a 250,000-square-foot factory where technologies can be demonstrated, along with associated office space and laboratories for the testing and evaluation of materials and processes. The projects undertaken by the NDCEE are divided into eight thrust areas:14 Cleaning/coating removal, Inorganic coating, Organic coating, Recycle/recovery/reuse, Environmental management, Treatment and remediation, 9 See note 8 above. 10 National Defense Center for Environmental Excellence home page. Available at <http://www.ndcee.ctc.com/>. Accessed February 2002. 11 Funds provided pursuant to Public Law 101-302, May 25, 1990. Conference Report 101-493 directed that funds be provided to the University of Pittsburgh Trust to establish the NDCEE as a not-for-profit subsidiary of the university, May 22, 1990. 12 See note 8 above. 13 Concurrent Technologies Corporation. Available at <http://www.ctc.com>. Accessed February 2002. 14 See note 10 above.
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Transfer of Pollution Prevention Technologies Technology transfer and insertion, and Special projects. A significant part of the NDCEE’s mission is environmental cost analysis and health risk assessment for candidate technologies. NDCEE Programs The NDCEE has been tasked to work in a wide range of environmental fields. At its formation, the NDCEE was to address the initiatives listed below.15 This extremely broad mandate was apparently recognized as such in the final item on the list. Definition and staffing of a management, technical, and financial organization for the operation and administration of the NDCEE program; Systematic assessment with DOD-designated organizations to determine and prioritize the nature, seriousness, and potential solutions in the following areas of environmental technology need: Hazardous waste remediation; Management of wastes falling under the Resource Conservation and Recovery Act (RCRA); Waste minimization; Municipal-type solid waste and incineration issues; Air pollution control; Medical waste disposal; Mixed waste disposal; Contaminated site remediation; Chemical weapons destruction; Recycling; Water pollution control and water usage; Underground storage tanks; and Nuclear waste disposal. Identification and involvement of leading qualified academic, public, and private sector environmental technology resources to develop a broadly based NDCEE consortium capable of responding to the total breadth of Department of Defense environmental concerns. In fiscal year 1993, the DOD Joint Environmental and Manufacturing Technology Policy Council approved eight initial demonstration tasks and the continuation of six technology assistance tasks. These tasks included subjects related to three of the four cases examined by the committee, specifically, powder coating, electrocoat, and ion beam surface modification. The remaining item, waterjet coating removal, was also pursued quite early in NDCEE’s history through a number of published reports and a user conference held in 1995 in Johnstown, Pennsylvania. Congress has mandated four additional tasks, which were as follows. These tasks add to the breadth of activities undertaken by the NDCEE. Demonstration of automated plastic sorting at a DOD facility; Demonstration of a liquid carbon dioxide pilot plant to evaluate effectiveness in reducing sulfur dioxide emission from boilers; Medical waste tracking and management demonstration; and Investigation of risks associated with use of toxic substances in the DOD manufacturing environment. 15 Scola, R. 1999. Pollution Prevention Program Overview. Background paper prepared for this study. Picatinny Arsenal, New Jersey: Industrial Ecology Center, U.S. Department of the Army.
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Transfer of Pollution Prevention Technologies Oversight The U.S. Army Industrial Ecology Center acted as executive agent in the day-to day oversight and contract management of NDCEE from 1993 until 2000. This authority was delegated to the IEC by the Deputy Undersecretary of Defense for Environmental Security. In addition to the staff management personnel from NDCEE, the IEC assigned a technical monitor from its staff for each thrust area. Each task also had a DOD technical monitor, usually from an organization other than the IEC. Finally, four different advisory bodies support the activities of the NDCEE, as follows.16 The DOD Working Group consists of representatives from the Office of the Deputy Undersecretary of Defense for Environmental Security; the Army, Navy, Air Force, and Marine Corps; and the Defense Logistics Agency. The charter of this group is to oversee NDCEE projects. It functions as a clearinghouse of information and program results and provides integration with Service and DOD-wide programs. A major part of the government oversight of NDCEE is conducted through quarterly in-process reviews of its activities. The Strategic Oversight Committee consists of individuals from academia and industry who review NDCEE strategic objectives and assist in peer review and in strategic and business planning. The Executive Advisory Council, consisting of representatives from selected high-priority industries, meets three times a year primarily to identify and prioritize industry environmental problems. The council has had representatives from automotive, aerospace, and other defense manufacturing firms. The technical advisory groups are made up of individuals supporting the NDCEE’s technical thrust areas. Organic finishing and inorganic finishing are areas with active technical advisory groups. In its operations, the NDCEE attempts to define user needs and select materials and processes to meet those needs through use of their facility in Johnstown, Pennsylvania, or site visits to depots or other user facilities. NDCEE’s technology transfer process is summarized in six steps:17 Identify an enterprise representing a participator in need. Survey the facility baseline to gather information on the technology need. Test technology feasibility. Test technology optimization. Validate technology through demonstrations. Complete technology transfer activities. Sources of Funding Funding for NDCEE is provided through three sources: direct Army support, congressional interest items, and cost-reimbursable programs supported by defense organizations and industry. The funding for NDCEE includes core funding for the operation of the facility and separate funding for specific projects. The direct Army support through the Industrial Ecology Center amounted to about $5 million per year. Target projects of congressional interest with separate line item budgets totaled approximately $99.7 million in fiscal years 1993 through 1999. Cost-reimbursable items from the Department of Defense, the Department of Energy, the Environmental Protection Agency (EPA), and industry clients totaled approximately $32 million over the same period.18 EPA funding was provided through its Environmental Technology Verification program in the areas of coatings and coating equipment and metal finishing technologies.19 One of the NDCEE’s projects is to provide engineering and technical services for DOD’s Joint Group on Pollution Prevention, formerly known as the Joint Group on Acquisition Pollution Prevention.20 The group, led by high-ranking officers of the Air Force, Army, Marine Corps, Navy, National Aeronautics and Space Administration (NASA), and the Defense Contract Management Command, 16 NDCEE. 1998. Five-Year Business Plan. Johnstown, Pennsylvania: Concurrent Technologies Corporation. 17 NDCEE. 1997. Powder Coat Applications: Final Report and Project Summary. Johnstown, Pennsylvania: Concurrent Technologies Corporation. 18 See note 15 above. 19 Environmental Protection Agency. Environmental Verification Program. Available at <http://www.epa.gov/etv/>. Accessed February 2002. 20 Joint Group on Pollution Prevention. Available at <http://www.jgpp.com/>. Accessed February 2002.
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Transfer of Pollution Prevention Technologies provides high-level policy guidance for defense pollution prevention activities. The Joint Acquisition Sustainment Pollution Prevention Activity, a working-level counterpart of the Joint Group on Pollution Prevention consisting of a group of managers from the member services and agencies, conducts various tasks at Department of Defense and contractor sites. Concurrent Technologies Corporation, the operating contractor for NDCEE, provides staff support to the Joint Group on Pollution Prevention through the NDCEE contract. Relationship with Other Programs A wide range of Department of Defense programs are working in the area of pollution prevention and their interrelationships are complex. Figure 1-1 shows a general framework of relationships among the major programs. The early stages of research, development, test, and evaluation are managed by the Office of the Director, Defense Research and Engineering (DDR&E). Field demonstration and validation are carried out under the Office of the Deputy Undersecretary of Defense (Environmental Security), or DUSD(ES). The day-to-day operations after implementation are carried out either by the Defense Environmental Restoration Program for environmental cleanup activities or with the regular operations and maintenance funds of the Department of Defense. Figure 1-1 Department of Defense environmental technology programs. The Strategic Environmental Research and Development Program (SERDP) is DOD’s organizational research and development program for environmental matters.21 Its principal participants are the Departments of Defense and Energy, and the Environmental Protection Agency. Other participants are NASA, the Department of the Interior, and the National Institute of Standards and Technology (NIST). The four thrust areas of the Strategic Environmental Research and Development Program are cleanup, compliance, pollution prevention, and conservation. Funding for the program was approximately $45 million in fiscal year 1999, of which approximately $15.4 million was allocated to pollution prevention.22 The pollution prevention program under SERDP is structured to address a wide variety of environmental problems associated with surface protection, energetics, advanced materials, and the elimination of ozone-depleting chemicals, and to provide life-cycle environmental tools to assist weapon systems designers. As one of many organizations funded for specific projects under SERDP, NDCEE has participated in several projects. 21 Strategic Environmental Research and Development Program. Available at <http://www.serdp.org/>. Accessed February 2002. 22 Environmental Security Program Budget Data. Available at <https://www.denix.osd.mil/denix/Public/ES-Programs/Program/Charts/FY99/updates.html>. Accessed February 2002.
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Transfer of Pollution Prevention Technologies Once the feasibility and utility of a new environmental technology concept have been proven, the next step in the Department of Defense research and development process is demonstration and validation, commonly called dem/val. This step validates technology prior to its transition to field use. The Environmental Security Technology Certification Program (ESTCP) and NDCEE are separate programs, both established to accomplish this objective. The goal of the Environmental Security Technology Certification Program is to demonstrate and validate promising technologies to target DOD’s most urgent environmental needs. These technologies are projected to pay back the investment through cost savings and improved efficiency. Current costs for environmental remediation and compliance in the Department of Defense are significant. Remediation totaled approximately $1.26 billion in fiscal year 1999; costs for compliance totaled approximately $1.89 billion in fiscal year 1999. Both figures have declined slowly since 1993, when they were $1.64 billion and $2.13 billion, respectively.23 Based on the belief that innovative technologies can reduce both costs and environmental risks, this program’s strategy is to select laboratory-proven technologies with broad defense applications and aggressively move them to the field for rigorous trials. The ESTCP then documents their costs, performance, and market potential. Successful demonstration of a technology leads to its acceptance by defense end users and the regulatory community. To ensure that the demonstrated technologies have real impact, the ESTCP includes these organizations in the development and execution of its programs.24 As indicated in Figure 1-1, the ESTCP and the NDCEE operate in parallel, although they cooperate on some projects. For example, the NDCEE participated in an ESTCP project on the use of powder coating for small arms bullet tip identification.25 The U.S. Air Force’s Coatings Technology Integration Office (CTIO), associated with the Air Force Research Laboratory at Wright-Patterson Air Force Base, Ohio, has a number of projects to accomplish pollution prevention through the use of improved coatings.26 The Coatings Technology Integration Office operates separately from the NDCEE. One project at CTIO is an assessment of the baseline performance of the Air Force’s existing aircraft coating systems. This characterization includes measurements of corrosion resistance, flexibility, adhesion, hydraulic fluid and jet-fuel resistance, and cleanability. The intent of the assessment is to establish baseline levels of performance for current systems to compare with future changes to coatings systems, including those intended for pollution reduction. Other CTIO projects include optimizing paint removal processes for performance and pollution reduction with both dry particles and chemical systems and improving high-solids liquid paint systems. The Industrial Ecology Center manages the Army’s Environmental Quality Pollution Prevention Technology Program, which includes the Environmental Quality Basic Research and Development (EQBRD) Program, the Sustainable Green Manufacturing (SGM) Program, and the Corrosion Protection Control (CPC) Program. The responsibilities of the Industrial Ecology Center also include participation as the Army’s representative to the SERDP Pollution Prevention Technology Thrust Area Working Group and the Pollution Prevention Panel of the ESTCP. The Environmental Quality Basic Research and Development Program emphasizes basic research to provide the fundamental scientific and technological building blocks to support the more mature, advanced development efforts. This $4 million per year Army program is focused primarily on evaluating the feasibility of early technology concepts for pollution prevention in the Army’s industrial base. Its objective is to advance the state of the art in pollution prevention and the life-cycle management of hazardous materials and wastes. Its goal is to develop technologies to aid in maintaining readiness by reducing the costs and risks of meeting the Army’s long-range environmental challenges. The Environmental Quality Basic Research and Development Program’s investment strategy is focused on identifying the waste streams associated with the manufacture, maintenance, and disposal of Army-unique products and conducting basic research to provide the maximum economic return. The program targets the critical areas of processing of energetics, metal finishing, cleaning/degreasing, and painting, which generate 85 percent of the Army Materiel Command’s wastes.27 23 See note 22 above. 24 See note 22 above. 25 Environmental Security Technology Certification Program. Available at <http://www.estcp.org/>. Accessed February 2002. 26 Air Force Coatings Technology Integration Office. Available at <http://www.ml.wpafb.af.mil/facilities/ctio/>. Accessed February 2002. 27 See note 15 above.
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Transfer of Pollution Prevention Technologies The Sustainable Green Manufacturing Program is an alliance with participation from the Armament Research, Development, and Engineering Center (ARDEC), NDCEE, and the New Jersey Institute of Technology. The program focuses on research in pollution prevention and life-cycle environmental issues with impacts on military systems. The Sustainable Green Manufacturing Program has the following objectives:28 Promoting reform of Army and DOD acquisition processes through sustainable green manufacturing, Improving environmental quality and increasing cost savings through efficient and effective life-cycle management, and Conducting research and development to address the needs of the Army that bridge environmental stewardship and the sustainability of the Army’s armament mission. The Industrial Ecology Center, which serves as a co-chair of the Corrosion Protection Control Program in the Army Materiel Command, is responsible for addressing the concerns about the corrosion of Army weapons systems, including cost control. The program objective is to reduce weapon system maintenance costs related to corrosion by 25 percent by the year 2005. The program’s effectiveness is tracked by the Industrial Ecology Center using performance indicators including success in technology transfer, cost savings, extension of maintenance cycles, equipment design modifications, pounds of hazardous materials eliminated, and number of meetings, papers, and training events. STUDY OBJECTIVES AND APPROACH In January 1999, the Industrial Ecology Center asked the National Research Council (NRC) to evaluate the techniques being used to transfer pollution prevention technologies from the NDCEE to various Department of Defense operations. Under the direction of the NRC Board on Manufacturing and Engineering Design, the Committee to Evaluate Transfer of Pollution Prevention Technology for the U.S. Army was formed to perform the following three tasks: Review the technology transfer activities of the Industrial Ecology Center, examine successful and unsuccessful technology transfer efforts, and identify lessons learned and opportunities for improvement; Organize briefings by weapons systems program managers and facility operators to gather information on perceived barriers to implementing innovative technologies; Recommend the opportunities for improved technology transfer processes for pollution-prevention-related technologies from the Industrial Ecology Center to maintenance and rework facilities in the U.S. Army and DOD and to industrial manufacturing facilities. To facilitate the evaluation, the committee was asked to review four case studies of technology transfer that were representative of major industrial pollution prevention programs in the Industrial Ecology Center and the Department of Defense. These four areas were powder coating, electrocoat, ultrahigh-pressure waterjet coating removal, and ion beam coating deposition. These technologies are the purview of the NDCEE, which the Industrial Ecology Center managed from 1993 through 2000. The NDCEE’s thrust areas are not limited to coatings, but these four areas were selected because they constitute a definitive and substantial part of the Industrial Ecology Center’s pollution prevention program 28 See note 15 above.
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