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U.S. 
        Department of Energy
    
 
    
POLICY
  
  
 
    
 
Washington, 
        D.C.
    
 
    
 
      
DOE 
        P 455.1
  
  
 
    
 
    
Approved 
        7-15-03
  

Subject: USE OF RISK-BASED END STATES

                               
PURPOSE AND SCOPE: 
                               
The purpose of this policy is to focus the Department line management officials on
conducting cleanup that is aimed at, and achieves, clearly defined, risk-based end states. 
Risk-based end states are representations of site conditions and associated information that
reflect the planned future use of the property and are appropriately protective of human
    health and the environment consistent with that use.
 
                               
The Department of Energy (DOE) is striving to improve the effectiveness of the cleanup
program by focusing our efforts on clearly articulated and technically defensible and
achievable goals.  These goals should be grounded in the vision for the site at the end of the
cleanup effort (the "end state"), which in turn should be driven by the expected future land
use.  The Department will complete cleanup work quicker, safer, and more efficiently when a
vision of risk-based end states drives its site assessment, remedy selection, and actions to
assure long-term protectiveness.  With this approach, we can focus our cleanup efforts so that
         they are both cost effective and protective.
                               
This policy is intended to be consistent with and emphasizes the provisions in the
Comprehensive Environmental Response, Compensation and Liability Act (CERCLA), the
Resource Conservation and Recovery Act (RCRA), and the Atomic Energy Act, that either
explicitly or implicitly authorize the consideration of future land use and risk in making
cleanup decisions.  Emphasis is needed because there has been uneven progress at DOE sites
in implementing cleanup strategies that integrate both risk and future use considerations. 
This risk-based end state approach attempts to gain a common acceptance of the site-wide
post-remediation future prior to individual remedy evaluation and selection actions.
 
                               
This approach applies to all sites currently undergoing cleanup, including those under the
authority of the National Nuclear Security Administration.  It is recognized that individual
sites are at different stages of cleanup, have attained these goals to varying degrees, and may
have operational constraints.  Once sites develop their risk-based end state vision, they will
re-evaluate their cleanup activities and strategic approaches to determine if it is appropriate
to change site baseline documents and renegotiate agreements.  Sites will then work with
their regulators to modify, as needed, their cleanup strategies, cleanup agreements and
baselines.  Consistent with those modifications, sites will update their cleanup baselines and
associated performance plans to reflect the risk-based end state vision of the site.
 
                               
POLICY:  
                               
In implementing this policy, each site undergoing cleanup will be compliant with applicable
                  requirements.  In addition:
                               
     
A risk-based end state vision will be formulated in cooperation with regulators, and in
consultation with affected governments, Tribal nations, and stakeholders (as
                         appropriate);
                               
     
The vision will be followed-up with a site risk-based end state implementation strategy
that includes an assessment of current cleanup strategies and baselines to align them
                with the end state vision; and
                               
     
The site's cleanup strategy, and baseline will be revised, as needed, using a graded
approach to be consistent with the end state strategy and governing legal requirements.
                               
IMPLEMENTATION:  
                               
Efforts to develop and achieve risk-based end states shall incorporate the following
                         requirements:
                               
     
The Department shall continue to comply with applicable Federal, state, community,
and treaty requirements when proceeding with this effort, including but not limited to
RCRA, CERCLA, the National Contingency Plan and its Natural Resource Damage
   Assessment provisions, and other applicable requirements.
                               
     
End states should be based on an integrated site-wide perspective (including the
current and future use of surrounding land), rather than on isolated operable units or
release sites.  This is not a license to do less at individual release sites, but rather to
better link narrowly considered decisions to a larger perspective.  Multiple land use
              will be appropriate at some sites.
                               
     
End states are the basis for exposure scenarios developed in baseline risk assessments
that help establish acceptable exposure levels for use in developing remedial
            alternatives in the feasibility study.
                               
     
Risk reduction measures, life-cycle costs, uncertainties, and other relevant policy
factors of the decision shall be made visible in site cleanup strategies and remedy
                      decision documents.
                               
     
When CERCLA is the response authority, all nine CERCLA remedy selection criteria
shall be evaluated.  Remedies passing the threshold criteria will require a complete
evaluation of the balancing criteria.  Modifying criteria shall also be considered in
                       remedy selection.
                               
     
When the selected remedy results in the need for long-term surveillance and
maintenance on site, risk control concepts should include layered and redundant
institutional controls, commensurate with the risks to maintain protectiveness.  Long-
term surveillance and maintenance methods shall be designed to assure that the
contaminants remain isolated to the extent practicable, and that human health and the
                   environment is protected.
                               
     
Regulators shall be asked to concur and affected and interested governments shall be
consulted in the development of the risk-based end states.  Site managers will establish
communication approaches for working with stakeholders for all phases of this effort
     in conjunction with preparation of their site vision.
                               
     
To ensure protection of human health and the environment once the end state is
achieved the Department shall address how it manages the impacts of future risks,
uncertainties, and vulnerabilities, including the creation of contingency plans and the
identification of responsible parties in the event that site conditions change after
cleanup is completed.  In the case of CERCLA sites, such plans should be integrated
                  with the five-year reviews.
                               
This policy will result in re-evaluation of the Department's cleanup activities.  The
Department's goal is to ensure that its actions are both appropriate for, and aligned with, the
end state conditions it is striving to achieve.  The evaluation of the site cleanup strategy and
baseline may result in the need to change the existing regulatory agreements (such as Federal
Facility Agreements).  DOE will work with and seek the early and active concurrence of
regulators and the involvement of appropriate community, tribal governments and the public
  in modifying cleanup baselines and regulatory agreements.
 
                               
The Department's sites are at different stages in their cleanup efforts and are applying a
variety of approaches to developing and achieving goals that are consistent with risk-based
end states.  Consequently, defining or redefining the end state for some sites may be difficult,
or in other cases unnecessary.  The Office of Environmental Management will develop and
issue guidance that describes how a risk-based, end state vision should be formulated and
what it should contain and propose a departmental strategy for graded  implementation.  The
guidance and strategy will be developed in cooperation and concurrence from affected
Program Secretarial Offices and General Counsel.   DOE officials responsible for these sites
will need to assess their current approach and the level of compliance with this policy and the
guidance in a rigorous manner.   Site risk-based end state visions and related strategies or
plans must have the concurrence of the responsible Headquarters lead program secretarial
office (LPSO), and sites shall obtain concurrence from affected program offices.  Except at
those sites where the NNSA is LPSO, or has property at a site where NNSA is not the LPSO,
the NNSA site manager will coordinate NNSA visions and plans with affected PSOs. NNSA
land use perspectives for their facilities will prevail at all sites (or portions of sites) where the
NNSA mission is impacted pursuant to Section 3213 (a)(2) of the National Nuclear Security
Act.  The site vision and strategy for implementation of risk-based end states should promote
regulator and stakeholder acceptance of risk-based end states for cleanup decisions.
                               
DOE line management will be responsible for implementing this Policy and for ensuring that
risk-based end states are addressed as part of relevant integrated safety management and
              environmental management systems.
 
                               
                               
BY ORDER OF THE SECRETARY OF ENERGY:
                                  
                         KYLE E. McSLARROW
                         Deputy Secretary