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3
A LONG-TERM VISION FOR DEPARTMENT OF
ENERGY ENVIRONMENTAL QUALITY
RESEARCH AND DEVELOPMENT
.................................................................... ~
The U.S. Department of Energy (DOE) has taken a first, important
step toward integrating its research and development (R&D) programs
through portfolio analysis. In so doing, it has recognized the short-term
emphasis of the Environmental Quality (EQ) R&D portfolio, and has re-
quested this study to provide strategic advice on how it could build a
more effective EQ R&D portfolio. In this chapter, the committee first dis-
cusses the important functions of an EQ R&D portfolio, including the as-
sociated national and international contexts. The committee then uses
these descriptions and the accompanying findings, conclusions, and rec-
ommendations to develop a set of criteria to evaluate the adequacy of
the portfolio. Finally, the committee discusses five broad themes that
DOE could use as "principal elements" of its EQ R&D portfolio. In sum,
this chapter represents the committee's vision of a more effective portfo-
lio of activities that incorporates a more "life-cycle based" (i.e., system-
atic consideration of the entire expected life-cycle of a technology or fa-
cility, from initial design, through operation, to closure and long-term
stewardship) approach to DOE's EQ problems and moves beyond the
short-term, "going-out-of-business within the next decade" philosophy
that has driven DOE's EQ R&D to focus on short-term needs over the
last decade.
IMPORTANT FUNCTIONS OF AN EFFECTIVE EQ R&D PORTFOLIO
An effective long-term R&D portfolio could contribute to DOE's EQ
mission in a number of important ways. Effective EQ R&D also should
contribute significantly to DOE's other missions. In this section, the
committee describes the following functions that are considered essential
for an effective, long-term EQ R&D portfolio:
40
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A Long Term Vision for DOE EQ R&D
41
· addressing long-term, currently intractable] EQ problems;
. improving performance, reducing risks to human health and the
environment, decreasing cost, and advancing schedules;
advancing more informed EQ decision making;
making informed decisions on nuclear energy;
. promoting national security;
· helping to bridge the gap between R&D and application;
· supporting research and training in relevant fields of science and
. .
engineering;
.
· leveraging results from DOE's Office of Science; and
leveraging and supporting relevant R&D programs outside DOE.
Addressing Long-Term, Currently Intractable EQ Problems
The problems confronting the EQ business line are long-term, both
because they involve materials that in some cases remain hazardous for
thousands to hundreds of thousands of years and because they pose
scientific questions that are so complex and unique that R&D will have to
continue for decades to generate their solutions.2 This uniqueness and
complexity demand that the EQ R&D portfolio have a strong, if not domi-
nant, long-term component. As discussed in Chapter 2, this contrasts
markedly with the current short-term emphasis of DOE's EQ R&D portfo-
lio. In this section, the committee describes some important long-term
EQ problems.
One of the most important long-term EQ challenges is long-term
stewardship of legacy waste sites for which cleanup is complete but that
have residual risks to human health and the environment. As discussed
in Chapter 1, radioactive and other wastes will remain at most sites even
after achieving the cleanup goals, and active stewardship activities to
protect human health and the environment from hazards will be required
for long or indefinite time periods (see Sidebar 3.1; DOE, 1999a). One of
the most important problems associated with long-term stewardship is
the lack of adequate long-term institutional management capabilities,
which will require long-term scientific, technical, and social science R&D
(NRC, 2000a). Furthermore, DOE's largest sites will require decades to
reach their stated cleanup goals (see Sidebar 2.1~. Many of the important
EQ problems facing DOE at these sites currently have no acceptable,
identified solution and will require sustained R&D efforts well beyond
' The committee uses the term "currently intractable" to refer to problems for which
there are no identified, acceptable solutions but for which long-term R&D could lead to such
solutions.
2 When the expression "long-term R&D" is used in this report, the committee means
"long-term" from both of these perspectives.
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A Strategic Vision for DOE Environmental Quality R&D
2006 (see Sidebar 3.2~. For example, proposed solutions for the treat-
ment of high level waste are still being developed (see Sidebar 3.3~. In
sum, many of DOE's waste management and disposal problems cur-
rently are, and will continue to be, intractable during the active clean-up
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A Long Term Vision for DOE EQ R&D
43
period. A strong continuing R&D portfolio therefore is essential, and may
be more important after cleanup than before.
Similarly, there are significant uncertainties and major technical and
social science challenges associated with investigating and developing
geological repositories for high-level waste and spent nuclear fuel (NRC,
2001~. For example, improved understanding of the performance of the
waste packages within the geological environment and novel monitoring
techniques are needed during the pre-closure period, which is expected
to last from decades to several centuries for Yucca Mountain. Such long-
term R&D could help ensure that the repository is operating effectively
and could allow the repository design to be refined during the pre-closure
period to improve its performance and/or reduce costs. Similarly, long-
term R&D could help identify and implement measures to build public
confidence in repository performance during the pre-closure period.
In summary, the short-term emphasis of EQ R&D efforts described in
Chapter 2 and the declining budget trends discussed in Chapter 5 are
fundamentally inconsistent with the long-term nature of the problems the
EQ business line must address. DOE is responsible for managing, re-
moving (or isolating), and disposing of uniquely hazardous, chemically
complex substances, such as spent nuclear fuel, liquid high-level radio-
active wastes, and mixtures of hazardous and radioactive compounds. It
is also responsible for remediating a wide range of contaminated media
and facilities (e.g., groundwater, soil, and nuclear production facilities).
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A Strategic Vision for DOE Environmental Quality R&D
These activities must be carried out under a wide range of challenging
and often unique circumstances. In many cases, environmental remedia-
tion, management, and disposal of hazardous and radioactive sub-
stances require development of innovative technologies. Environmental
cleanup, waste management, and disposal activities will, of necessity,
endure for generations, and long-term stewardship at most sites could
continue indefinitely thereafter. Therefore, the future can provide oppor-
tunities for continual improvements in the methods used to address
these issues and the possibility of breakthrough technologies that could
greatly reduce the risks to human health and the environment and the
costs to future generations.
Finding: Many of the problems confronting the EQ business line are
long-term, both because they involve materials that in some cases
remain hazardous for thousands to hundreds of thousands of
years, and because they are so complex and unique that R&D will
have to continue for decades to generate their solutions.
Conclusion: The uniqueness and complexity of DOE's EQ problems
demand that the EQ R&D portfolio have a strong, if not dominant,
long-term component.
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45
Recommendation: DOE should begin to devote an increasing frac-
tion of its EQ R&D to long-term problems to ensure that an R&D
portfolio dedicated to long-term problems is in place within five
years.
Conclusion: The technical and social complexities associated with
nuclear materials handling, storage, waste management, and dis-
posal demand a clear long-term vision.
Recommendation: DOE should develop a long-term strategic vision
for its EQ R&D portfolio. This vision should provide the framework
for developing the science and technology necessary to address
EQ problems that extend beyond the present emphasis of short-
term "compliance" and should incorporate the principle of contin-
ual improvement.
The importance of long-term EQ problems does not mean that DOE
should focus its EQ R&D efforts exclusively on long-term problems.
Short-term R&D should be undertaken to address near-term problems,
such as those driven by legal and regulatory requirements (e.g., cleanup
of contaminated groundwater, see discussion in NRC, 1999b). It is es-
sential, however, that the anticipated timeframe of such R&D (i.e., when
results can be expected) be consistent with the short timeframe of such
problems. Long-term R&D should not be undertaken on problems that
will be addressed in the near term.
Improving Performance, Reducing Risks to Human Health and the
Environment, Decreasing Cost, and Advancing Schedules
The type of problem-driven R&D envisioned as part of DOE's EQ
R&D portfolio should be viewed as an investment (see discussion in
Chapter 4~. The results should be expected to improve performance, re-
duce risks to human health or the environment, decrease costs, or ad-
vance schedules. Successes and failures should be closely monitored
and additional investment made if R&D has paid off well.3 Failure of past
levels of R&D to pay off is an indication that one or more of the following
may be true: The portfolio was not balanced, the program was poorly
managed, the funding was too high, the wrong researchers were in-
volved, or the evaluation was premature (i.e., taking place before R&D
results have been realized). Furthermore, an R&D portfolio that rewards
3 The success or failure of a new technique or method in achieving one or more of
these objectives is directly related to whether the R&D results are "deployed" in the field.
Deployment is necessary but not sufficient for success, as some deployments may not
improve performance, reduce risks, decrease costs, or advance schedules.
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A Strategic Vision for DOE Environmental Quality R&D
innovation in solving current problems that are extremely challenging or
unacceptably expensive will have a certain number of marginal suc-
cesses or outright failures. That is among the signs that an R&D program
is healthy and pushing the cutting edge of science and technology. Fur-
thermore, knowledge gained through R&D failures can be very useful.
Even so, an important measure of the long-term success of the R&D
portfolio is the degree to which it has led to improved performance, re-
duced risks to human health or the environment, decreased costs, and
advanced schedules.
Although these four objectives can be used as a measure of the suc-
cess of the EQ R&D portfolio, the types and timeframes of R&D need to
be considered when identifying appropriate metrics for success of indi-
vidual projects. Long-term R&D (especially fundamental research) often
carries inherently greater risks, can take many years to come to fruition,
and can result in benefits in unexpected applications. It would be a mis-
take to expect all research to lead to demonstrable results in a very short
time, or to avoid the risk of failure by excluding R&D to address particu-
larly challenging problems. The success of long-term research projects
can be evaluated periodically through peer review (COSEPUP, 1999b;
NRC, 1998~; whereas the success of more applied R&D projects can be
evaluated through relatively direct measurements (COSEPUP, 1999b),
such as the development of a new technology that is more effective, less
costly, or more time efficient than earlier technologies. Different types of
R&D carry with them differing expectations, and it is important in evalu-
ating success to calibrate expectations to the type of work being done.
Conclusion: Careful analysis of the success and failures of R&D
over time is an important consideration in evaluating the adequacy
of the EQ R&D portfolio and in determining an appropriate level of
EQ R&D investments.
Recommendation: DOE should institute a program to analyze peri-
odically the impact of the R&D portfolio and should take into ac-
count the success of past R&D investments in making future R&D
funding decisions.
These analyses should not preclude R&D with a significant risk of
negative results if the potential gain is substantial. Metrics for the portfo-
lio as a whole should include measurements of the degree to which it
has led to improved performance, reduced risks to human health and the
environment, decreased costs, and advanced schedules. Metrics for in-
dividual projects should reflect the differing objectives and timeframes of
various R&D projects, such as fundamental research and applied R&D.
Such metrics should be developed with input from independent experts
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A Long Term Vision for DOE EQ R&D
such as the advisory group recommended later in this report (see Chap-
ter 4~.
Advancing More Informed EQ Decision Making
47
In many cases, the availability of improved information and scientific,
technical, and social understanding can lead to more informed decision
making. For example, more efficient and cost-effective technologies
based on improved technical understanding could reduce the costs of
remediating contaminated DOE sites. However, numerous decisions on
environmental remediation, waste management, materials storage, and
facility decommissioning involve complex technical issues for which there
are only limited data and partial scientific understanding. Recent studies
have identified major gaps in scientific and technical understanding re-
lated to EQ problems, including subsurface science (NRC, 2000c; DOE,
2000g), the complex chemical dynamics in high-level waste (NRC,
2000d; DOE, 2000g), corrosion rates for materials used for long-term
storage and disposal of high-level waste (NRC, 2000d; DOE, 2000g),
and the mobility of certain heavy metals in surface and groundwater
(NRC, 1999b; DOE, 2000g). These knowledge gaps affect DOE's deci-
sion-making in a number of important areas, including the following:
· understanding fully the risks to human health and the environ-
ment that are associated with DOE wastes and contaminated media;
· determining the magnitudes and types of technical, scientific,
and social uncertainties with which DOE programs contend;
· balancing effectively the risk and rewards of various options for
cleanup, end states, storage, treatment, and stewardship of hazardous,
toxic, or radioactive materials (i.e., life-cycle analyses);
· avoiding or minimizing environmental harm and risks to human
health that are associated with meeting national security responsibilities;
and
.
addressing environmental remediation and long-term steward-
ship responsibilities associated with existing or future national and inter-
national energy needs.
In short, there is an array of issues, ranging from disposal of high-level
waste to remediation of environmental contaminants to construction of
new research facilities for ongoing defense programs, that could benefit
from further EQ R&D underpinning defensible, enduring decision making.
It should be emphasized, however, that lack of technical information
does not necessarily preclude effective decision making. Current deci-
sions must consider that technology and understanding can be expected
to improve considerably during the long timeframes of some EQ chal-
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A Strategic Vision for DOE Environmental Quality R&D
lenges. For residual contamination at closed legacy sites, for example,
the system of long-term stewardship put in place should not preclude
future actions to address remaining risks to human health and the envi-
ronment (see Sidebar 3.1~. The system should allow future decision
makers to re-initiate active cleanup activities if and when future tech-
nologies or understanding develop to a point where it makes sense to
address remaining risks (NRC, 2000a), or when the understanding of the
risks to human health and the environment improves. For geological dis-
posal of high-level wastes and spent nuclear fuel, DOE should pursue a
phased approach that would allow changes to the disposal plans to im-
prove operations, safety, and schedule or reduce cost throughout the
decades-long process of emplacement (see Sidebar 3.4~. Such a phased
decision making process4 also was recommended for dealing with high-
level waste problems at the Hanford Site (NRC, 1996b), and could be
applied to a number of the most important long-term EQ problems.
In addition to filling science and technology gaps, effective long-term
R&D programs also support R&D on technical alternatives when existing
techniques are expensive, inefficient, or pose high risks to human health
or the environment, or where techniques under development have high
technical risks5 (NRC, 1999a; DOE, 2000g). Several recent studies have
found that the EQ business line has not adequately supported such R&D
in the past, and have recommended that strategic R&D on technical al-
ternatives be added to the portfolio (NRC, 1999a; DOE, 2000g). When
information is inadequate to make the decision desired, i.e., to choose
between major policy options, one can seek more information in two
ways. The two paths can be taken in parallel or as alternatives, depend-
ing on the policy situation. One is to initiate R&D (perhaps postponing
the decision). Global climate change illustrates this option. The second is
to take a more modest decision that may yield more information (i.e.,
"experience") and which leaves open the major policy options. This latter
approach does not preclude initiating R&D in parallel.
Finding: Numerous decisions on environmental cleanup, waste
management, materials storage, and facility decommissioning in-
volve complex technical issues for which only limited data and par-
tial scientific understanding exist.
Conclusion: The EQ R&D portfolio is critical to improving decision
making and should be designed to help inform important DOE deci-
sions, including support for technical alternatives in areas of high
cost or high risk.
4 Also commonly referred to as "adaptive management."
5 Technical risk is defined as "the probability that the technique or method fails to ac-
complish the goals and performance requirements set by policy or regulation."
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49
Making Informed Decisions on Nuclear Energy
Today it is not clear how and by which technologies the current
problems facing nuclear energy may be resolved. What actually
happens will depend on how safety, waste disposal, and prolif-
eration concerns are resolved, and whether the greenhouse de-
bate adds increasing importance to nuclear energy's "carbon be-
nignness." (IIASA, 1995, p. 62~.
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Decisions about the future of nuclear power as an energy source in
the United States may be affected by the R&D required for proper man-
agement and subsequent disposal of commercial spent nuclear fuel in a
geological repository. Whereas successful completion of a repository will
not ensure a significant future role for nuclear energy as a power source
in the United States, lack of a successful program could endanger or
prohibit it.
Elements of DOE's EQ R&D portfolio could lead to reductions in the
risks and uncertainties associated with the disposition of spent nuclear
fuel. New technologies, for example, could improve the engineered
package design for containing spent nuclear fuel in a repository (e.g.,
through containers with longer lifetimes) or reduce the quantity of fuel to
be disposed of (e.g., through higher burn-up6 fuel) (DOE, 2000k). If and
when a license application is submitted to the Nuclear Regulatory Com-
mission, the Office of Civilian Radioactive Waste Management plans to
decrease its R&D spending to a level sufficient to support performance
confirmation activities at Yucca Mountain. Additional long-term R&D
could allow the repository design to be refined during the pre-closure
period to improve performance or reduce costs. Similarly, long-term R&D
could help identify and implement measures to build public confidence in
repository performance during the pre-closure period. The magnitude of
the uncertainties and the long-term nature of the potential risks associ-
ated with a geologic repository demand that extensive R&D continue
long after the facility is opened (NRC, 1990~.
Finding: Decisions about the future of nuclear power as an energy
source in the United States may be affected by the R&D required for
proper management and subsequent disposal of commercial spent
nuclear fuel in a geological repository.
Conclusion: Long-term R&D during the pre-closure period could
lead to improved repository performance or reduced costs, and
could help build public confidence in repository performance.
Recommendation: A significant program of long-term R&D to im-
prove repository design and operations and to identify and imple-
ment measures to build public confidence in repository perform-
ance should continue long after a repository is opened.
When considering future emphases for the EQ R&D portfolio, it is
important to consider the impact of R&D carried out as part of DOE's
6 The term "burn-up" refers to the energy output per unit mass of fuel. In general, the
higher the burn-up the lower the amount of fuel that will be necessary to generate a given
amount of energy.
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A Strategic Vision for DOE Environmental Quality R&D
and transport of contaminants in the subsurface. For some of these
overlapping issues, DOE is involved in cooperative efforts with other
agencies, such as the Strategic Environmental Research and Develop-
ment Program and the memorandum of understanding with EPA on
mixed waste issues. Further, some EQ R&D objectives that are ad-
dressed by few other domestic R&D programs, such as management,
treatment, and disposal of high-level waste, are being actively pursued
by parallel programs in other countries. Accordingly, there are significant
opportunities for EQ R&D to benefit efforts outside of DOE and even out-
side of the United States. Similarly, there are many opportunities to lev-
erage the important R&D conducted outside DOE to help address DOE's
EQ problems. In areas where DOE's EQ mission directly overlaps with
the missions of other agencies, such as EPA and the Department of
Defense, DOE should continue to look for opportunities to coordinate its
R&D activities with those agencies.
Findinn: A number of programs in federal agencies outside DOE
and in other countries support R&D closely related to DOE's EQ
mission. Specific areas where there is significant overlap include
remediating contaminated media, reducing waste generation, and
disposing of waste.
Recommendation: DOE should leverage the information and tech-
nologies developed in programs outside DOE and, to the extent
possible, coordinate its EQ R&D with related R&D efforts in other
agencies. It also should make available the information and tech-
nologies developed in the EQ R&D portfolio to industry, other fed-
eral and state agencies, and other countries.
CRITERIA TO EVALUATE THE ADEQUACY OF THE EQ R&D
PORTFOLIO
An important part of the committee's task was to develop criteria that
could be used to evaluate the adequacy of the EQ R&D portfolio. The
committee used its descriptions of the essential functions of an effective
EQ R&D portfolio from earlier in this chapter and the accompanying
findings, conclusions, and recommendations to develop the following
criteria to evaluate the adequacy of the portfolio:
1. There should be no significant gaps in critical areas of sci-
ence and technology that are required to address EQ goals and
objectives.
2. The portfolio should support the accomplishment of closely
related DOE and national missions.
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61
3. The portfolio should include R&D to develop technical alter-
natives in cases where (1) existing techniques are expensive, ineffi-
cient, or pose high risks to human health or the environment; or (2)
techniques under development have high technical risk.
4. The portfolio should produce results that could transform
the understanding, need, and ability to address currently intractable
problems and which could lead to breakthrough technologies.
if
5. The portfolio should leverage R&D conducted by other DOE
business lines, the private sector, state and federal agencies, and
other nations to address EQ goals and objectives.
6. The portfolio should help narrow and bridge the gap be-
tween R&D and application in the field.
7. The portfolio should be successful in improving perform-
ance, reducing risks to human health and the environment, de-
creasing cost, and advancing schedules.
8. There should be an appropriate balance between address-
ng long-term and short-term issues.
9. A diversity of participants from academia, national laborato-
ries, other federal agencies, and the private sector, including stu-
dents, postdoctoral associates, and other early-career researchers,
should be involved in the R&D.
10. There should be an appropriate balance of annual new
starts, extensions of promising R&D, and periodic new initiatives.
Recommendation: DOE should use, at a minimum, these 10 criteria
to evaluate the adequacy of its EQ R&D portfolio.
Most of these criteria require expert evaluations, and therefore will
not provide a simple "yes" or"no" answer as to the adequacy of the
portfolio (the committee discusses a process for obtaining such expert
input in Chapter 4~. Even so, such criteria provide a framework that deci-
sion makers in DOE, the Office of Management and Budget, and Con-
gress could use to set performance goals and measures for the EQ R&D
portfolio and to help prioritize funding decisions. The committee also
chose to frame the criteria in terms of substantive goals for an effective
R&D portfolio, rather than in terms of the resources required to achieve
these goals. The criteria can be directly related to methods to determine
appropriate investment levels, as discussed in Chapter 5.
PRINCIPAL ELEMENTS OF AN EFFECTIVE EQ R&D PORTFOLIO
An important part of the committee's task was to provide advice to
DOE on the principal elements of its EQ R&D portfolio. The committee
approached this task in two ways: (1 ) by developing its own list of princi-
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pal elements and (2) by developing a general methodology that DOE
could use continually to identify and refine the principal elements of the
portfolio. The committee's list of principal elements is presented below,
and the general methodology is discussed in Chapter 4.
These principal elements were derived by analyzing the EQ business
line's most pressing problems, the existing gaps in its R&D portfolio, the
areas presenting the greatest opportunities for improvement, and by ap-
plying the criteria discussed in the previous section. One of the most im-
portant sources of input was the Strategic Laboratory Council's (SLC's)
adequacy analysis of the portfolio (DOE, 20009), which included a de-
tailed analysis of the R&D gaps and opportunities in the portfolio (see
Appendix C). The committee also reviewed a number of recent studies
on aspects of the portfolio (see Appendix F for an annotated bibliography
of the National Research Council studies that were reviewed); solicited
input from experts knowledgeable about DOE's EQ mission; and con-
vened a public workshop in August 2000 to discuss this issue and other
aspects of the committee's charge (see Appendix B for workshop
agenda and list of participants).
In identifying the principal elements, the committee took a high-level,
long-term view of the R&D needed to address DOE's most challenging
EQ problems. The committee did not define elements along existing
DOE program lines, but attempted to identify crosscutting themes that
apply to a number of DOE's program units. The five principal elements
therefore are quite broad. To illustrate the crosscutting nature of these
elements and to document the committee's basis in recommending these
elements, the discussion that follows includes numerous citations to pre-
vious studies from the NRC, DOE, and other groups.8 The topics dis-
cussed below do not constitute a comprehensive list of long-term EQ
R&D needs; rather, it is intended to provide DOE with a useful starting
point from which to build a more effective, long-term R&D portfolio. The
committee describes how DOE could build upon this list of program pri-
orities to achieve and maintain a more strategic EQ R&D portfolio in
Chapter 4.
Recommendation: The EQ R&D portfolio should include, at mini-
-
mum, the following 5 principal elements:
1. Development and evaluation of approaches that reduce the
impacts of wastes on human health and the environment through
generation minimization; processing improvements, including vol-
ume reduction, stabilization, and containment; and disposal;
~ Although the committee has attempted to briefly synthesize the relevant message
from each referenced work, readers interested in more details on any subject are encour-
aged to read the complete reports, where the rationales for conclusions and recommenda-
tions are described.
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63
2. Development of methods and techniques for cutting-edge
characterization and remediation of contaminated media, including
facilities;
3. Improvement in understanding the movement and behavior
of contaminants through the environment, with an emphasis on lo-
cating and tracking the movement of contaminants in the subsur-
face;
4. Development of mechanisms for effective long-term stew-
ardship, including improved institutional management capabilities,
appropriate monitoring, and the means to implement future im-
provements in technology and understanding; and
5. Determination of the risks of DOE wastes and contaminated
media to human health and the environment to improve the bases
upon which regulatory and societal decisions can be made.
Each of these principal elements is described in more detail in the sec-
tions that follow.
Development and Evaluation of Approaches that Reduce the
Impacts of Wastes on Human Health and the Environment
Recent studies have identified significant long-term R&D needs in
three general areas related to reducing the effects of DOE radioactive,
hazardous, and mixed wastes to human health and the environment: (1)
generation minimization; (2) waste processing improvements, including
volume reduction, stabilization, and containment; and (3) disposal.
Generation Minimization
Minimizing the generation of DOE wastes (both new wastes and
secondary wastes produced during remediation activities) is an essential
element of the life-cycle approach to EQ problems emphasized through-
out this report. As discussed previously, reducing the environmental con-
sequences of future nuclear power technologies (both wastes and con-
taminated facilities) has been recognized as an important long-term R&D
need (DOE, 2000k). Moreover, a recent NRC committee and DOE's
adequacy analysis both identified the minimization of the generation of
new wastes as an important and promising area for DOE R&D (NRC,
2000a; DOE, 2000g). DOE's EQ R&D portfolio does not include a spe-
cific program for waste minimization, although EM does support some
R&D projects related to generation minimization during cleanup activi-
ties, and DOE has included some department-wide efforts to reduce
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A Strategic Vision for DOE Environmental Quality R&D
pollution and waste in response to the Greening the Government Execu-
tive Orders (DOE, 2000g; White House, 1999~.
Waste Processing Improvements
A recent NRC committee and the SLC's adequacy analysis both
concluded that long-term R&D is needed to develop high-efficiency sepa-
ration methods for high-level waste in order to minimize the environ-
mental impacts of secondary wastes generated during its processing
(NRC, 2000d; DOE, 2000g). Recent studies also have highlighted the
importance of long-term research on new waste containment and stabili-
zation technologies, particularly for high-level waste (NRC, 1999c,
2000c,d; DOE, 2000g). Long-term stabilization and containment is also a
critical component of DOE's long-term stewardship responsibilities (NRC,
2000a; DOE, 2000g). Other reports have noted the need for long-term
R&D to address the lack of final waste acceptance criteria for high-level
wastes (NRC, 2000g; DOE, 2000g).
Disposal
With regard to the disposal of high-level waste and spent nuclear
fuel, a December 2000 letter report from the Nuclear Waste Technical
Review Board identified the conceptual design for the proposed geologi-
cal repository at Yucca Mountain as one of the major technical chal-
lenges that remain with the program (NWTRB, 2000~. The report stated
that "DOE has not yet demonstrated a firm technical basis for its present
high-temperature 'base case' repository design," and indicated that it
looked "forward to the results of DOE work that is under way to evaluate
the effects of alternative lower-temperature repository designs on re-
pository and waste package performance" (NWTRB, 2000, p. 2~. The
SLC's adequacy analysis identified an R&D gap in collecting long-term
test data to reduce uncertainty with natural and engineered barrier per-
formance, and indicated that"R&D must continue throughout the active
life of the repository to provide data for performance confirmation and to
continue to make improvements" in repository and waste package design
to reduce uncertainties, increase safety, or reduce life-cycle costs (DOE,
2000g, p. 27~.
A panel of the Secretary of Energy's Advisory Board recently com-
pleted an evaluation of emerging non-incineration technologies for the
treatment and disposal of mixed radioactive wastes. The panel con-
cluded that viable alternatives to incineration exist and should be pur-
sued by DOE, along with basic scientific research to develop a new gen-
eration of technologies (DOE, 20001~. DOE's adequacy analysis went
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A Long Term Vision for DOE EQ R&D
65
even further, identifying alternatives to incineration as "the greatest gap
identified among mixed waste technologies" (DOE, 20009, p. 21).
Development of Methods and Techniques for Cutting-Edge
Characterization and Remediation of Contaminated Media
Several recent NRC studies identified long-term research on the lo-
cation and characterization of subsurface contaminants, and characteri-
zation of the subsurface itself, as high priorities (NRC, 2000c,d). Simi-
larly, the SLC's adequacy analysis found that development of improved
sensors and characterization technologies for subsurface contaminants
is a significant R&D gap (DOE, 2000g). Long-term R&D to develop im-
proved characterization techniques associated with the deactivation and
decommissioning of DOE facilities also was identified as a high-priority
need by a recent NRC study (NRC, 2000e); that committee recom-
mended (1 ~ research toward identification and development of real-time,
minimally invasive, and field-usable means to locate and quantify difficult
contaminants significant to deactivation and decommissioning and (2)
research that could lead to development of biotechnological sensors to
detect contaminants of interest (NRC, 2000e).
Recent studies also have identified critical long-term R&D needs to
develop technologies to remediate contaminated groundwater, soil, and
facilities. A number of such studies have concluded that there are signifi-
cant R&D gaps related to the remediation of subsurface contaminants
(NRC, 1999b, 2000c,h; DOE, 2000g). NRC (1999b) concluded with the
following summary of the status of DOE's efforts to address its subsur-
face contamination problems:
DOE faces the challenge of cleaning up massive quantities of
contaminated groundwater and soil with a suite of baseline tech-
nologies that are not adequate for the job. Although recent DOE
budget projections have indicated that most groundwater at DOE
installations will not be cleaned up, federal law requires ground-
water cleanup, and political pressure to meet the federal re-
quirements continues. DOE will thus have to continue to invest in
developing groundwater and soil remediation technologies. (p.
13)
A recent NRC study on deactivation and decommissioning problems
throughout the DOE complex recommended long-term research to de-
velop biotechnological methods to remove or remediate contaminants of
interest from surfaces within porous materials; and toward creating intel-
ligent remote systems that can adapt to a variety of tasks and be readily
assembled from standardized modules (NRC, 2000e).
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A Strategic Vision for DOE Environmental Quality R&D
Improvement in Understanding the Movement and Behavior of
Contaminants through the Environment
The importance of understanding contaminants' fate and transport in
the environment has been duly acknowledged in several recent studies
(NRC, 2000c; DOE, 2000g; NRC, 2000i). In a recent report that exam-
ined DOE's long-term stewardship responsibilities, a NRC committee
came to the following conclusion:
In some cases, the lack of sufficient pre- or post-remediation
characterization of either the wastes or the environments into
which they have been placed can render realistic estimation of
the effectiveness of contaminant reduction measures nearly im-
possible. A key question for each site must be "How much char-
acterization is sufficient to overcome this impasse?" A major
concern is the adequacy of understanding of the physical and
chemical properties of the environment in which contaminants
reside and their transport through the environment over time.
Mathematical modeling of contaminant fate and transport is an
essential tool for long-term institutional management, but its
track record to date at DOE sites, particularly where contami-
nants reside in the unsaturated, or"vadose" zone, has been
mixed. This necessitates integration of a science and technology
program into both site remediation planning ... and the activities
that follow after remediation activities cease.
(NRC, 2000a, p. 6)
A recent NRC report on the Waste Isolation Pilot Plant (NRC, 2000i) em-
phasized the importance of establishing accurate baseline information on
radioactive materials throughout a geological repository environment so
that the movement and behavior of contaminants can be monitored.
R&D on the fundamental approaches and assumptions underlying
conceptual modeling of the subsurface also has been identified as a
long-term R&D need (NRC, 2000c). The SLC's recent adequacy analysis
found that the development of improved understanding of the fate and
transport of contaminants in the vadose zone is a significant R&D gap
(DOE, 2000g). EM is currently developing a science and technology
roadmap for contamination problems in the vadose zone, which should
help DOE plan and organize future R&D efforts in this area. Research to
improve the understanding of the interactions of important contaminants
with materials of interest in deactivation and decommissioning projects
was recommended by a recent NRC study (NRC, 2000e).
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A Long Term Vision for DOE EQ R&D
Development of Mechanisms for Effective Long-Term Stewardship
67
The recent report, Long-Term Institutional Management of U.S. De-
partment of Energy Legacy Waste Sites (NRC, 2000a), comprehensively
examined the capabilities and limitations of the scientific, technical, hu-
man, and institutional systems that DOE expects to use under its long-
term stewardship program. The authoring committee found that "much
regarding DOE's intended reliance on long-term stewardship is at this
point problematic" (NRC, 2000a, p. 3) and urged DOE to plan for site
disposition and long-term stewardship much more systematically than it
has to date. In particular, the committee recommended that "DOE apply
five planning principles to the management of residually contaminated
sites: (1) plan for uncertainty, (2) plan for fallibility, (3) develop appropri-
ate incentive structures, (4) undertake necessary scientific, technical,
and social science research and development, and (5) plan to maximize
follow-through on phased, iterative, and adaptive long-term institutional
management approaches" (NRC, 2000, p. 4~. Among its many recom-
mendations, the committee urged DOE to conduct scientific, technical,
and social science R&D to improve its long-term institutional manage-
ment capabilities. The committee emphasized that long-term R&D should
address not only basic technical questions about the behavior of wastes
in the diverse environments of the nation's nuclear waste sites, but also
the social, institutional, and organizational aspects of long-term man-
agement systems. Similarly, a 1998 study from Resources for the Future
recommended studies to evaluate institutional alternatives for assuring
long-term compliance with institutional controls (Protest and McGovern,
1 998~.
In a January 2001 report to Congress (DOE, 2001 b), DOE identified
the following types of technical uncertainties that are important to the
success and the assessment of the costs of the long-term stewardship
program:
· the nature of the hazards remaining onsite,
· the effectiveness of monitoring,
· the maintenance of barriers and institutional controls,
· the availability of adequate technologies in the future to address
residual contaminants,
· the future development of better remedial and surveillance tech-
nologies, and
· the long-term management of data.
Long-term R&D on such issues could assist DOE in addressing remain-
ing risks to human health and the environment at closed sites (see also
Sidebar 3.1~. The recent SLC adequacy analysis also identified a large
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A Strategic Vision for DOE Environmental Quality R&D
number of R&D gaps and opportunities in the area of long-term steward-
ship (DOE, 20009, see also Appendix C).
Determination of the Risks of DOE Wastes and Contaminated Media
to Human Health and the Environment
The application of a more risk-based approach to DOE's EQ prob-
lems has been a central theme of numerous recent studies (e.g., NRC,
2000f; CRESP, 1999; DOE, 20009~. For example, a recent NRC report
on high-level waste (NRC, 1999d) recommended that:
a risk analysis for the actions recommended above for both HEW
calcine and SBW [sodium-bearing waste] should be conducted
promptly, and should include a comparison of the risks associ-
ated with INEEL HLW calcine and SEW to the risks associated
with site inventories of other radioactive wastes. A sufficiently
rigorous analysis should be performed to establish the current
risks and to assess the changes in risk due to treatment options.
(p. xi)
The Peer Review Committee of the Consortium for Risk Evaluation
with Stakeholder Participation (CRESP) recently examined the use of
risk analysis within EM, and recommended that DOE establish a sound
process for developing a risk evaluation methodology that could meet
EM's short-term and long-term challenges (CRESP, 1999~. CRESP also
identified a number of gaps in the knowledge and methods needed to
develop such a methodology. SLC's recent adequacy analysis agreed
with the needs described in the CRESP report and also identified the
need for improved methods for communicating risks to stakeholders as a
significant R&D gap in the EQ R&D portfolio (DOE, 20009~.
In summary, what is needed are more accurate, comprehensive, and
transparent approaches to assessing and communicating the risks of
DOE wastes and contaminated media to human health and the environ-
ment so that DOE can make more informed decisions that are accepted
by stakeholders. The committee believes that the role for EQ should be
to support R&D projects that directly address an EQ problem, such as
the relative risks of various treatment options for high-level waste or is-
sues associated with the relative risks and public perceptions of dispos-
ing of wastes in a geologic repository. This R&D should build upon and
leverage other relevant research, such as general research on risk by
EPA and other agencies and the Office of Science's research program
on health risks from low-dose exposures.
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A Long Term Vision for DOE EQ R&D
EXTENDING THE EQ R&D PORTFOLIO BEYOND DOE
69
One of the questions that DOE asked this committee to address was
whether the EQ R&D portfolio should address environmental problems
outside DOE that are related to EQ strategic goals. To address this
question, the committee undertook a comparative analysis of related
R&D efforts outside DOE, as described earlier. The committee answers
this question with a qualified "yes." The committee believes it is appro-
priate for the EQ R&D portfolio to address environmental problems out-
side DOE, provided that such R&D is directly related to DOE's EQ mis-
sion. Earlier in this chapter, the committee concluded that DOE's EQ
R&D should be closely coordinated and integrated with relevant parts of
DOE's other business lines. Further, it concluded that DOE should lever-
age the information and technologies developed in programs outside
DOE and should make available the information and technologies devel-
oped in the EQ R&D portfolio to industry, other federal and state agen-
cies, and other countries.
The committee found no basis to conclude that the EQ R&D portfolio
should encompass environmental problems beyond DOE's jurisdiction
that are unrelated to DOE's EQ mission. To the contrary, the committee
concludes that DOE's current EQ R&D portfolio does not address im-
portant long-term EQ problems that are already the responsibility of the
EQ business line. There may very well be cases in which spending lim-
ited R&D resources on problems outside DOE's EQ mission is appropri-
ate, but deciding when this would be appropriate is less a technical
question than a matter of general policy.
Finding: DOE's current EQ R&D portfolio does not adequately ad-
dress important long-term problems that are already the responsi-
bility of the EQ business line.
Conclusion: It is appropriate for the EQ R&D portfolio to address
environmental problems outside DOE if such R&D is directly related
to DOE's EQ mission. At this time, however, the EQ R&D portfolio
should not address environmental problems beyond DOE's jurisdic-
tion that are unrelated to the EQ mission.
MEETING DOE'S LONG-TERM EQ R&D NEEDS
This chapter has discussed the responsibility of DOE for a broad ar-
ray of R&D activities that can have a dramatic impact not only on DOE's
EQ mission but also on its Energy Resources, Science, and National
Nuclear Security missions. The EQ responsibilities of DOE are profound,
broad, and enduring and they encompass a broad range of issues rang-
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A Strategic Vision for DOE Environmental Quality R&D
ing from the dismantlement of nuclear weapons, with its attendant nu-
clear materials management, national security, and disposal issues, to
the environmental impacts associated with nuclear power and other en-
ergy sources. If properly scoped and managed, the EQ R&D portfolio
should provide an improved technical foundation for addressing DOE's
EQ problems, while setting the highest standards for future environ-
mental stewardship.
The committee pointed out in Chapter 2 that inconsistencies and
changes in descriptions of DOE's EQ responsibilities over time may have
interfered with developing broad-based support for its EQ R&D efforts.
Earlier in this chapter, the committee recommended that DOE establish a
long-term, strategic vision for its EQ R&D portfolio. The process of for-
mulating such a vision creates an opportunity to establish clear and con-
sistent objectives that not only provide a baseline for determining an
adequate R&D portfolio but that could make it clear that DOE's EQ mis-
sion is central to ongoing and future programs throughout the depart-
ment. One critical goal, in particular, should be to move away from the
current "going out of business within the next decade" approach to EQ
R&D.
Representative terms from entire chapter:
strategic vision
