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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
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.
42 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
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).
44 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.
A Long Term Vision for DOE EQ R&D 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.
46 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
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-
48 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."
A Long Term Vision for DOE EQ R&D 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~.
50 A Strategic Vision for DOE Environmental Quality R&D 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.
A Long Term Vision for DOE EQ R&D 51 Energy Resources business line, which is designed to promote the de- velopment and deployment of energy systems and practices that will provide current and future generations with energy that is clean, efficient, reasonably priced, and reliable (DOE, 2000fl. Although such R&D is not part of the EQ portfolio, it is generally relevant to DOE's EQ mission be- cause of its potential impact on the environmental effects of different en- ergy sources (including nuclear power) and the overall demand for en- ergy in the United States. Such R&D could affect future demands for nu- clear power and, as a result, change future projections of the quantities and characteristics of associated wastes and contaminated media. DOE's Nuclear Energy Research Advisory Committee recently is- sued a long-term Nuclear Technology R&D Plan (DOE, 2000k) to ad- dress technical issues associated with the safety and economics of fu- ture applications of nuclear energy. The plan outlines a number of long- term goals for DOE's nuclear energy R&D programs in the following ar- eas: basic research, plant operations and control, nuclear power R&D, isotopes and radiation sources, and space nuclear power systems R&D. R&D on future nuclear power systems, such as extended burn-up of fuel in nuclear power plants, could have a major direct impact on DOE's EQ responsibilities. Issues of particular importance include evaluating the effects of extended burn-up on spent fuel production, storage, transpor- tation, and disposal and how to determine whether such spent fuel can meet waste acceptance criteria for a repository or affect repository li- censing and performance. Although the Nuclear Energy's Research Advisory Committee's long- term R&D plan did not explicitly consider R&D to address the environ- mental legacies of nuclear power systems and nuclear weapons produc- tion, it did emphasize the importance of considering the environmental consequences of future nuclear power systems: "Perhaps the most im- portant point is that all future nuclear energy programs should include a focus on environmental protection from the beginning of the program" (DOE, 2000k, p. 56~. It is essential to adopt such a life-cycle approach to the environmental consequences of future nuclear power technologies (i.e., from initial design, through waste production and disposition, to de- activation and decommissioning of the systems at the end of their design life). Elements of DOE's Energy Resources R&D portfolio therefore are directly relevant to DOE's EQ mission. Finding: DOE's R&D on future nuclear power systems could have significant impact on future EQ responsibilities by affecting projec- tions of the quantities and characteristics of associated wastes and contaminated media. Recommendation: DOE should adopt a life-cycle approach to the waste and contamination that could result from future nuclear
52 A Strategic Vision for DOE Environmental Quality R&D power sources in order to integrate EQ R&D with relevant Energy Resources programs. Promoting National Security With the end of the Cold War, national security and non-proliferation objectives led the United States to weapons dismantlement and cessa- tion of weapons testing. This gave rise to dramatically new nuclear mate- rials stewardship responsibilities for the United States and other coun- tries, especially Russia. These new responsibilities, in turn, have changed U.S. needs regarding the storage, processing, possible uses, waste management, and disposal of excess special nuclear materials. In response, DOE established the National Nuclear Security business line, which is designed to enhance national security through the military appli- cation of nuclear technology and reduce the global danger from weapons of mass destruction (DOE, 2000f). There are a number of potential benefits from a successful EQ R&D effort that can have major impacts on the success of DOE's national se- curity mission. The National Nuclear Security business line has six ob- jectives, including two that are directly relevant to the EQ business line: . reduce the global danger from the proliferation of weapons of mass destruction; and ensure that DOE's nuclear weapons, materials, facilities, and information assets are secure through effective safeguards and security policy, implementation, and oversight. Successfully meeting these goals will require close collaboration with the EQ business line. Reducing nuclear weapon stockpiles requires facilities and operations that could create new environmental problems, and the environmental and waste management aspects should be considered up front in program decisions. For example, an option that minimizes wastes or results in wastes that are in a better form for disposal might be prefer- able to one that is perhaps a little cheaper but leaves a bigger waste management or facility cleanup problem. These nuclear materials, re- gardless of their origin, will need to be managed, processed, stored, transported, and ultimately disposed of permanently. National security interests are directly affected by, for example, EQ R&D on processes that could be used to dispose of surplus plutonium by immobilizing it for disposal in vitrified high-level waste (DOE, 2000c). Without effective EQ R&D, the disposition of materials arising from the dismantlement of nuclear weapons could be impeded, undermining national security. This issue illustrates the importance of effective link- ages among different DOE program units (Offices of Environmental
A Long Term Vision for DOE EQ R&D 53 Management [EM]; Civilian Radioactive Waste Management; Nuclear Energy, Science and Technology; and the Office of Fissile Materials Dis- position) and R&D portfolios (EQ, National Nuclear Security, and Energy Resources). The success of DOE's national security mission, therefore, is dependent upon DOE's EQ mission, which requires that the latter have an effective long-term R&D program. Findinn: There are a number of potential benefits from a successful EQ R&D effort that could have a significant impact on U.S. national security. Conclusion: DOE's R&D planning efforts should consider the value of EQ R&D to DOE's national security mission and the potential im- pacts on EQ R&D requirements arising from national security mis- · · slon c eclslons. Helping to Bridge the Gap Between R&D and Application Outside reviews have found that information and technologies devel- oped by the EQ R&D portfolio often are not promptly used in the field by DOE contractors. In a 1997 NRC report on DOE's Environmental Man- agement Science Program (EMSP), for example, the committee found that the movement of new knowledge and insights from investigators to full-scale application is a slow and diffuse process (NRC, 1997~. A num- ber of reports from the U.S. General Accounting Office have discussed problems that have hindered the movement of technologies developed and demonstrated within EM's Office of Science and Technology into the field (GAO, 1996, 1998~. The problem of achieving effective implementa- tion of new technologies is not unique to DOE (e.g., NRC [2000b] dis- cusses this problem in the area of weather prediction), and its causes are numerous and widespread. Several factors specific to DOE exacerbate the problem of deploying new or novel technologies. 1. At many sites cleanup proceeds under operational contracts that do not provide any incentive for contractors to adopt new technologies- in fact, contractors' incentives often run counter to adopting new tech- nologies that accelerate a project, because the longer a contract lasts the more it is worth (NRC, 1 999b). 2. Legal or regulatory requirements may, for good reasons, specify a certain technological approach or timetable for cleanup actions. Pre- scribing a particular technology or schedule, however, can effectively foreclose innovation.
54 A Strategic Vision for DOE Environmental Quality R&D 3. Political pressures may prompt or prevent deployment of tech- nologies regardless of whether they make sense technically. 4. New technologies may remain unused because site managers prefer well-established technologies, because they are familiar with them and because they are unwilling to accept the higher risk of violating le- gally mandated schedules attendant with adopting novel approaches. 5. Technology transfer is frequently impeded by weak feedback channels between EQ R&D and operational personnel (DOE, 2001a). For example, one of the principal channels used in EM, the Site Tech- nology Coordination Groups,7 have been criticized as being overly for- mal, complex, cumbersome and slow, and focused more on developing new projects than promoting effective coordination and deployment (NRC, 1999a). These factors have a common theme: Constraints beyond and dis- tinct from the specific EQ problem being addressed override the motiva- tion to deploy technologies derived from EQ R&D. In some instances, the causes are outside the control of EQ R&D managers (e.g., contractual requirements); in others, R&D managers could act to reduce the discon- nect that arises between R&D and deployment (e.g., improving contacts with future users to ensure deployments). In either case, EQ R&D must remain focused on the real problems, while at the same time DOE man- agement must develop effective mechanisms to eliminate or at least buffer the EQ R&D portfolio against systemic impediments such as con- tractor parochialism and contractual disincentives. The discussion above touches on many reasons why R&D often is not applied in the field. The particulars vary from site to site and case to case. Accordingly, the remedies may be many and varied. One potential approach to this problem would be to explore a variety of remedies on an experimental (e.g., limited and reversible) basis at a variety of sites. The success of each would be monitored and evaluated, and results docu- mented and disseminated. In this way a set of validated approaches could be developed which could be modified for local situations and adopted as appropriate. Such an approach builds on local experience to avoid the common "one size fits all" failure. Findinn: Information and technologies developed in the EQ R&D portfolio often are not promptly used in the field by DOE contrac- tors. 7 EM's Office of Science and Technology formed Site Technology Coordination Groups at each major site to interact with local contractor personnel and others to obtain that site's environmental restoration and waste management technology needs.
A Long Term Vision for DOE EQ R&D 55 Conclusion: The nap between R&D and application has many causes, some of which can be addressed by EQ R&D managers while others are outside their control. Recommendation: DOE's EQ R&D managers should provide con- tinual feedback to users (and accept input from users) and include sufficient funds and incentives to improve application of R&D re- sults where they will solve EQ problems. Supporting Research and Training in Relevant Fields of Science and Engineering A strong EQ R&D portfolio requires technically skilled individuals. Research and training programs in nuclear engineering, radiochemistry, and related fields of science and engineering have been decreased sub- stantially in recent decades (DOE, 2000k). An effective, adequately funded R&D portfolio that includes new starts, extensions of promising R&D, and periodic new initiatives has the potential to promote the devel- opment of the future nuclear and environmental scientists and engineers required to address the long-term problems described in this report. For example, undergraduate and graduate students with an interest in envi- ronmental and nuclear fields (and their advisors) must view the EQ R&D portfolio as providing sustained support for "cutting edge" R&D to ad- dress important national problems. The portfolio needs to attract and re- tain a cadre of top-quality researchers in academia and the national labo- ratories who are knowledgeable and committed to DOE's R&D needs, and help support the students, postdoctoral associates, and faculty nec- essary for the enduring mission. In addition, DOE needs to help develop people with practical training in the handling of hazardous materials, op- eration of facilities containing such materials, packaging, and transporta- tion. As discussed earlier, DOE's EQ strategic objectives have not been consistently and clearly articulated in high-level DOE planning docu- ments (see discussion in Chapter 2~. To attract and retain top-tier scien- tific and engineering talent, the R&D portfolio must have a clear vision and stable funding. Enhancing the stability of funding could be achieved by a variety of means, such as ensuring that new funding cycles occur on a regular, if not annual, basis and by making longer-term grants avail- able to researchers. Issues associated with R&D funding levels are dis- cussed more fully in Chapter 5. Findinn: Research and training programs in relevant fields of sci- ence and engineering have been substantially reduced in recent decades.
56 A Strategic Vision for DOE Environmental Quality R&D Conclusion: An effective and adequately funded EQ R&D portfolio that includes new starts, extensions of promising R&D, and peri- odic new initiatives could promote the development of the future scientists and engineers required to address DOE's long-term EQ problems. Recommendation: The EQ R&D portfolio should include stable support for research and training in relevant fields of science and engineering, including periodic new initiatives on important EQ problems. The R&D centers recommended in Chapter 4 would be a good way to develop such people. It should be noted, however, that the EQ R&D portfolio cannot be expected to provide all of the support that is neces- sary to develop the future scientists and engineers to address DOE's long-term EQ problems. One of the objectives of DOE's Science busi- ness line is to provide the "scientific workforce...that ensures success of DOE's science mission and supports our Nation's leadership in the physical, biological, environmental, and computational sciences" (DOE, 2000f, p. 7~. Therefore, DOE's Office of Science also could be expected to help meet these needs. Other important sources of federal support for research and training in relevant areas of science and engineering in- clude the National Science Foundation, the Environmental Protection Agency (EPA), and the Department of Defense. Leveraging Results from DOE's Office of Science DOE's Science business line is dedicated to"advancting] the basic research and instruments of science that are the foundations for DOE's applied missions, a base for U.S. technology innovation, and a source of remarkable insights into our physical and biological world and the nature of matter and energy" (DOE, 2000f, p. 7~. The Science business line funds basic research in four central areas: (1) fueling the future (clean and efficient energy sources), (2) protecting our living planet (environ- mental impacts of energy production); (3) exploring matter and energy, and (4) extraordinary tools for extraordinary science (e.g., multidisciplin- ary research). DOE's 2000 strategic plan also directs the Office of Science (SC) to "support long-term environmental cleanup and management at DOE sites...." (DOE, 2000f, p. 7~. SC includes a number of basic research programs that are related to DOE's EQ mission (see Table 3.1), particu- larly in its Office of Basic Energy Sciences (BES) and the Office of Bio- logical and Environmental Research (BER). Among other programs, the BES supports projects to improve current understanding and to mitigate
A Long Term Vision for DOE EQ R&D 57 the environmental impacts of energy production (DOE, 2000b). Areas of particular importance to the EQ R&D portfolio include the geoscience, separations science, and materials science and engineering research programs. The BER focuses on research designed to advance environ- mental and biomedical knowledge connected to energy (DOE, 2000b); examples of areas of relevance to the EQ R&D portfolio include the Natural and Accelerated Bioremediation Program and the Environmental Molecular Sciences Laboratory. It is important to recognize that although some SC research is rele- vant to EQ R&D, the main drivers for most SC research are not EQ problems or the problems addressed by DOE's other mission areas. Rather, SC's research is inherently"basic" (i.e., it looks within science for its research questions and justifications). Put another way, SC sees re- search as an end in itself, but for EQ research is a means to an end. These different world views make cooperation and coordination difficult, and unlikely without conscious, continual effort. The EMSP program, which has been noted as making important research contributions by a number of recent studies (DOE, 2001a; NRC, 2000c, 2001d,e) demon- strates that such cooperation and coordination are possible. Findinn: Significant elements of DOE's Science portfolio are di- rectly related to components of the EQ R&D portfolio. Conclusion: Relevant research supported by DOE's Office of Sci- ence should be integrated and coordinated with EQ R&D. Leveraging and Supporting Relevant R&D Programs Outside of DOE To provide a broader context and as part of its task to consider whether the EQ R&D portfolio should incorporate related issues outside DOE, the committee considered relevant R&D programs in other agen- cies, the private sector, and other nations. The committee gathered in- formation during its August workshop, through Internet searches and direct communication with program managers, and by reviewing recent studies examining related R&D programs (e.g., NRC, 2000c; DOE, 2000g). Summaries of a number of related R&D programs are provided in Appendix E. This analysis was necessarily limited, and the list of R&D programs in Appendix E and the discussion that follows, should be read with this caveat in mind. A recent NRC report, Research Needs in Subsurface Science (NRC, 2000c), identified 18 federal R&D programs in 8 agencies that support research "closely related" to DOE's EMSP research to solve subsurface contamination problems at its facilities. Thus, just in this one area, there
58 A Strategic Vision for DOE Environmental Quality R&D TABLE 3.1 Related Research Activities Sponsored by DOE's Office of Science - Research Activity Natural and Accelerated Bioremediation Re search Program Cleanup Research Waste Management Heavy Element Chemistry Chemical Energy and Chemical Engineering Analytical Chemistry Instrumentation Separations and Analysis Materials Chemistry Mechanical Behavior and Radiation Effects Health Risks from Low Dose Exposures Environmental and Molecular Sciences Labo- FY 00 Budget (million $) 25.2 FY 01 Budget Request (million $) 21.1 3.4 2.7 8.1 7.4 10.0 5.8 14.6 27.6 16.4 11.7 32.4 6.7 9.0 4.6 12.6 25.8 16.6 18.3 28.8 ratory Geosciences 15.0 15.2 Energy Biosciences 25.0 28.0 Source: DOE 2000d. are numerous related programs in other federal agencies. The commit- tee achieved similar results in its broader, admittedly limited, review of R&D programs that address environmental problems closely related to those in DOE's EQ business line. The range of issues addressed and the number of related programs in other federal agencies and abroad is il- lustrated by the following examples: · The Strategic Environmental Research and Development Pro- gram is the Department of Defense's counterpart to the DOE EQ R&D portfolio, and is operated in conjunction with DOE and EPA, as well as other federal agencies. The program supports, for example, R&D to de- velop improved approaches and processes to decrease the quantity of disposed wastes; to increase effective waste management efforts; and to decrease life-cycle, safety, and pollution impact costs. The Environmental Security Technology Certification Program, also in the Department of Defense, demonstrates and validates promis- ing innovative technologies in the areas of environmental cleanup and compliance, pollution prevention, alternative waste processing technolo- gies, and detection and remediation of unexploded ordnance. .
A Long Term Vision for DOE EQ R&D 59 · The U.S. Nuclear Regulatory Commission's Radiation Protec- tion, Environmental Risk and Waste Management Branch develops, plans, and manages research programs related to the movement of ra- dionuclides in the environment and consequent dose and health effects to the public and workers as a result of nuclear power plant operation, facility decommissioning, clean-up of contaminated sites, and disposal of radioactive waste. EPA's Waste Research Strategy addresses issues pertaining to the proper management of solid and hazardous wastes and the effective remediation of contaminated media. It focuses on four research areas: (1) contaminated groundwater; (2) contaminated soils and the vadose zone; (3) emissions from waste incinerators; and (4) active waste man- agement facilities. . . EPA's National Risk Management Research Laboratory con- ducts research on methods to prevent and reduce risks from pollution that threatens human health and the environment. Its projects include evaluating the cost-effectiveness of methods for prevention and control of air, land, and water pollution; remediation of contaminated media; and restoration of ecosystems. · EPA's Superfund Innovative Technology Evaluation Program fo- cuses on the development of alternative or innovative treatment tech- nologies. . EM's Office of Science and Technology and EPA's Office of Solid Waste recently signed a memorandum of understanding to improve cooperation on the development of technical solutions and regulations to address environmental problems associated with mixed wastes. . The Electric Power Research Institute operates a decommis- sioning technology program designed to assist utilities in minimizing the cost of decommissioning through enhanced planning, application of les- sons learned by other utilities with retired plants, and use of advanced technology. Projects include development of technologies for chemical decontamination, site characterization, and concrete decontamination. · There are a number of R&D programs in other countries, such as Britain, France, and Japan, that focus on disposal of radioactive wastes particularly high-level radioactive waste (NRC, 2001~. · The National Institute of Health's Superfund Basic Research Program conducts research on the human health and ecological risks of hazardous substances and promotes the development of new, cost- effective environmental technologies. In short, there are numerous U.S. government R&D programs that are closely related to R&D activities supported by the EQ business line. Areas of significant overlap include remediating contaminated ground- water and sites, reducing waste generation, and understanding the fate
60 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.
A Long Term Vision for DOE EQ R&D 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-
62 A Strategic Vision for DOE Environmental Quality R&D 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.
A Long Term Vision for DOE EQ R&D 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
64 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
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).
66 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).
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
68 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.
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-
70 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.
