T

Extramural $ ($335 Million)

$Milions

FIES

Figure 4a. Classification of research for EPA natiohal programs

16



|

Extramural Dollars ($335 Million)

{

Technical Assistance (9%)

Development (19%)

Fundamental (29%)

Application Directed (43%)

Research Staff (1922 FTEs)

Technical Assistance (14%)

Development (16%) £

Fundamental (26%)

Application Directed (44%)

Figure 2. Classification of ORD research extramural resources and in-house staff

account for $80 million or 84% of all fundamental
research. These research themes also have the highest
percentages of resources devoted to fundamental jre-
search, ranging from 59% of the Exploratory Research
and Special Environmental Problems theme to 29% of
the EMAP theme. !

Application Directed Research

Application directed research is not as concentrated
within a select group of research themes as fundamental
research. The Air Pollution, Environmental Cleanup,
EMAP, Protecting Ecological Resources, and Explor-
atory Research and Special Environmental Problems



Executive Summary

The FY 1993 Appropriations Bill directs EPA to re-
view its basic and applied research activities and to
submit a report outlining expenditures to date and future
proposed budgets for these research classifications. The
Conference Committee Report states, “The Committee
believes that, for a number of reasons, EPA has failed to
sufficiently address the issue of basic research. Due to the
large number of regulatory and statutory mandates, the
Agency has focused on short-term applied research.
Basic research can be used to identify and assess environ-
mental problems which pose the greatest risk to human
health and the environment.”

This report classifies research projects as one of the
following four types: fundamental research; application
directed research; development; and technical assistance.
(See page 3 for definitions of these categories.) The term
“fundamental research” is used instead of “basic re-
search.” Basic research, as commonly defined, is con-
ducted to attain knowledge without applications towards
specific processes or products in mind. Because ORD’s
research always has a mission-directed purpose, its work
does not fit the traditional definition of basic research.

In FY 1993, a total of $506 million and 1922 full-time
equivalents (FTEs) will be devoted to research and
development activities within the Office of Research and
Development (ORD). These totals reflect ORD's FY 1993
Operating Plan prior to the overall reduction in Federal
workyears directed by the President. This includes $335
million for extramural research and $171.5 million for
intramural expenses. The intramural portion of the bud-
get covers salaries, benefits, and equipment. The extra-

mural portion of the budget covers research funded
through contracts, grants, or cooperative agreements.
This report provides information on the classification of
extramural dollars and in-house (FTEs) resources.

During FY 1993, ORD has allocated $96 million and
494 FTEs for fundamental research, $144 million and
847 FTEs for application directed research, $64 million
and 303 FTEs for development activities, and $31 mil-
lion and 279 FTEs for technical assistance. The largest
portion of FY 1993 resources is allocated to application
directed research (approximately 43%). Fundamental
research accounts for approximately 29%—develop-
ment, 19%—and technical assistarice, 9%. Research
exists on acontinuum from very basic research to applied
research and development, and therefore, some research
projects have characteristics of both fundamental and
application directed research. Consequently, the above
percentages should not be viewed as precise, but rather as
estimates of the types of research conducted.

The report concludes that the overall balance of re-
search and development, when distributed over the spec-
trum from basic to application directed research is the
result of competing demands placed on ORD. While
budget and program design for fundamental research
have increased over the past few years, a significant
portion of ORD's budget directly responds to the needs of
EPA national programs for developing environmental
policies and regulations, the needs of the private sector
for technology evaluation, and the needs of State and
local governments for technical assistance.



which form the bases for control strategies to meet
NAAQS, monitor acid deposition in accordance with the
Clean Air Act Amendments of 1990, and develop source
test methods to accurately monitor emissions of toxic air
pollutants. These major applied research efforts are in
direct support of statutory requirements or high priority
research needs of the EPA Air Pollution program.

EMAP is discussed in the fundamental research sec-
tion of this part. As noted, it is the fourth largest program
with respect to fundamental research and the second
largest for application directed research. Another signifi-
cant application directed research project involving re-
source management is the Midwest Agricultural Surface/
Subsurface Transport and Effects Research (MASTER)
program, jointly implemented with USDA and USGS.
This program involves research on a watershed-based
approach that identifies management systems for sus-
taining agricultural productivity while protecting eco-
logical and water resources.

In addition to major applied research efforts in Air
Pollution and EMAP, significant applied research efforts
are underway to address the high national priority of
cleaning up hazardous waste sites. One major research
program in this area provides support for research on
emerging technologies that have potential to signifi-
cantly improve performance in hazardous waste site
remediation. Applied research is also being conducted to
develop bioremediation techniques for treating hazard-
ous wastes. Bioremediation research will target five
waste types, based on their prevalence on the National
Priority List (NPL) of Superfund sites. This research
involves the study of microbial action, innovative engi-
neering approaches for field application, and approaches
to evaluate the performance of bioremediation.

Applied research concerning Global Climate is also
being conducted. One significant research project ad-
dresses approaches to controlling large sources of meth-
ane emissions from landfills, coal mines, and anaerobic
digesters. This research will develop and optimize con-
trol approaches and lead to field demonstrations.

In addition to the above, there is research underway on
approaches to identify and reduce toxic metal emissions
from incineration, risk assessment methodologies, expo-
sure assessment techniques, and improvement and de-
velopment of subsurface monitoring techniques.

Development

Research involving Environmental Cleanup is by far
the largest component in the development area. The
Superfund Innovative Technology Evaluation (SITE)
program is the largest single development research pro-
gram. This research promotes the development of prom-
ising innovative technologies for cleanup of Superfund
sites. During pilot and field demonstrations, innovative

technologies are evaluated and are made available to the
private sector. The evaluations are documented and made
available to.the private sector. These evaluations provide
an unbiased assessment of performance, thus, fostering
the use of successful technologies. A wide variety of
technologies are evaluated under this program, including
chemical, physical, biological, and thermal technolo-
gies. In addition to the SITE program, developmental
research concerning new and innovative technologies to
prevent or cleanup environmental problems from mining
activities is being supported.

In addition to the hazardous waste technologies a
smaller research program, known as the Municipal Solid
Waste Innovative Technology (MITE) program, sup-
ports the development of innovative technologies for
municipal solid waste. This program operates much the
same as the SITE program. Research is currently focused
on recycling strategies and technologies.

Development research is also conducted on innovative
technologies under the Small Business Innovative Re-
search Program. This program is based on competitive
solicitations of proposals to develop innovative con-
cepts. Research is conducted in a wide variety of areas.
Past solicitations include areas such as drinking water
treatment, industrial wastewater treatment, in situ treat-
ment of hazardous wastes, air pollution control and oil
spill prevention.

In addition to the above, other projects include devel-
opment of the Limestone Injection Multistage Burner
(LIMB) global climate mitigation, low NO, burner de-
velopment, and underground storage tank monitoring.

Technical Assistance

Technical assistance is provided both through a cen-
tralized ORD program and also separately by all compo-
nents of ORD. As indicated by the resource distribution
charts, the resources allocated to technical assistance are
the most evenly distributed among the research areas.
The centralized effort, conducted under the Innovative
Technology and Outreach research theme, involves the
preparation and distribution of ORD technical publica-
tions and the conduct of numerous technology transfer
programs and seminars designed to improve the cost
effectiveness of complying with environmental regula-
tion, particularly for small businesses and municipalities.

In addition to the centralized effort, ORD researchers
provide technical assistance to many clients. Assistance
is provided concerning indoor air pollution, innovative
technologies, human health risk assessment, chemical
methods, fate and transport modeling, ecological risk
assessment methods and biotechnology. In all of these
areas, EPA scientists provide expert advice and assis-
tance to EPA, State, and local environmental programs
as well as to the private sector.



exploratory grants research program the closest to a
traditional basic research program of all the research
programs administered by EPA.

ORD has assessed the targeting of resources forexplor-
atory grants. As a result, the first priority of the grants
program is to increase the emphasis on tesearch in
environmental biology. This includes support for, re-
search in areas, such as: biomarkers for the ecological
health of freshwater, marine, estuarine, and terrestrial
systems; in situ bioremediation; and reconstruction of
wetlands. Environmental engineering research on inno-
vative methods to prevent pollution, encourage recycling
and reuse, and treat wastes is also encouraged. Funda-
mental research concerning environmental health, ‘and
the chemistry and physics of water and air is also sup:
ported.

In addition to investigator-initiated grants, a competi-
tive Exploratory Environmental Research Centers (ERC)
program is supported. The purpose of this program is to
address complex environmental problems that need long-
term research. Interdisciplinary and collaborative efforts
are encouraged. Four research centers are in place, each
with a different research theme that will guide its opera-
tions for a decade. The four research themes are: 1)
sources, transformation, and control of airborne organic
compounds; 2) multiscale experimental ecosystem, re-
search; 3) clean manufacturing and pollution prevention;
and 4) ecological health research. Fundamental research
conducted under this program includes identifi cation of
biomarkers for ecological health, ecological assessment
Studies, fundamental studies on adsorption-desorption
processes in sediments, basic studies on the decomposi-
tion of chemicals in the environment, material substitu-
tion studies that support pollution prevention goals,
innovative separation technology for solids and Tiquids,
and bioremediation studies.

EMAP is the fourth largest research area with respect
to fundamental research and the second largest for appli-
cation directed research. EMAP represents a new direc-
tion for ORD research. This program will periodically
assess and document the condition of the nation’s eco-
logical resources on a regional scope appropriate to
large-scale environmental problems. Using selected eco-
logical response indicators, EMAP will estimate current
Status and trends of resource condition, evaluate overall
ecosystem health, and make associations between job
served responses and selected indicators of natural land
anthropogenic stress. Major research efforts are under-
way with a number of cooperating agencies to implement
this program for near-coastal ecosystems, inland aquatic
ecosystems, and terrestrial ecosystems. Research in all of
these areas will determine the appropriate monitoring
scheme, identify indicators, and test monitoring, analy-
sis, and assessment methodologies. EMAP is intended to

be a long-term effort, and it will be necessary to gather
information over decades to meet the objectives of the

program.

EMAP is a difficult program to classify in terms of
fundamental and application directed research. On the
conceptual level, EMAP will produce base level knowl-
edge about the condition and trends of ecological sys-
tems on a scale and in a way that has never been done
before. In addition, implementation of EMAP will re-
quire that fundamental research be conducted in many
areas. For example, to identify indicators of condition or
exposure, aggregated indices at the upper level of eco-
logical organization, such as communities and land-
scapes and integrated assessment methodologies, will be
studied. Viewed in this way, EMAP could be classified
as fundamental research. Conversely, EMAP also is
primarily application directed, as the program uses exist-
ing scientific methods and knowledge to deliver data and
assessments on ecosystem status and trends. EMAP, in
effect, straddles both fundamental and application di-
rected research.

Several major efforts are underway to improve human
health risk assessment capabilities. Research is being
done to develop data and models that estimate the actual
dose that tissues within the human body experience as the
result of environmental exposures to toxic chemicals.
Environmental concentration is often used as a poor
surrogate for human exposure. This effort will improve
our ability to determine the environmental concentra-
tions that are harmful to humans. In addition, research to
develop and evaluate models that facilitate the extrapo-
Jation from animal studies to estimate human risk is being
conducted.

Fundamental research being conducted on human ex-
posure will also improve human health risk assessments.
A significant effort is underway to design and implement
a national exposure monitoring effort known as the
National Human Exposure Assessment Survey
(NHEXAS). The major product of this long-term re-
search effort is a comprehensive human exposure data-
base, containing monitoring data and information
collected during field studies, activity pattern surveys,
model development, and data from other sources. This
effort will allow EPA to evaluate current assumptions
about human exposure levels, compare the relative risk
of environmental agents, and identify existing and emerg-
ing problems.

Finally, fundamental research is also conducted in the
Hazardous Substances Research Centers (HSRC). This
program consists of five competitively established multi-
university centers. These centers conduct fundamental
research in five areas: 1) incineration and in situ remedia-
tion technology; 2) bioremediation, including engineer-



emphasized the importance of the role of science in
EPA.? Both of these reports recognize science as |the
foundation for credible environmental decision making.
While all parts of EPA continually strive to strengthen
the scientific basis for environmental decision making
and assessment, ORD, as the research leader in EPA, ] pss
the major responsibility.

Seven strategic goals? are now providing the Tonge term
future directions for the ORD program:

* Forge a center of scientific excellence. ORD will
expand its role as a nationally and internationally
recognized center of scientific excellence.

* Ensure that the research program reflects \the
highest riskareas. ORD willimprove its technical
and scientific support for the Regions and national
programs that implement statutory mandates to
provide the most significant risk reduction.

¢ Improve methods for determining relative risks.
Consistent and high-quality risk assessment meth-
odologies will be developed and used for setting
priorities for national environmental policy, as
well as for controlling exposure to individual pol-
lutants. ORD’s risk assessment research will con-
tinuously improve the science and knowledge base
needed for reducing the uncertainty associated
with risk assessments. j

* Place greater emphasis on ecological research
and ecological risk assessment. Currently, we un-
derstand relatively little about how pollution’ af-
fects complex ecosystems over time. ORD’s
Environmental Monitoring and Assessment Pro-
gram (EMAP) is gathering information on ‘the
nation’s ecological condition. This information,
our “national ecological report card,” is critical for
the Agency’s efforts of focusing its risk reduction

projects on a geographic basis. f

* Examine innovative approaches to risk reduction,
both for pollution prevention and pollution con-
trol. Research in this area will improve our under-
standing of the fundamental mechanisms: of
pollution control, develop innovative control téch-
nologies, and continue ORD’s critical support'for
the Agency’s pollution prevention program. |

¢ Provide information to all segments of society: As
part of the Agency’s strategy of education and
outreach, ORD will continue sharing technical and

? U.S. EPA, Science Advisory Board, Reducing Risk: Setting

Priorities and Strategies for Environmental Protection (Sept.
1990); and U.S. EPA, Safeguarding the Future: Credible Science,
Credible Decisions (March 1992).

° Office of Research and Development, Four-Year Strategic
Research Plan (Draft, Nov. 1990)

research information with all segments of society,
including industry, academia, states and local com-
munities, the general public, and other countries.

* Collaborate with other Federal agencies, indus-
try, academia, and other countries. In order to use
resources most effectively and take advantage of
outside expertise, ORD will expand its coopera-
tive research with other research organizations.

Issue-Based Research Planning

To meet these strategic goals, and to improve the
ineffective media-based process, ORD has instituted a
research planning approach that is organized around
environmental problem areas. This approach is designed
to more fully address cross-media issues, anticipate fu-
ture environmental problems, provide continuity for
studying particularly difficult environmental problems,
and deal ‘with risk-based priorities. At the same time, the
new planning approach allows ORD to continue to con-
duct research on regulatory priorities that are often short-
term in nature but crucial to successful implementation
of the EPA regulatory programs.

The ORD research program is divided into 38 research
issues and grouped by 12 theme areas (see Table 1).
Many of the research issues focus on the knowledge gaps
identified in ORD’s strategic goals - ecological risk
assessment methods, environmental monitoring and as-
sessment, human health risk assessment, pollution pre-
vention, and innovative technologies. Other research
issues address needs of the regulatory programs, cross-
cutting scientific issues, and laboratory infrastructure.

During 1991, research strategies were prepared for
each research issue. The issue strategies provide a brief
overview of the basic problem to be addressed by the
research, strategic goals for the research, status of current
efforts, and research topics to be addressed. The issue
strategies cover all classifications of research for the
issue and together describe EPA’s research agenda.

The strategies have guided development of more de-
tailed five-year “research plans.” These plans include:
detailed descriptions of the scientific questions needing
research; the specific areas in which EPA will conduct
research; products and schedules; and technology trans-
fer activities. Drafts of the research plans are being
completed, and will be widely reviewed within the
Agency, by the SAB, and will also undergo review by the
broader scientific community.

Historical Perspective on Resources

In addition to the evolution of how research is planned,
there have been significant changes in funding levels
dictated by changes in policies and environmental priori-
ties. As discussed in the conclusion section of this report,
these changes have played a role i the nature of the types
of research conducted by ORD.



Section 1
Background

Congressional Requirement

The FY 1993 Appropriations Bill directs EPA to re-
view its basic and applied research activities and to
submit a report outlining expenditures to date and future
proposed budgets for these research classifications. The
Conference Committee Report states, “The Committee
believes that, for a number of reasons, EPA has failed to
sufficiently address the issue of basic research. Due to the
large number of regulatory and statutory mandates, the
Agency has focused on short-term applied research.
Basic research can be used to identify and assess environ-
mental problems which pose the greatest risk to human
health and the environment.”

The research at EPA is largely performed at laborato-
ries that are part of the Office of Research and Develop-
ment(ORD). The ORD organizational structure, described
in acompanion report, includes 12 research laboratories
that are organized around scientific disciplines. This
organizational approach is typical of most research insti-
tutions. It ensures that a sufficient number of scientists
and engineers work together to achieve a depth of knowI-
edge in the discipline. It also allows substantial interac-
tions to occur between scientists and engineers in related
fields of study. The laboratories will always have this
discipline-oriented structure.

New Research Classification Definitions

Fundamental Research: theoretical or experimental
investigations to advance scientific knowledge where
such knowledge is relevant to understanding pollution,
the environment or human health, but immediate practi-
cal application is not a direct objective.

Examples include: Mechanisms of chemical carcin-
ogenesis; how ecosystems function; biosensors for pol-

1 U.S. EPA Office of Research and Development, EPA Organi-
zation for Environmental Research: The Third Decade, Jan. 1993.
There are six non-ORD laboratories that provide analytical sup-
port to EPA's program offices, and therefore, are not included in
the data on fundamental and applied research. A brief description
of each of the program office laboratories may be found in the
ORD organization report on page 19.

lution monitoring; the use of computers and theoretical
understanding to predict achemical’s fate in the environ-
ment; understanding and quantifying the reactions that
determine the persistence of organic chemicals; pharma-
cokinetics; mechanisms of bioavailability; clinical and
animal studies of the mechanisms of toxicity.

Application Directed Research: research directed to
the solution of defined problems, based on existing
scientific understanding; the solutions may involve the
creation of new processes, procedures, methodologies,
or situations that will serve a practical or utilitarian
purpose.

Examples include: Construction of pollutant fate mod-
els; lab-scale characterization of pollutant degradation
processes; formulation of ecological risk assessment
frameworks; integration and evaluation of information
on pollutant effects and exposure to estimate risks to
human populations or ecosystems; creation of new moni-
toring or measurement methods.

Development: the work required to bring a new pro-
cess, technique, methodology, or piece of equipment to
the production or application stage.

Examples include: Field calibration and testing of
models that predict movement of chemical concentra-
tions in the environment; field validation of monitoring
methods; pilot/field optimization of sediment and aqui-
fer remediation processes; pilot-scale optimization of
control technologies.

Technical Assistance: the application of specialized
technical knowledge or services to assist others in ac-
complishing their mission.

Examples include: Quality assurance/quality control;
demonstration of technology or assessment methodol-
ogy at specific sites; site monitoring; experimental de-
sign; expert/peer review and comment; workshops and
seminars; expert testimony.

For the purposes of this report, the term “fundamental
research” should be equated with the term “basic re-
search” and the term “application directed research” with




Extramural

Multimedia (31.4%)

Pesticides & Toxics (7%)

Air and Radiation (29%)

Water (7%)

Waste (26%)

FTEs

Multimedia (12.9%)

Pesticides & Toxics
(16%)

Waste (20%)

Figure 4. Total resources by EPA national program

ing systems; 3) sediment contamination; 4) contamina-
tion of soils by metals and non-point sources of organic
pollutants; and 5) groundwater cleanup and site remedia-
tion.

In addition to the above major areas of fundamental
research, many smaller projects are being conducted ina
wide variety of areas including: neurotoxicity; pharma-
cokinetics; environmental risks associated with biotech-
nology; habitat and biodiversity; threats associated with
introduced species; aquatic ecocriteria; bioavailability of
metals; and municipal solid waste combustor emissions

Air and Radiation (30%)

Water (21%)

and toxicology.

Application Directed

Applied research is the largest single classification of
research conducted by EPA, accounting for 43% of
extramural dollars and 44% of in-house research em-
ployees. Two major research components are Air Pollu-
tion research and EMAP. Significant application directed
research is also conducted in Human Health Risk Assess-
ment, Environmental Cleanup, and Global Change.

In the Air Pollution area, major applied research eff-
orts are underway to improve emission inventories,


Section 2
Organization of ORD Research

Research Implementation

Since the research at EPA is largely performed in the 12
research laboratories of ORD, it is worthwhile to exam-
ine the structure of these laboratories and what these new
research classifications mean from the research imple-
mentation viewpoint.

The laboratories, in general, are discipline-oriented.
There are two engineering laboratories that employ prin-
cipally engineers. The monitoring laboratories are staffed
principally with chemists and physicists. Transport and
fate laboratories utilize meteorologists, hydrologists,
geologists, chemists, and physicists. Health and ecology
laboratories are staffed principally with biologists. There
are, of course, other disciplines in these laboratories,
such as statisticians, computer systems analysts, medical
doctors, geographers, etc., that provide other skills to
complement the principal ones. Over the last two de-
cades, it has been the staffing practice of these laborato-
ries to ensure that there were sufficient numbers of
scientists/engineers of similar training and/or experience
to form the critical masses needed to perform the research
in the areas mandated to the laboratory. Thus, in each
laboratory, there are a number of groups of researchers
who maintain acertain depth and breadth of expertise and
who cover one of the several areas of the scientific
discipline of the laboratory.

Within a laboratory, the scientists/engineers fall into
another type of classification, depending on the manner
in which they conduct the research. This classification
includes five groupings: bench researcher; field and pilot
plantresearcher; national expert; contract project officer;
or collaborating project officer on cooperative agree-
ments.

Laboratories have different mixes of each of these
groupings, depending on the research they are conduct-
ing and the facilities available. In addition, some scien-
tists/engineers apportion their time to more than one of
these groupings, as laboratory workload may demand.

All five groupings of scientists/engineers are capable
of performing fundamental research, application directed

research, development and technical assistance. How-
ever, it is clear that more of the fundamental research is
performed by the bench and field researchers and the
collaborating project officers on cooperative agreements.
Similarly, more development and technical assistance
activities are performed by contract project officers and
national experts.

This report focuses on a new classification of the
research program into four different types of research —
fundamental research, application directed research, de-
velopment, and technical assistance—which are defined
in the previous section. The ORD FY 1993 planned
expenditures are subdivided into these types.

The report also describes ORD’s multidisciplinary
research planning process, which is organized around
environmental problems and key science questions, and
also is used to characterize ORD’s overall research
activities. Research plans cut across the laboratory struc-
ture,.and guide the specific research activities at each
laboratory. This new planning process ensures strong
links across disciplinary line organizations (i.e., ecology,
health effects, transport and fate of chemicals, pollutant
characterization, engineering, risk assessment, and moni-
toring).

The Evolution of ORD Research Planning

In the report, Future Risk: Research Strategies for the
1990s, September 1988, the Science Advisory Board
(SAB) called research “the most fundamental of the tools
that promote environmental quality.” It recommended
that EPA “reshape its strategy for addressing environ-
mental problems for the next decade and beyond” and
“plan, implement, and sustain a long-term research pro-
gram” to support this new strategy. Based on this recom-
mendation, in 1990, ORD began to rethink its research
planning and execution as later sections of this report will
show.

Recently, there has been a convergence of thinking
about the directions science should take in EPA. Two
reports, one issued by the Agency’s SAB and one by an
Expert Panel on the Role of Science at EPA, have


EPA/600/R-93/038
February 1993

Report to Congress

Fundamental and Applied Research
At The Environmental Protection Agency

Office of Research and Development
U.S. Environmental Protection Agency
Washington, D.C. 20460

&® Printed on Recycled Paper



t
i

t
After a decline in FTEs in the early 1980’s, the number __ for an increase in other areas, primarily the Hazardous
of FTEs in ORD has remained fairly stable since 1985. | Waste and Multimedia programs. The FTEs in the Air
However, there have been some shifts of FTEs between and Radiation, and Pesticides and Toxics research pro-
research areas. The number of FTEs involved in Water _ grams have remained fairly constant.
and Energy research has declined substantially, allowing

i

Extramural Resources for Research and Development
1980-1991

Global
EMAP
Energy

Multimedia

BeOS BO

Haz Wastes

Water

Pesticides & Toxics

I Air & Radiation

o
8

1980
1981
1982
1983
1984
1985
1986
1987.
1988
1989
1991

FTE Resources for Research and Development

2500 1980-1 991
2000 -
BZ Energy
@ 1500-4 HI Multimedia
E Haz Wastes
1000 5
—A Water
500- Pesticides & Toxics
Air & Radiation
0-4

1980

1981
1982
1983
1984
1985
1986
1987
1988
1989
1990
1991

Figure 1. Resource trends



Over the past decade, the extramural research program
has been increasing steadily after reaching a low point in
1983 (see Figure 1 —note that figures are in nominal, not
constant, dollars). During that time, major areas of growth
included the Multimedia and Hazardous Waste pro-
grams, and in the past few years, the Air and Radiation,
Environmental Monitoring and Assessment, and Global
Climate programs. The Multimedia program included
exploratory grants, ecological risk assessment, health
risk assessment, and pollution prevention. Hazardous

Table 1. ORD Research Themes and Issues

Waste research increased significantly following the
passage of the Superfund amendments of 1986. The
Clean Air Act Amendments of 1990 included many
research requirements, and EPA responded with a major
increase in Air and Radiation research. On the other
hand, Energy research, which was the largest extramural
program in 1980, was gradually phased down, andisnow
arelatively small program that includes research on acid
deposition monitoring, modeling, and control technolo-
gies. .

Protecting Ecological Systems
Ecosystems
+ Coastal and marine
+ Large lakes and rivers
+ Wetlands
+ Terrestrial systems

Assessments
+ Contaminated sediments
+ Aquatic ecocriteria
+ Nonpoint sources
+ Ecorisk assessment methods

Emerging Ecological Issues
+ Habitat/Biodiversity
+ Environmental releases of biotechnology
products.

Environmental Monitoring and Assessment

+ Environmental Monitoring and Assessment
Program

Global Change
+ Global warming
+ Stratospheric ozone depletion

Air Pollution
+ Acid deposition/aerosols
+ Air toxics
+ Criteria air pollutants
+ Pollutants from motor vehicles
+ Indoor air pollution

Drinking Water Contamination
+ Drinking water pollutants and disinfection
+ Groundwater

Waste Management
+ Municipal solid waste
+ Hazardous waste
+ Sludge and wastewater

Environmental Clean-up
+ Surface clean-up
+ Bioremediation

Human Health Risk Assessment
+ Human exposure
+ Health effects
+ Risk assessment methods

Innovative Technology and Outreach
+ Pollution prevention
+ Innovative technologies
+ Environmental education
+ International and national technology
transfer

Exploratory Research and Special Environmental
Problems
+ Environmental review of new chemicals
+ Lead and other heavy metals
+ Anticipatory research on emerging
environmental problems

+ Exploratory grants & centers

Infrastructure
+ Infrastructure

Cross Program
+ Cross program



i
|
|

“applied research.” The term “fundamental research” is
used in lieu of “basic research” because EPA does not
conduct “basic research” as that term is generally de-
fined, Basic research is commonly defined as research to
attain greater knowledge without applications towards
specific processes or products in mind. Because ORD
research always has a mission-directed or application-
specific purpose, it does not fall within the traditional
definition of basic research. The term “fundamental
research” is therefore used as the classification for the
most rudimentary scientific investigations conducted by
ORD. Fundamental research will often result in| the
attainment of knowledge that has application in many
EPA environmental programs, and is not directed or
formulated to meet shorter-term regulatory needs or
narrowly defined program questions.

“Application directed research” includes snany Te-
search projects that are designed to meet specific regula-
tory or policy goals. It also includes research, such as the
improvement of risk assessment methodologies, that has
broad application among EPA regulatory programs!and
is not driven by short-term regulatory needs. For! this
reason, application directed research should not be viewed
as synonymous with short-term program support.

Development and technical assistance are included to
complete the picture of ORD’s scientific efforts. They

are important components of the Agency’s research
program in that they provide a link between the knowl-
edge and potential solutions gained through fundamental
and application directed research and the societal ben-
efits from such research.

Many research projects have elements of both funda-
mental and application directed research. For example, to
improve a model that will predict the fate and transport of
toxic chemicals in the environment, research on basic
biological or chemical mechanisms may be conducted.
In this sense, the research is fundamental, as it addresses
basic mechanisms of action. At the same time, this
research may be viewed as application directed because
it solves a defined problem. In a similar vein, many
research projects logically start out as fundamental and
evolve into application directed, then development and
finally to technical assistance. The transitions often are
not marked by bright lines, but rather by incremental
changes in the overall mix of the type of research being
conducted under the research project. For these reasons,
itis difficult to uniquely classify many research projects.
Consequently, the classification data in this report are not
precise percentages but more qualitative, indicating the
general magnitude of the different types of research
being conducted.







Extramural Dollars ($335 Million)

Air Pollution

Environmental Cleanup
Exploratory Res. & Special Prob.
EMAP

Global Climate Change
Ecological Resources

Health Risk Assessment
Technology & Outreach

Waste Management

Drinking Water

Cross Program

Infrastructure 0
$ Millions

Research Staff (1922 FTEs)

Air Pollution

Environmental Cleanup
‘Exploratory Res. & Special Prob.
EMAP

Global Climate Change
Ecological Resources

Health Risk Assessment
Technology & Outreach

Waste Management

Drinking Water

Cross Program
Infrastructure] 3
FTEs

Figure 3. Total extramural resources and in-house staff FTEs by research theme

I



Extramural $ ($335 Million)

Research Staff (1922 FTEs)

Figure 3a. Classification of research for ORD research themes

13


Contents

Page
PreFACE ...ssseserseeeeee ii
Executive Summary . 1
Section
1 Background ......sesssssessessssscssssessesseseessessseseessceeencenecucarsacencensseeassarenseneneensensaseasenses 3
2 Organization of ORD Research .....c.sssssessecssesssessecseensesneeneesnecnscsnecaseeneeneenescnsenses 5
3 Classification of EPA Research ......sssssessssssesssessssssessessessscsnsssnssacesnesssseneeneeneenness 9

4 COMCHUSIONS 0... essessssessessessessesssseessseeneneneesesassnessensencensseeseavenseensneenesecneensonsensate 19



|
Preface

Inits FY 1993 House Appropriations Report, the Conference Committee requested a review of the
amount of basic and applied research being conducted by EPA.

\

“The Committee recognizes the need for both basic and applied environmental
research. The Committee believes that, for a number of reasons, EPA has failed to
sufficiently address the issue of basic research. Due to the large number of regu-
latory and statutory mandates, the Agency has focused on short-term applied
research. Basic research can be used to identify and assess environmental problems
which pose the greatest risk to human health and the environment. The Committee
urges the Agency to review both its basic and applied research activities and directs
EPA to submit a report outlining the expenditures to date and future proposed
budgets for its basic and applied rejearch activities.”

Indeed, the difficulty for EPA as well as for other regulatory agencies has been meeting the needs
of many research clients. EPA’s research program must strike a balance between providing data and
technical support for “front-line” regulators solving environmental problems today and building a
science knowledge base necessary to manage our ecological resources wisely in the coming decades;
understand how pollutants affect our health; and prevent or reduce environmental risks in the future.

This report does not attempt to determine whether EPA is doing enough basic research, but rather
itcontributes to the body of data that is being gathered by Congress to evaluate current Federal science’
research policy in general, and environmental science policy in particular.

In response to the Congressional request, this report describes the research program of EPA’s
science arm, the Office of Research and Development (ORD), using FY 1993 expenditures. Research
projects have been classified by ORD’s senior managers according to the terms fundamental,
application directed, demonstration, and technical assistance. The distinctions between fundamental
and applied research are often blurred; it is difficult to uniquely classify many research projects.
Therefore, the percentages and classifications in this report are more qualitative than quantitative. The
data profile the general magnitude of the different types of research being conducted by ORD today.



Resources

This section provides data concerning the balance of
fundamental research, application directed research, de-
velopment, and technical assistance within ORD. The
data are based on the FY 1993 budget enacted by Con-
gress. Data on extramural and in-house resources are
provided separately.

In addition to an overall program presentation, data
concerning the balance of the different types of research
are presented from two other points of view—by re-
search themes and issues and by EPA national program
offices (air, water, waste, toxic substances). This ap-
proach allows individuals with different interests to view
the balance of research in the context that best suits their
needs.

Total Research

InFY 1993, a total of $506 million and 1922 FTEs will
be devoted to research and development activities within
ORD. This includes $335 million for extramural research
and $171.5 million for intramural expenses. The intra-
mural portion of the budget covers salaries, benefits, and
equipment. The extramural portion of the budget covers
research funded through contracts, grants, or cooperative
agreements.

This report provides information on the types of re-
search being conducted by in-house researchers (1922
FTEs) and extramural research dollars ($335 million).
During FY 1993, ORD, has allocated $96 million and
494 FTEs for fundamental research, $144 million and
847 FTEs for application directed research, $64 million
and 303 FTEs for development activities, and $30 mil-
lion and 279 FTEs for technical assistance.

Figure 2 shows the distribution of extramural resources
and in-house resources (FTEs) within the four research
classifications discussed in this report. The largest por-
tion of both extramural and in-house resources is allo-
cated to application directed research. Application directed

4 The classifications of different types of research are based on the
judgment of senior ORD scientists and managers responsible for
planning and implementing the Agency's research program.

Section 3
Classification of EPA Research

research is organized to support EPA programs and
policy formulation. This support includes a wide variety
of research products, including monitoring and measure-
ment methods, assessment methodologies and models,
technology advancement and evaluations, and risk as-
sessments.

Fundamental research accounts for approximately 30%
and 26% of extramural and in-house resources, respec-
tively. This research focuses on more basic scientific
inquiries to improve our understanding of mechanisms
that cause adverse effects to human health and the envi-
ronment and the functioning of biological systems. Fun-
damental research at EPA is directed at specific questions,
suchas the mechanisms of toxicity of tropospheric ozone,
or at broader questions, such as methods to determine
priorities for habitat and biodiversity protection.

Developmentresearch accounts for approximately 19%
of FY 1993 resources. Development research generally
focuses on the later stages of refining a process, technol-
ogy, or method. Developmentactivities often support the
overall goal of EPA programs by providing the tools
necessary to implement regulatory programs.

Technical assistance accounts for 9% and 14% of
extramural and in-house resources, respectively. Tech-
nical assistance is provided in many forms, including
formal training courses and seminars, technical publica-
tions, on-site assistance, and response to requests for
specific analyses or information.

Research Themes and Issues

ORD plans research under 38 issues. For simplifica-
tion, these have been grouped into 12 broad themes.
Figure 3 illustrates the allocation of total extramural and
in-house resources (FTEs) among the 12 themes. Figure
3a illustrates the distribution of the types of research
among the 12 themes.

Fundamental

As shown in Figure 3a, Air Pollution, Exploratory
Researach and Special Environmental Problems, EMAP,
Global Change, and Human Health Risk Assessment


research themes account for 66% of all resources devoted
toapplication directed research. The Waste Management
and Protecting Ecological Resources themes have! the
highest percentage of resources devoted to application
directed research with 58% and 57%, respectively. Most
other research themes allocate between 40% and 50% of
available resources to application directed research.
Development 5
i
Research in Environmental Cleanup allocates both the
highest proportion of resources (56%) and by far) the
greatest amount of resources ($26.6 million) to develop-
ment research. The Innovative Technology and Qut-
reach research theme has both the second highest
percentage and amount of resources allocated to deyel-
opment research (43% and $7.9 million, respectively).
AirPollution ranks third in amount of resources allocated
to development research. However, due to the large
overall amount of resources devoted to the Air Pollution
research theme, this is only 10% of the air pollution
extramural research budget.

Technical Assistance

The Innovative Technology and Outreach theme allo-
cates the highest amount and percentage of resources to
technical assistance ($6.4 million and 40%. respectively).
In-house resources devoted to technical assistance gen-
erally range from approximately 20 to 40 FTEs for each
research theme. ORD scientists and engineers clearly
devote significant time to responding to requests! for
assistance from EPA programs and others.

National Programs

The balance of different types of research can also be
arrayed by different national environmental programs
under which the research is funded. Figure 4 illustrates
the allocation of total extramural and in-house Tesources
(FTEs) by program. Figure 4a, illustrates the balance of
the classifications of research within each program.,

Air and Radiation, together with Multimedia, allocate
a total of $81 million to extramural fundamental) re-
search. This is 81% of all extramural resources devoted
to fundamental research. These two media also have the
highest percentages of resources devoted to fundamental
research with 43% and 37%, respectively.

The Water medium allocates $7.5 million or approxi-
mately 7% of the total extramural resources devoted to
fundamental research. This allocation accounts for 31%
of the extramural resources within the Water medium.

The Waste medium allocates almost the same amount
of extramural resources to fundamental research as the
Water medium, but due to a much larger budget, ithis
accounts for only 7% of the Waste budget. The Pesticides
and Toxics medium devotes $4.7 million to fundamental
research or 5% of the resources devoted to fundamental

research. However, this medium allocates approximately
81 FTEs to fundamental research or 17% of the in-house
resources devoted to fundamental research.

The Air and Radiation, Multimedia, and Waste media
allocate approximately $110 million to application di-
rected research, accounting for 80% of the total alloca-
tion. The Waste medium accounts for 53% of all
extramural resources allocated to development research
and allocates the highest percentage of its extramural
resources to development research (40%.)

Major Research Areas

Following is a brief overview of research that is being
conducted within each of the classifications discussed in
this report.

Fundamental Research

Research in Air Pollution accounts for almost 29% of
the fundamental research conducted by EPA. The major
portion of fundamental research in this area is devoted to
determining the health effects of ozone and acid aerosols
and to understanding the causes/origins of the national
photochemical oxidant problem. This research will ad-
dress major gaps in knowledge that cause difficulties in
assessing health benefits associated with control pro-
grams and the adequacy of the current National Ambient
Air Quality Standards (NAAQS). The research includes
human clinical, animal, and epidemiological studies of
ozone and acid aerosols for both chronic and acute
exposures.

In addition to the health effects of ozone, research
concerning the national photochemical oxidant problem
will address the important question of whether the mix of
chemical precursors that result in photochemical pollu-
tion vary by region of the country, or from one major
urban area to another. Evidence suggests that the causes/
origins may differ in different regions of the country. A
true understanding of the nature of this problem is essen-
tial to developing effective control measures. Another
significant fundamental research project being conducted
is the development of methods and data to identify the
toxicity, hazards, and dose response curves of mobile
source emissions and their transformation products. A
long-term effort will address the relative risks of all
major fuels options and provide information concerning
control technology.

Exploratory Research and Special Environmental Pro-
blems is the second largest fundamental research pro-
gram, accounting for approximately 22% of all
fundamental research conducted by EPA. The explor-
atory grants program funds investigator-initiated funda-
mental environmental research. While high priority topics
have been identified, the program is not intended to be
constrained specifically to solving problems that cur-
rently occupy EPA’ s attention. This approach renders the