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Dragonstone Strategy Kickoff Report [Slides]

The oil & natural gas (ONG) system like any other heavy industrial process, relies on a complex system of information technology (IT) and operational technology (OT) devices. Cyber-preparedness varies across the ONG industry from organization to organization. Common challenges include remote locations, long-lived field assets, and insufficient capabilities to find and track malware. ONG companies tend to be concerned with lack of cyber-awareness from employees, risk stemming from remote access for operations & maintenance, and software vulnerabilities within third-party equipment. For a variety of reasons, the general consensus from stakeholders interviewed by LLNL is that the state of cybersecurity within the electric grid is currently outpacing its ONG cousin. Existing strategies for the resilience and cybersecurity of the electric grid can and should be leveraged to provide immediate benefits to the ONG system. In LLNL’s view, there are two key factors currently limiting the development of necessary cyber-practices within the ONG industry: regulatory overlap and inefficiencies, and lack of industry awareness of potentially useful technologies for solving known issues. In the months following this report, LLNL will develop a cyber-resilience roadmap for the oil & gas pipeline sector, coupling threat intelligence, industry knowledge base, and ongoing outreach

02 PETROLEUM↗

Market Opportunities for Deployable Wind Systems for Defense and Disaster Response

This report is the first public deliverable from the Defense and Disaster Deployable Turbine project, funded through the distributed wind portfolio of the U.S. Department of Energy Wind Energy Technologies Office. The objective of the project is to explore the opportunity for deployable turbine technologies to meet the operational energy needs of the U.S. military and global disaster response efforts. This report provides a market assessment that was conducted over a year using public reports, presentations at topical conferences, and direct stakeholder engagement interviews with both military and industry representatives. It begins with the high- level operational energy strategy of the Department of Defense that provides the context for alternatives to diesel fuel to meet energy needs. The report then provides an estimate of the energy use of the military in missions where a deployable turbine could potentially serve as an alternative to the baseline use of diesel fuel in generators to provide electricity in remote locations. An overview of domestic and international disaster response is provided with a focus on the role of the military in providing energy to those events. Finally, the report summarizes the technical considerations that would enable a deployable turbine to meet military and disaster response energy needs including the global wind resource, the technical design of the turbine, and the operational constraints of various military missions.

17 WIND ENERGY↗

Energy Savings Potential of SSL in Agricultural Applications

A report on the energy-savings potential of solid-state lighting in agricultural applications, which updates a prior edition that focused on horticultural lighting only, with an expanded focus that includes animal lighting. The analysis considered three indoor horticultural lighting categories: lighting supplemented greenhouses, high intensity sole-source farms, and sole-source indoor vertical farms typically growing leafy greens. To characterize animal lighting, the analysis investigated the three largest markets of livestock in the U.S. that use lighting – poultry, swine, and dairy farming. To estimate energy consumption of agricultural lighting, the analysis utilized interviews with lighting manufacturers, growers, utility companies, academic professionals, and industry consultants, as well as various data sources. Each of these resources enabled the determination of total market size and illuminated area, typical lighting configuration, lighting power density for LED and incumbent technologies, operating hours, and the installed lighting technology mix. Among the major findings: 1. If all indoor horticultural lighting today was converted to LED technology, annual horticultural lighting consumption would be reduced to 6.3 TWh of site electricity, or 60 tBtu of source energy, which represents lighting energy savings of 34% or $350 million. 2. If all animal lighting today was converted to LED technology, annual lighting energy consumption for animal production would be reduced to 2.8 TWh site electricity, or 26 tBtu of source energy, which represents lighting energy savings of 25% or $96 million.

32 ENERGY CONSERVATION, CONSUMPTION, AND UTILIZATI↗

White Paper: Background Information on ARPA-E's Reuse Program

This document provides supplemental information for ARPA-E’s exploratory research program, “Recycle Underutilized Solids to Energy” (REUSE). The goal is to provide additional technical information to prospective Applicants. Further information is available in a blog interview and webinar at https://arpa-e.energy.gov/?q=news-item/trash-treasure-reuse-creates-feedstock-plastic-waste. Award information, submission requirements, evaluation criteria, and other applicable information is provided in Funding Opportunity Announcements DE-FOA-0001953 and DE-FOA-0001954 (SBIR/STTR). REUSE-specific requirements are provided in Topic K of those FOAs, and is available at https://arpa-e-foa.energy.gov/Default.aspx?Search=0001953&SearchType=#FoaIde8647d89-1cac-4b58-8622-1b04de8958c4. Under the REUSE Topic, ARPA-E seeks to fund the development of technologies to convert high-energy materials currently going to landfills to a high-energy content liquid product capable of displacing energy imports used for fuel or chemical production. The high-energy materials include plastics (#1-7 polymers, rubber, and composites) and paper. As discussed below, we estimate 30-34 MM ton plastic, 2-6 MM ton rubber, 18 MM ton of paper, and up to 0.1 MM ton composites are potentially available annually for this purpose. These numbers may be conservative based on changes in the plastic and paper export markets. ARPA-E anticipates deployment of multiple low-cost, simple, flexible, small-scale (100-500 ton per day) regional facilities using modular plants. This scale is consistent with the sources for high-energy materials, which include ~300 Material Recovery Facilities and industrial waste sources. The assumption is that such facilities can be more economical than the paradigm of large-scale facilities making purity products, due to cost for transporting and aggregating waste and the high operating costs (OPEX) and capital cost (CAPEX) for product purification. This document gives a brief technical review for multiple potential process technologies. The review is not intended to be comprehensive or limiting, only to provide an introduction to potential Applicants.

99 GENERAL AND MISCELLANEOUS↗

Residential Building Energy Efficiency Field Studies: Low-Rise Multifamily

In recent years, the U.S. Department of Energy (DOE) has conducted a series of research studies to validate energy efficient building technologies in the field. Much of the work has focused on single-family construction, and some has also addressed commercial energy codes. The work detailed in this DOE-funded study (EE0007616) focuses on low-rise multifamily buildings (three stories or fewer above grade) in various regions of the United States, and reports on how state-level building codes are being implemented, both in terms of observed characteristics and also in terms of estimated energy impacts. Nearly 100 buildings across four states—Illinois, Minnesota, Oregon, and Washington—were sampled, which represent a range of climate types from mild temperature to very cold continental. Both common entry and outdoor entry buildings were included, and a parallel research project evaluated envelope air tightness and current still-evolving air tightness testing methods. Finally, a set of structured interviews of building designers and other relevant professionals was carried to out to gain more insight into this market. To the greatest extent possible, the methodology developed under the project for low-rise multifamily buildings mirrored the approach established by Pacific Northwest National Laboratory (PNNL) for single-family residential buildings (https://www.energy.gov/eere/buildings/downloads/residential-building-energy-code-field-study). This included the general approach to sampling, recruitment, and data collection, as well as data analysis and presentation. The range of permitting dates for the sites encompassed two energy code cycles in most regions. All states in the study had adopted a variation of the International Energy Conservation Code (IECC) for the structure of their state code. The low-rise multifamily occupancy presents a hybrid building type: most of the building’s conditioned floor area was covered by the residential chapter of the code while portions of the building (such as corridors and common spaces) fell under the commercial code chapter. The key items assessed in this work were: Building Shell—exterior wall insulation, ceiling insulation, foundation insulation, windows. Common Areas—HVAC and lighting. Living Units—lighting, ventilation. A few items were not assessed in detail, given their relative paucity in this occupancy type; these included duct leakage, pipe insulation, and hot water circulation controls. Building characteristics were collected via a combination of architectural, mechanical, electrical, and plumbing plan reviews and field inspections, and entered into a spreadsheet-based tool that was later queried to build a database. Data went through quality control both upon arrival and via a later semi-automated review and assurance process. Most of the data are presented graphically so that the reader can quickly assess compliance with the applicable energy codes (both by state and by code year). As a final step, EnergyPlus™ simulations were created for all buildings in the study to estimate both the as-found energy use intensity (EUI) and the energy and CO 2 that could be saved if features that were found to not meet code minimums were brought up to code. The savings estimates were tabulated for each of the four states in the study. The research team found that the single-family approach was largely applicable to low-rise multifamily buildings. This applies to both the data collection and the prototype EUI analysis. Most of the occupied space is living units and falls under residential energy codes, and many characteristics use similar envelope construction and relatively straightforward mechanical systems and lighting. One of the most challenging aspects of this work was to build an effective spreadsheet-based data collection instrument that could allow efficient collection of both building plan and field data. The research team is of the view that other methods could be equally effective if the work is done carefully with diligent quality control. The primary findings for the work center around the thermal envelope and mechanical systems and lighting at the sites: For thermal envelope components, the majority of buildings met or were better than the prescriptive code.This suggests that building designers and builders are aware of code requirements. In some cases, surveyed buildings were designed to qualify for energy efficiency certification programs. These buildings made up at least 20% of sampled buildings in each state. Almost all buildings met mechanical system efficiency requirements (for both living units and common areas). In some cases, sites employed systems that were considerably more efficient than required by the applicable energy code. Dwelling units had a majority of high-efficacy lighting, often in excess of the state’s residential code requirements. While high-efficacy fixtures were also typical in common areas (corridors and stairwells), lighting power densities (LPDs) in these areas were sometimes higher than levels dictated by the applicable part of the state commercial energy code. The simulation models run on a series of low-rise multifamily prototypes, informed by a composite of the field data collected, calculated annual EUIs of between 20 and 50 kBtu/ft2-yr, with the range representing the effects of both building characteristics and building location (climate zone). A detailed process (based on simulations of prototype buildings) was used to estimate the amount of avoided energy use that would occur if 100% adherence to energy codes were attained. The results indicated modest savings are attainable for items such as window thermal performance and common area lighting. The result is overall only a modest potential for additional energy savings, averaging about 10% of EUI.

29 ENERGY PLANNING, POLICY, AND ECONOMY↗

Strategies for seeking a job at a national lab [Slides]

Understanding the job market from the hiring side can help you develop better strategies for seeking a job. National laboratories represent a substantial source of jobs in the U.S. in engineering and science. High school, college, and graduate student internship positions are all available, but you can be more successful in finding one of these positions if you use a targeted search. Likewise, reaching out to individual researchers and/or knowing how to respond to job ads can increase your chances of getting an interview for a permanent job or positions, such as postdoc and postbac appointments, that can lead to permanent jobs. In my career as a research scientist at Los Alamos National Laboratory, I have hired people into all of these job categories, as well as served on many hiring committees for all levels of appointments. I will offer Polonius*-type advice for jobseekers and discuss the hiring process and how you can optimize your own job search.

99 GENERAL AND MISCELLANEOUS↗

Comparing Offshore Wind Energy Procurement and Project Revenue Sources Across U.S. States

The pace of offshore wind energy procurement in the United States has rapidly accelerated in recent years. U.S. states along the Atlantic Coast have set procurement goals for offshore wind energy to meet renewable portfolio standards and serve state policy needs. By the end of 2019, projects with a total capacity of 6.4 gigawatts (GW) had established long-term contracts (or equivalent regulatory requirements) with utility off-takers. The prices established in these contracts since 2017 have been well below expectations from many industry observers, prompting stakeholders to compare price levels across U.S. states and globally. However, comparing procurement prices across projects and jurisdictions is often challenging because of differences in project parameters, support regimes, supply chains, and the applicable tax and regulatory environment. These characteristics provide critical context for understanding project revenue streams, delivery obligations, and risk allocation, which need to be accounted for when comparing across different projects. In combination, variation in these characteristics between projects results in measurable differences in project costs and revenues and, consequently, in different offer bids. In this report, we systematically analyze offshore wind energy support regimes across U.S. states. Because offshore wind energy procurement prices from U.S. projects are often compared not only among states but also with European tenders, this report also provides an overview of support regimes and taxonomy used in European offshore wind markets. The content of this report was derived from a literature review, primarily regulatory filings and summary reports, and 16 interviews with leading industry experts from state agencies, energy sector consultancies, and law practices. The comparison between U.S. states focuses on several dimensions, including statutory authority, solicitation procedures, procurement goals and awards, and the structuring of physical and transactional delivery of energy services.

17 WIND ENERGY↗

Connected Communities: A Multi-Building Energy Management Approach

Connected Communities (CCs) are collections of buildings and distributed energy resources (DERs) that incorporate integrated energy management strategies at the multi-building scale. Based on the research conducted for this report, RMI and NREL have identified examples of CCs that are enabling increasingly integrated solutions, sharing resources among buildings, and providing services back to the grid. As demonstrated by these examples, CCs can provide real and scalable solutions to mitigate energy costs, enable more flexibility in grid operations, and offer choices in meeting greenhouse gas (GHG) emissions goals. Nationwide examples of these solutions are included in the appendix of this report. In order to understand the most promising practices for the design, operation, and business models associated with CCs, a search was performed to create a nationwide inventory of CCs and multiple stakeholder interviews were conducted. Based on that research, this paper explores the many factors that influence the development and operation of CCs and evaluates their potential value.

32 ENERGY CONSERVATION, CONSUMPTION, AND UTILIZATI↗

Distributed Solar Quality and Safety in India: Key Challenges and Potential Solutions

The quality and safety of solar systems and their installation has become a concern for investors, regulators, consumers, and Discoms in India. The push for low prices and lack of quality standards are driving project developers to install low quality products, with poor system design and execution on-site. Existing literature and stakeholder interviews point to the rampant use of low quality, sub-standard solar products in India. These products deliver less energy than expected, or have high detrition rates, or have lower product life–all of which are serious issues for developers whose return on investment depend on the amount of power generation from these solar systems for the expected life of the project. Equipment which does not conform to the minimum quality standards also creates safety risks for the distribution network. Performance and safety concerns lower investor and consumer confidence in solar products with the potential to threaten market development. This report formulates a set of recommendations to concerned authorities in India to improve the quality and safety of rooftop solar systems. Primary and secondary sources are employed to understand the current solar quality and safety scenario in India to provide the basis for future recommendations. An overview of international experiences and lessons learned on solar quality and safety issues is also conducted to understand potential solutions for India.

24 POWER TRANSMISSION AND DISTRIBUTION↗

Understanding Interactive and Reproducible Computing With Jupyter Tools at Facilities

Increasingly Jupyter tools are being adopted and incorporated into High Performance Computing (HPC) and scientific user facilities. Adopting Jupyter tools enables more interactive and reproducible computational work at facilities across data life cycles. As the volume, variety, and scope of data grow, scientists need to be able to analyze and share results in user friendly ways. Human-centered research highlights design challenges around computational notebooks, and our qualitative user study shifts focus to better characterize how Jupyter tools are being used in HPC and science user facilities today. We conducted twenty-nine interviews, and obtained 103 survey responses from NERSC Jupyter users, to better understand the increasing role of interactive computing tools in DOE sponsored scientific work. We examine a range of issues that emerge using and supporting Jupyter in HPC ecosystems, including: how Jupyter is being used by scientists in HPC and user facility ecosystems; how facilities are purposefully supporting Jupyter in their ecosystems; feedback NERSC users have about the facility’s deployment, and, discuss features NERSC indicated would be helpful. We offer a variety of takeaways for staff supporting Jupyter at facilities, Project Jupyter and related open source communities, and funding agencies supporting interactive computing work.

97 MATHEMATICS AND COMPUTING↗

Modernization of Technical Requirements for Licensing of Advanced Non-Light Water Reactors: LMP Lessons Learned, Best Practices, and Frequently Asked Questions

This report captures lessons learned, best practices, and frequently asked questions with responses gleaned from the experiences of early adopters of the LMP RIPB process. Interviews were conducted in late 2019 with five non-LWR design organizations to gather their feedback on the application of the LMP RIPB process under real production conditions. The overall feedback from the reactor developers is that the LMP RIPB process can be successfully implemented with material benefits to the designer. As with any new processes, numerous challenges and questions were relayed by the designers. These challenges have been translated into lessons learned and best practices. Those two sections address both technical and organizational aspects of implementing the LMP RIPB process. Questions that were asked by multiple designers were turned into “frequently asked questions” and responses were provided by the LMP team.

42 ENGINEERING↗

A Systems Engineering Approach to Accident Response Planning

This paper explores the Systems Engineering structure, strategies and tools for real world scenarios involving work with accident response groups. A systems engineering approach must be taken by the technical teams to prepare for a successful response and design the technical systems in support of the operations. The scope of this project is focused on laying out the foundation of the systems engineering approach taken to help the teams develop an accident response strategy and identify new engineering designs in support of these operations for the black box systems. This Master’s project involves several interdisciplinary teams & stakeholders across different areas. Identifying the proper tools to use is key to addressing the big picture needs of the multiple stakeholders. This project explores some of the key tools used by the integrated team. The integrated project work will primarily take place over the course of 8 weeks via integrated team meetings. Other work in support of this project will take place off-line as needed by the project lead. Details on the prospective timeline, milestones, key dates and work scope can be referenced in other sections of this paper. Key systems engineering methodologies and tools used thus far in support of this project includes: 1) Market Surveys and Interviews, 2) Project Charter, 3) Feasibility Study, 4) Swim Lane Diagram, and 5) Knowledge Management Plan.

42 ENGINEERING↗

Innovations in Building Energy Modeling: Research and Development Opportunities for Emerging Technologies

Building energy modeling (BEM) is a multipurpose tool for building energy efficiency (EE). The U.S. Department of Energy Building Technologies Office (BTO) seeks to expand the use and effectiveness of BEM in the design and operation of commercial and residential buildings with the goal of achieving lasting reductions in total and peak energy use. This report identifies gaps and outlines recommended initiatives to achieve this goal, based on a combination of technical analysis and stakeholder input. In addition to BTO, this report can benefit BEM professionals (architects, mechanical engineers, energy consultants, building auditors, equipment manufacturers, and BEM software vendors) and BEM clients (building owners and operators, EE program administrators, EE service providers, policymakers, and policy and code jurisdictions such as states and cities). This report was developed in two phases. In the first, BTO worked with a team from Navigant Consulting (now Guidehouse) to characterize objectives, opportunities, and current activities; identify gaps and barriers; and define initiatives. To collect input, Navigant conducted telephone interviews and workshops with industry experts. The initial phase produced a draft report, which was released for public review in 2016 and yielded over 400 comments. Based on these comments, BTO compiled a second draft report that addressed many of those comments while acknowledging changes that had occurred both at BTO and in the industry. Unlike the first draft report, the second focused much more heavily on BTO’s own role, portfolio, and activities. BTO is a direct player in the BEM field - it funds the development of several significant software packages that are embedded in commercial products - and transparency about its goals and future plans is requisite. BTO recognizes that a great number of other public and private organizations contribute to the BEM enterprise. With the second draft report, BTO did not attempt to produce a blueprint for the industry as a whole, but rather a working document BTO can use to iteratively solicit stakeholder input and synthesize it into a program. BTO released the second draft report for public review in 2019. The second round of review generated 83 pages of feedback and comments - almost exactly the length of the draft report itself - a significant portion of which was collected and synthesized by IBPSA-USA Advocacy Committee. This final report incorporates this feedback. This report does not address the use of BEM in support of building-based grid services, a recent BTO initiative called Grid-interactive Efficient Buildings (GEB). In 2019, BTO published a report that specifically addresses the role of BEM - and other “integration” technologies - in GEB.

32 ENERGY CONSERVATION, CONSUMPTION, AND UTILIZATI↗

A Systems Engineering Approach to Accident Response Planning.

This paper explores the Systems Engineering structure, strategies and tools for real world scenarios involving work with accident response planning. A systems engineering approach must be taken by the technical teams to prepare for a successful response and design the technical systems in support of the operations. The scope of this project is focused on laying out the foundation of the systems engineering approach taken to help the teams develop an accident response strategy and identify new engineering designs in support of these operations for the black box systems. This Masters project involved several interdisciplinary teams & stakeholders. Identifying the proper tools to use was key to addressing the big picture needs of the multiple stakeholders. The integrated project work primarily took place over the course of eight weeks via integrated team meetings. Other work in support of this project was conducted off-line as needed by the project lead. Details on the prospective timeline, milestones, key dates and work scope can be referenced in this paper. Key systems engineering methodologies and tools used in support of this project included but is not limited to: Market Surveys and Interviews Project Charter Feasibility Study Swim Lane Diagram Knowledge Management Plan. A full suite of tools and the details regarding the application of these tools and results of this study is provided in this report.

42 ENGINEERING↗

Human Factors Considerations for Automating Microreactors

The U.S. Nuclear Regulatory Commission (NRC) has interacted with vendors pursuing the commercialization of microreactors ( <10 MW th ). It is envisioned that microreactors could be assembled and fueled in a factory and shipped to a site. Many of the sites are expected to be remote locations requiring off-grid power or in some cases military bases. However, before this new class of nuclear reactor can be fully developed and implemented by designers, an effort must be made to explore the technical issues and provide reasonable assurance to the public regarding health and safety impacts centered on various technical issues. Prior works have examined many of these issues. One issue not yet fully explored is the possible change in role of the operations and support personnel. Due to the passive safety features of microreactors and their low level of nuclear material, the microreactor facilities may automate more functions and rely on inherent safety features more than its predecessor nuclear power plants. In some instances, human operators may not be located onsite and may instead be operating or monitoring the facility from a remote location. Some designs also call for operators to supervise and control multiple microreactors from the control room. This report explores the issues around reduced staffing of microreactors, highlights the historical safety functions associated with human operators, assesses current licensing requirements for appropriateness to varying levels of personnel support, and describes a recommended regulatory approach for reviewing the impact of reduced staff to the operation of microreactors. The report evaluates these issues through an extensive literature survey and Subject Matter Expert interviews. The literature covers research topics related to Human Factors Engineering as well as regulatory guidance given by the Nuclear Regulatory Commission.

22 GENERAL STUDIES OF NUCLEAR REACTORS↗

A Valentine’s tribute to Lab love: Watch clips from 1943 wedding of two staff

She was a secretary for Director J. Robert Oppenheimer. He was a physicist who helped create the world’s first atomic bombs. And for 65 years they were Mr. and Mrs. Bradner. Hugh Bradner was the first person that Marjorie Hall met upon arrival to join the Lab’s clandestine war-time efforts. He happened to be in Dorothy McKibbin’s Santa Fe office when Marjorie walked in. It was love at first sight, Marjorie recalled years later in an interview. The Bradners were married in September 1943 at McKibbin’s home. It was one of many weddings there during the Manhattan Project era. Los Alamos was fenced and guarded during this time, as staff raced to secretly develop nuclear weapons to help end World War II. Most were young – the average age was late 20s – and many, like the Bradners, met their lifelong partners then. The Bradners left Los Alamos after the war ended in 1945. Hugh is credited with inventing the neoprene wetsuit in 1951. The couple had one daughter. Marjorie, 89, and Hugh, 92, died just a few weeks apart in 2008 in California. Many of their home movies from their time in Los Alamos are preserved at the Lab. They are part of the collections in the National Security Research Center, which is the Lab’s classified library and also houses unclassified artifacts.

99 GENERAL AND MISCELLANEOUS↗

Technical Issues in the Comprehensive Nuclear Test Ban Treaty (CTBT) Ratification Debate: A 20 Year Retrospective

Two decades after the U.S. Senate declined in 1999 to give its consent to ratification of the Comprehensive Nuclear Test Ban Treaty (CTBT), the treaty remains in legal and political limbo. Legally, the treaty cannot enter into force without U.S. ratification. However, the Senate’s rejection does not strip the treaty of its force as an element of customary international law or alter the will of other signatories to see it enter into force. Politically, the debate over the virtues and flaws of the treaty remains as strong as ever, with some CTBT advocates pushing energetically for U.S. re-review while some opponents seek ways to “un-sign” the treaty. Meanwhile, despite the Senate’s rejection of the treaty, the United States acts in a manner consistent with its main obligations by maintaining a moratorium on explosive nuclear testing and providing financial support (as well as technical expertise) to the CTBT Organization (CTBTO)—in particular the CTBTO’s International Monitoring System (IMS). The CTBT may well remain in such limbo for a long time to come, unless some catalytic event comes along to re-shape national perceptions and priorities, one way or the other. The treaty’s future, whatever it might be, will be determined in part by how much perspectives might have changed in light of interim developments. Our purpose is to shed light on some of those developments and to assess their relevance. The 1999 ratification debate addressed a large number of issues. Rejection was driven by various policy and technical judgments. The purpose of this paper is to re-examine those technical judgments in light of what has been learned over the following two decades. On some technical matters, there was explicit recognition of extant uncertainties, as well as a conviction and hope that time would dispel them. To be doubly clear, our purpose is not to recommend a way forward on CTBT ratification. The policy judgments of 1999 and 2020 are beyond the scope of this paper. This technical re-examination proceeds as follows. It begins with a short background section to introduce the key technical matters in discussion in the U.S. ratification process. Then it moves systematically through each of those topics with a review of relevant background information, a discussion of key points in debate, an analysis of subsequent experience, and a current assessment. The historical analysis draws on many sources including the primary documents of the Congressional debate, the official article-by-article interpretation by the Department of State, and the statements of key players in the process. We also relied on key technical reports and publications by subject matter experts that have addressed in more detail many of the issues in our focus. These sources include the 2002 and 2012 reports of the National Academy of Sciences as well as publications by senior technical staff of Lawrence Livermore National Laboratory (LLNL) who were actively involved in the ratification debate, including then-Laboratory Director Bruce Tarter. We also conducted several interviews with government officials from the 1990s, past laboratory directors, and other members of the scientific community. But, except where individuals are specifically cited by name, the judgments offered here are our own and should not be attributed to any other individual or to LLNL as such.

98 NUCLEAR DISARMAMENT, SAFEGUARDS, AND PHYSICAL P↗

A Circular Economy for Lithium-Ion Batteries Used in Mobile and Stationary Energy Storage: Drivers, Barriers, Enablers, and U.S. Policy Considerations

As large-format battery energy storage (BES) capacity increases in the United States, so will the volume of spent lithium-ion batteries (LiBs) (Bade 2019). Estimates based on a 10-year lifetime assumption found that the volume of LiBs that have reached the end of their utility for electric vehicle (EV) applications could total two million units (four million metric tons) annually by 2040 in the United States (Richa et al. 2014; Ai and Borucki 2018). Although there is currently no publicly available decommissioning or end-of-life (EoL) projection for stationary BES systems, the U.S. energy storage market is expected to grow from an annual deployment of 523 megawatts in 2013 to 7.3 gigawatts in 2025 (Wood MacKenzie and ESA 2020; Wesoff 2020). Despite potential secondary market opportunities and the potential benefits associated with the reuse/recovery of LiB material, anecdotal evidence suggests that in the United States most decommissioned LiBs from EVs are landfilled or otherwise disposed of (Steward et al. 2019; Salim et al. 2019; CPUC 2019; DTSC 2019d; NREL 2019b; Jacoby 2019; DOE 2019). The reuse of large-format LiBs is not at commercial scale and to date consists of only a handful of U.S.-led pilot projects. Similarly, less than 5% of LiBs from EVs are sent to recycling facilities in the United States (Steward et al. 2019; Jacoby 2019; America Made 2019; Patel 2017). As awareness of current practices grows, and the demand for critical LiB materials increases, U.S. industry stakeholders, regulators, and policymakers are starting to (1) consider solutions to drive and enable environmentally sustainable materials management decisions and behaviors and (2) identify barriers to a circular economy for LiBs (Figure 1). Circular economy principles (Figure 1) attempt to transition from a “take-make-consume-dispose” linear economic system to a circular system that allows for the long life, high performance, and the reuse/recovery of products and materials (Ellen MacArthur Foundation 2016). We begin this report by summarizing drivers, barriers, and enablers to a circular economy for LiBs used in mobile and stationary BES systems in the United States. We then report on our analysis of federal and state regulatory considerations that may impact the reuse/recovery and disposal of LiBs, and potential civil and criminal liabilities associated with noncompliance. We conclude by highlighting state policies and initiatives in the United States that expressly address reuse/recovery and disposal of large-format LiBs. Our results are based on legal and literature-based research and interviews with mobile and stationary BES industry stakeholders, regulators, and policymakers. While this report addresses stationary BES, as well as mobile BES, much of the information and experience with LiB decommissioning and EoL material management is derived from the increasing management of spent EV LiBs in the United States.

25 ENERGY STORAGE↗