1.0 REDUCING EMISSIONS FROM ENERGY END USE AND INFRASTRUCTURE 

1.1 TRANSPORTATION 

1.1.1 LIGHT VEHICLES – HYBRID, FUEL CELL, AND ALTERNATIVE-FUEL VEHICLES

Technology Description 

Hybrid electric vehicles (HEVs) use a combination of electric and mechanical power. HEVs can reduce 

greenhouse gas emissions by nearly 50% over conventional vehicles.1

 An HEV with a compression ignition, 

direct-injection (CIDI) engine (and whose chassis incorporates lightweight materials) could improve peak 

energy efficiency by more than 100% compared to present-day gasoline engines. Advanced combustion 

engines alone could reduce fuel consumption by 50%. Fuel cell vehicles (FCVs) are one type of HEV, 

distinguished by the use of a fuel cell to electrochemically produce electricity from hydrogen and oxygen 

rather than using an internal-combustion engine. Although R&D to enable FCVs that run on gasoline or other

fuels reformed “onboard” to produce hydrogen has been conducted, it appears that most of the world's 

automakers have decided to move directly to designs powered by hydrogen stored onboard. FCVs using 

onboard hydrogen produce only water as a tailpipe emission. The hydrogen source (nuclear, fossil fuel, 

renewables) must be factored into determinng the net energy and environmental benefit of FCVs. All hybrid

vehicles could potentially benefit from batteries with greater energy capacity that can recharge from the 

electrical grid (i.e. plug-in hybrids). Plug-in hybrids could provide additional emissions reductions and 

efficiency improvements; but because most electricity is produced from fossil fuels, the contributions to 

reductions in carbon emissions needs to be evaluated. Alternative fuel vehicles (AFVs) are defined as those 

capable of running on one or more fuels such as ethanol, natural gas, propane, hydrogen, biodiesel, electricity, 

methanol, or blends. Some of these fuels may be useful as components in fuel blends that enable higher 

 

100% 19.4%

6

3.4

%

3.5

%

2.9%

13.0%

5.1%

2.5%

5.4%

17.2%

100% 19.4%

6

3.4

%

3.5

%

2.9%

13.0%

5.1%

2.5%

5.4%

17.2%

60-

70%

Conventional vehicle energy audit used as 

baseline for analysis of advanced design options. 

1

 FCVT MYPP ES-2 

U.S. Climate Change Technology Program – Technology Options for the Near and Long Term

August 2005 – Page 1.1-1
combustion efficiencies and also displace petroleum. The fuels used and how they are produced will 

determine the degree of carbon-emissions reduction compared to conventional vehicles. 

System Concepts 

• HEVs that provide even limited power-assist during acceleration can dramatically reduce peak engine 

size, resulting in substantial fuel economy benefits. 

• HEVs have led to the introduction of “idle-off” strategies using a combined alternator/starter. The engine 

automatically turns off when the engine is idling or decelerating. In such cases, stored energy is required 

to operate the ancillary loads, such as cabin climate control. 

• HEVs with more electrical energy storage capacity and plug-in capability can run in “electric-only” mode 

for an expanded range (allowing even combustion-engine HEVs to act temporarily as zero-emissions 

vehicles), and they may also be able to contribute to electric grid stability and peak-shaving. 

• FCVs can either store a liquid fuel onboard that uses a reformer or other chemical reaction to produce 

hydrogen (an approach now dropped by the U.S. Department of Energy and by U.S. automakers), or it can 

directly store hydrogen in gaseous or liquefied (cryogenic) form.

• Reducing the weight of vehicle by as much as 50% could improve vehicle energy efficiency by more than 

30%, regardless of the type of power train (combustion, fuel cell, HEV).

• AFVs often require fuel tank modifications, emission-related systems, and appropriate fuel supply and 

infrastructure.

Representative Technologies 

• Hybrid electric powertrains (advanced power electronics, electrical energy storage, and electric motors). 

• Greater energy storage capacity for enabling plug-in HEV or all electric-vehicle applications. 

• Fuel cell component technologies such as Polymer electrolyte membranes (PEM), catalysis, and bipolar 

plates. 

• Advanced internal combustion engine such as CIDI, lean combustion (e.g. homogeneous charge 

compression ignition), gasoline direct-injection. 

• Nonpetroleum-based fuels (including renewable fuels), improved petroleum-based fuels, and eventually, 

renewably produced hydrogen. 

• Lightweighting materials technologies that can reduce vehicle weight. Technology Status/Applications

• Many major automotive manufacturers have developed or plan to develop HEVs and/or AFVs. More than 

920,000 HEVs and AFVs were made available for sale in the United States in 2003.2

 

• HEVs are providing up to 40% gain in fuel economy as compared to equivalently equipped and sized 

nonhybrid vehicles. 

• Diesel-powered passenger vehicles with up to 40% gain in fuel economy over comparable gasoline 

vehicles are gaining market acceptance. 

• Polymer electrolyte membrane (PEM) fuel cells are being demonstrated on developmental vehicles and 

buses. Limited prototype plug-in HEVs are currently being demonstrated by automotive manufacturers 

and/or private industry.

Current Research, Development, and Demonstration 

RD&D Goals (by 2010) 

• To ensure reliable systems for future hybrid electric combustion or fuel cell powertrains, with costs 

comparable with conventional internal-combustion engine/automatic transmission systems, the goals are: 

− Electric-propulsion system with a 15-year life capable of delivering at least 55 kW for 18 seconds and 

30 kW continuous at a system cost of $12/kW peak. 

− 60% peak energy-efficient, durable fuel cell power system that achieves a 650 W/kg power density 

and 650 W/L operating on hydrogen. Cost targets are $45/kW by 2010, $30/kW by 2015. 

− Electric drivetrain energy storage with 15-year life at 300 Wh with discharge power of 25 kW for 18 

seconds at a cost of $20/kW. 

 2

 EIA form EIA-886, annual survey, table 14.

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• To enable clean, energy-efficient vehicles (including HEVs) operating on clean, hydrocarbon-based fuels 

and powered by internal combustion powertrains, the goal is: 

− Internal combustion systems that cost $30/kW, have a peak brake engine efficiency of 45%, and meet 

or exceed emissions standards. 

• To enable the transition to a hydrogen economy, ensure widespread availability of hydrogen fuels, and 

retain the functional characteristics of current vehicles, the goals are: 

− Demonstrate hydrogen refueling with developed commercial codes and standards and diverse renewable 

and nonrenewable energy sources. Targets: 70% energy efficiency well-to-pump; cost of energy from

hydrogen equivalent to gasoline at market price, assumed to be $2-3 per gallon gasoline equivalent.

4

− Hydrogen storage systems demonstrating an available capacity of 6 wt% hydrogen, specific energy of 

2,000 Wh/kg, and energy density of 1,100 Wh/L at a cost of $5/kWh.5 

• Internal combustion systems operating on hydrogen that meet cost targets of $45/kW by 2010 and 

$30/kW in 2015, have a peak brake engine efficiency of 45%, and meet or exceed emissions standards. 

• Develop light-duty engine and fuel technologies that utilize transitional alternative fuels and have as good 

or better performance than conventional engine technologies to meet future emissions standards. 

• To reduce the weight of vehicles, the goal is to develop material and manufacturing technologies for highvolume production vehicles that enable and support the simultaneous attainment of: 

o 50% reduction in the weight of vehicle structure and subsystems, 

o affordability, and 

o increased use of recyclable/renewable materials. 

Notes: 

1. Cost references are based on CY 2001 dollar values. Where power (kW) targets are specified, those targets are to ensure that

technology challenges that would occur in a range of light-duty vehicle types would have to be addressed. 

2. Does not include vehicle traction electronics. 

3. Includes fuel cell stack subsystem and auxiliaries; does not include fuel tank. 

4. Targets are for hydrogen dispensed to a vehicle assuming a reforming, compressing, and dispensing system capable of dispensing

150 kg/day (assuming 60,000 SCF/day of natural gas is fed for reforming at the retail dispensing station) and servicing a fleet of 

300 vehicles per day (assuming 0.5 kg used in each vehicle per day). Targets also are based on several thousand stations, and 

possibly demonstrated on several hundred stations. Technologies may also include chemical hydrides such as sodium borohydride. 

5. Based on lower heating value of hydrogen; allows over a 300-mile range. 

RD&D Challenges

• All advanced vehicles face the challenge of achieving competitive cost, reliability, and consumer 

acceptance. 

• HEVs (especially plug-ins) and FCVs need affordable, durable, lighter, and more compact energy storage. 

• Power electronics, required by all high-voltage systems, are expensive, need active cooling, and require 

significant space. 

• All energy-efficient vehicles face a severe fuel economy penalty when ancillary loads are applied. 

Nonpropulsion related loads must be reduced. 

• FCVs with hydrogen storage have no existing infrastructure for refueling. Onboard storage of hydrogen in

quantities sufficient to meet range requirements is a major challenge. 

• Low-cost, durable membranes and significant reductions in catalyst materials or inexpensive substitutes 

are needed for fuel cells. 

RD&D Activities

• DOE, through the FreedomCAR and Fuel Partnership, is working with industry and other local, state, and 

Federal government agencies on vehicle-systems analysis, combustion technologies, materials R&D, fuels 

R&D, and technology introduction through fleet testing and evaluation. 

• DOE's R&D through FreedomCAR that includes component and vehicle simulation, ancillary load 

reduction, component development and testing, energy storage, power electronics, electric motors, 

advanced engines, and lightweight materials. 

 

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Recent Progress 

• Advances in energy storage systems – including hybrid storage consisting of batteries and ultracapacitors 

– show promise. The hybrid electric vehicles/electric vehicles battery market is expected to grow at an 

averge annual rate of more than 50% during the next five years to reach nearly $250 million in 2008. 

• The projected cost of advanced batteries (lithium ion) has been reduced from $3,000 (1998) to less than 

$1,000 (2004). 

• The projected cost of carbon fibers for lightweighting vehicles has been reduced from $12 per pound 

(1998) to a projected cost of less than $5 per pound (2004). 

• Reduced high-volume cost of automotive fuel cells from $275/kW (2002) to $200/kW (2005) using 

innovative processes for depositing platinum catalyst developed by national labs and fuel cell developers. 

• Reduced natural gas-based hydrogen production from $5 per gallon gasoline equivalent (gge) in 2003 to 

$3.60 per gge in 2005 using innovative reforming and purification technologies. 

• Selected new hydrogen projects (spanning basic sciences research to learning demonstrations) totaling 

more than $500 million ($750 million with private cost share) to overcome obstacles to a hydrogen 

economy. This represents more than one-third of the president’s $1.2 billion commitment in research 

funding and will help bring hydrogen and fuel cell technology from the laboratory to the showroom. 

Selected through a merit-reviewed, competitive process, the projects address hydrogen production and 

delivery, storage, vehicle and infrastructure learning demonstrations, and fuel cells. An additional $87 

million in fuel cell research is planned. 

Commercialization and Deployment Activities 

• HEVs: The biggest competition for gasoline HEVs are advanced combustion conventional vehicles. In 

Europe, high-efficiency diesel vehicles have demonstrated fuel economies similar to that of gasoline 

HEVs. Consumer acceptance and willingness to pay a little more for a more fuel-efficient, hightechnology vehicle is key. HEVs use conventional fuels, with no refueling infrastructure challenges. 

Some HEVs have long ranges, appealing to consumers who dislike frequent refueling stops. 

• FCVs: Current developmental hydrogen-fueled fuel cell systems demonstrate efficiencies approaching 

50% over a fairly wide range of operation, and produce zero criteria emissions. These vehicles have the 

potential to require less maintenance due to fewer moving parts and lower operating temperatures. 

However, cost, hydrogen storage, and infrastructure requirements are substantial barriers. DOE 

established a national “learning demonstration,” which integrates automotive and energy companies in 

demonstrating hydrogen infrastructure and fuel cell vehicles. One purpose is to collect performance, 

durability, and cost data to refocus the research program. Another purpose is to use this data to measure 

progress at the system level.

Market Context 

• The market for these technologies is all passenger vehicles (cars and light trucks). To be successful in the 

marketplace, these technologies need to be made less expensive and more attractive to new-vehicle 

buyers. 

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1.1.2 HEAVY VEHICLES 

Technology Description 

Freight vehicles (Class 7 and 8 trucks and rail) and commercial delivery vehicles (Class 2b through Class 6) are 

essential to the economic vitality of the nation. Diesel engines are the dominant motive source for these 

vehicles. Vehicle efficiency could be increased by as much as 50%, if all current research areas such as a new 

generation of ultra-high-efficiency diesel engines (using advanced emissions-control technology) and reduced 

aerodynamic drag, rolling resistance, and parasitic power losses are successful. Development and 

commercialization of trucks with higher efficiency will significantly reduce transportation oil use, emissions 

(including CO2), and related costs to the economy. Increased use of lightweight materials will contribute to

these goals. Hybrid propulsion systems have the potential to double the fuel economy of heavy-duty vehicles, 

such as buses or delivery vehicles, over urban driving cycles.

System Concepts

• Four-stroke, direct-injection diesel engines (with high peak-cylinder pressures, thermal barrier coatings, 

high-pressure fuel injection systems, and turbocharging) are being developed. 

• Lightweight materials, truck aerodynamics, and advanced tires are being developed to improve overall fuel 

economy.

• Hybrid vehicles with regenerative braking may have application in local delivery vehicles and buses. 

• Vehicle electrification can reduce parasitic losses from auxiliary loads and help reduce idling losses. 

Representative Technologies 

• High-pressure, common-rail fuel injection, bottoming cycles, and friction and wear reduction. 

• Software technology to improve vehicle aerodynamics. 

• Advanced power electronics, energy storage, hybrid powertrains, and lightweight materials technologies. 

Technology Status/Applications 

• Virtually all heavy-duty trucks and the entire fleet of locomotives are diesel powered, and there is an 

increasing trend to convert medium-duty trucks to diesel fuel as well. Advanced combustion concepts –

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August 2005 – Page 1.1-5
resulting in higher efficiency and lower emissions while maintaining power density – are needed. New 

advanced technologies for emission controls are required. 

• Fuel cells are only considered a long-term option for heavy-duty trucks (except for truck auxiliary power 

units) due to hydrogen storage limitations. Fuel cell bus applications are seen as near term. A locomotive 

fuel cells program is being pursued by industry.

• Software tools are being developed to provide design guidance to reduce aerodynamic drag. 

Current Research, Development, and Demonstration 

RD&D Goals

• Engine systems including the integration of fuel, engine, and aftertreatment. Specific technology goals are: 

− Development and demonstration of a commercially viable, emissions-compliant engine system for 

Class 7-8 highway trucks that improves the engine system efficiency from the current 40% to 50%) by

2010 and demonstrate 55% efficiency in the laboratory by 2013. 

• Parasitic losses account for 40% of the total fuel energy used to move a heavy vehicle down the road. 

These losses arise from aerodynamic resistance, rolling resistances, drivetrain, and auxiliary load losses. 

Specific 2012 technology goals are: 

− Develop and demonstrate advanced technology concepts that reduce the aerodynamic drag of a Class 8 

tractor-trailer combination by 20% (from current 85 kWh to 68 kWh) in a practical, efficient, and 

commercially viable manner. 

− Develop and demonstrate commercially viable technologies that reduce auxiliary loads by 50% (from

current 15 kWh to 7.5 kWh) for Class 8 tractor-trailers. 

− Develop and demonstrate commercially viable lightweight material and manufacturing processes that 

lead to a 5,000-pound reduction in Class 8 tractor-trailer combinations (a 15%-20% weight reduction) 

− Develop and demonstrate commercially viable technologies that increase heat-load rejected by thermal 

management systems by 20% without increasing radiator size. 

• Class 7 and 8 trucks, alone, consume more than 825 million gallons of diesel fuel per year when idling. 

Technology goals are to reduce fuel use and emissions from idling heavy vehicles by greater than 65%. 

Specific technology goals are:

− Develop and demonstrate a commercially viable fuel cell auxiliary power unit system in the 5-30kW 

range, capable of operating on diesel fuel at a delivered cost of $400/kW by 2012. 

RD&D Challenges

• Technical challenges exist to improving engine efficiency, thus reducing CO2 emissions, while meeting 

emission regulations 

• Safety, durability, and reliability of new technology are being demanded by industry and required by other 

government agencies, all of which can add cost and weight. 

• Meeting tighter emissions regulations can result in an additional load on the engine – such as additional 

backpressure – which can increase fuel consumption. 

RD&D Activities

• DOE is working closely with industry in the 21st Century Truck Partnership. 

• DOE programs and the Advanced Heavy-Duty Hybrid Propulsion System (AHHPS) industry teams are 

analyzing, developing, and validating a range of heavy hybrid vehicles, including Class 3-8 trucks and 

buses, to define system architecture, optimize control strategy, and quantify component requirements. 

• Much heavy-vehicle testing is done at DOE’s Renewable Fuels and Lubricants Laboratory, and EPA’s 

National Vehicle Fuel Emissions Laboratory. 

• Department of Defense Advanced Research Projects Agency, California Energy Commission, and the 

California Air Resources Board cosponsor R&D projects with DOE. 

• DOE sponsors analytical and modeling work. 

Recent Progress 

• Under the AHHPS project, a validation truck and bus were developed, and tested (laboratory and field) 

successfully. 

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August 2005 – Page 1.1-6
• An interim goal of 45% efficiency was achieved in heavy-duty multicylinder engines. 

• Prototype engines operating in new combustion regimes have demonstrated, in the laboratory, 90% lower 

NOx and particulate matter – and with equal power density to that of conventional combustion engines. 

• Demonstrated 51% reduction in aerodynamic drag for Class 8 trucks in wind tunnel tests. 

• Electrification of underhood components – such as air compressors, water pumps, and oil pumps – was 

shown to reduce fuel consumption by up to 18%.

Commercialization and Deployment Activities 

• The diesel engine is the workhorse of all the heavy-duty transport modes that are responsible for most of 

the nation’s intercity freight movement, the lifeblood of the economy. Because of low fuel consumption, 

high reliability, and long service life, it is widely acknowledged that the diesel engine will continue to 

dominate heavy-duty transport propulsion for many years. 

• Prominent participants in the heavy vehicle industry, DOE and others, through cost-shared R&D activities, 

are employing strategies to introduce advanced heavy-vehicle technologies into the marketplace. 

• With DOE assistance, Cummins Engine, John Deere Company, and Mack Trucks have introduced heavyduty natural gas engines with high efficiency, power ratings, and torque that maintain very low emissions. 

• All new technologies must meet high durability requirements. 

Market Context 

• Stiff domestic and international competition from European and Japanese diesel-engine manufacturers has 

reduced domestic market share. U.S. manufacturers have limited resources to identify, research, develop, 

and commercialize many of the promising advanced emission technologies. Effective partnership with 

national labs is essential for successful completion of advanced automotive research activities. The market 

encompasses all commercial highway vehicles with some benefit to off-highway vehicles from advanced 

combustion-engine improvements. 

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1.1.3 FUELS FOR ADVANCED COMBUSTION ENGINES 

Technology Description 

The Fuels for Advanced Combustion Engines 

activities are undertaken to enable advanced 

combustion regime engine technology, as well 

as identify practical, economic fuels and fuelblending components with the potential to

directly displace significant amounts of 

petroleum. A major focus of the fuels 

activities is to determine the impacts of fuel 

properties on the efficiency, performance, and 

emissions of advanced internal combustion 

engines. In the near term, these are expected – 

for the most part – to be direct-injection diesel 

engines and their associated emission-control 

systems. 

System Concepts 

• To enable current and emerging advanced combustion engines and emission control systems to be as 

efficient as possible while meeting future emission standards. 

• To reduce reliance on petroleum-based fuels by supporting the introduction of fuels that displace 

petroleum. 

• To reduce sulfur, particulate, and oxides of nitrogen emissions. 

Representative Technologies—Fuels 

• Low-sulfur diesel fuel that allows more efficient emissions control. 

• Diesel fuel produced from expected heavier and sourer crude oil feedstocks. 

• Diesel fuel produced from oil sands, shale oil, coal. 

• Biodiesel produced from vegetable oils and waste fats. 

• Fischer-Tropsch diesel produced from natural gas, biomass and coal. 

Representative Technologies—Engines 

• Direct-injection diesel engines equipped with emission controls such a diesel particulate filters (DPF), NOx 

Adsorber Catalysts (NAC), or Selective Catalytic Reduction (SCR) systems. 

• Homogenous charge compression ignition (HCCI). 

• Low-temperature combustion (LTC). 

Technology Status/Applications 

• Venezuelan and domestic heavy crude use in U.S. refineries is well established. 

• Refining of synthetic crude derived from oil sands is growing in use in Canada, and expansion into U.S.

petroleum pools is beginning. 

• Fischer-Tropsch diesel fuels, synthesized from natural gas or coal (Coal-to-Liquids, CTL), have been 

studied in numerous engine tests to determine their impact on emissions and have been used as a blending 

material in California diesel fuels since 1993. 

• Use of similar fuels derived from biomass – Biomass-to-Liquid (BTL) fuels – may increase in the future.

• Biodiesel (fatty acid methyl esters) produced from vegetable oils and waste fats has been used extensively

as a blending component in Europe and its use in the United States is increasing.

Current Research, Development, and Demonstration 

RD&D Goals

• By 2007, identify fuel formulations optimized for use in 2007-2010 technology diesel engines that 

incorporate use of nonpetroleum-based blending components with the potential to achieve at least a 5% 

replacement of petroleum fuels by 2015. 

• By 2010, complete R&D to eliminate technical barriers to the achievement of the 5% petroleum

A researcher

uses a clean 

room to 

gather 

emissions 

data from 

future fuels.

U.S. Climate Change Technology Program – Technology Options for the Near and Long Term

August 2005 – Page 1.1-8
displacement goal for 2007-2010 engines, allowing these engines to meet key technical targets. 

• By 2010, identify fuel formulations optimized for use in advanced combustion engines (2010-2020) 

providing high efficiency and very low emissions, and validate that at least 10% replacement of petroleum

fuels could be achieved by 2025. 

RD&D Challenges 

To fully exploit the full potential of high-efficiency, clean advanced combustion regime engines, 

codevelopment of the engines and fuels is a necessity. Nearer term, understanding the compatibility of

nonpetroleum-based fuels with 2007-2010 engines is critical for expanded use of these fuels. The technical 

barriers to achieving this are as follows:

• Inadequate data and predictive tools for fuel property effects on combustion and engine

optimization. Existing data and models for engine efficiency, emissions, and performance – based on fuel 

properties and fuel-enabled engine designs or operating strategies – are inadequate. Also, the variability of 

refinery stream (blendstock) composition on the efficiency, performance, and emissions of engines appears 

to be significant but is poorly understood. 

• Inadequate data and predictive tools for fuel effects on emissions and emission-control system 

impacts. The database on the extent to which petroleum fuel and nonpetroleum fuel components contribute

to toxic emissions is inadequate and must be improved in order to optimize engine and aftertreatment 

systems from a fuel economy standpoint. The relationship between fuel properties and the formation of 

ultra-fine particles (i.e., particles of <0.1 nm in diameter) is not well established. Also inadequate are data 

on the effects of fuel properties (other than sulfur) on exhaust emission control systems; and widely 

accepted test procedures to measure these effects do not exist. Furthermore, suitable test equipment and 

universally recognized test procedures with which to generate this knowledge base are not available. 

• Long-term impact of fuel and lubricants on engines and emission-control systems. The knowledge 

base is inadequate on the effect of fuel properties on the deterioration rates and durability of engine fuel 

system and emission-control system devices and components. The effects of lubricating oil on engine 

emissions and emission-control devices are not clearly understood, nor are the effects of nonpetroleumbased fuels on lubricating oil performance. Improved understanding is needed in developing approaches 

that mitigate any deleterious effects caused by fuel and lube oil components. Furthermore, new fuel 

formulations could require corresponding new lube oil formulations. 

RD&D Activities 

The fuels activities will test and evaluate a wide variety of fuels to develop a better understanding of the 

relationships between fuel properties, engine efficiency, system durability, and emissions. Exhaust emissioncontrol devices are expected to be necessary to meet future emissions standards for diesel-powered vehicles. 

Fuels-compatibility testing will include such devices as they become available (through close collaboration 

with the Advanced Combustion Engine R&D activities). 

Key deliverables from these activities will be test data and test-databased analyses of the sensitivity of the 

performance and emissions of engines and emission-control devices to fuel and lubricant properties. As data

accumulate in the database, it will become increasingly feasible to predict fuel formulations with favorable 

properties to reduce emissions of NOx and PM. In addition, some emission-control strategies rely on reductants 

derived from the fuel to operate effectively, a fact that will be taken into account as required reductant 

properties are identified by the Advanced Combustion Engine R&D activities. Technical tasks include: 

• Evaluation of fuels and lubricants to enable high efficiency engine operation while meeting 2007-2010 

emission standards. 

• Evaluation of fuel properties effects on advanced combustion regimes and on engine regulated and 

unregulated emissions while operating in these regimes. 

• Evaluation of petroleum displacement fuels and fuel-blending components. 

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Recent Progress 

• A major focus of the fuels activities is to determine the impacts of fuel properties on the efficiency, 

performance, and emissions of advanced internal combustion engines. A recently completed major 

contribution to clean, efficiency transportation was a multiyear effort to determine the effects of fuel sulfur 

on diesel emissions controls that helped lead to and support EPA’s rulemaking for low-sulfur diesel fuel. 

In the near term, advanced internal combustion engines are expected to be mostly direct-injection diesel 

engines and their associated emission-control systems. There exists little understanding of the compatibility

of the engine-emission-control system with renewable fuels such as biodiesel or BTL. Additional 

information is also required on performance and durability with fuels derived from heavy-crude, oil sands, 

shale oil, and coal. 

• For the long term, focus is on fuels optimized for advanced combustion regimes, which include 

technologies that have the potential to provide diesel-like (or greater) efficiency with extremely low 

engine-out emissions. Combustion regime examples are homogeneous charge compression ignition (HCCI) 

and low-temperature combustion (LTC). 

• While anecdotal evidence points to variations in performance and emissions in near-term (e.g., prototype 

MY2007) engines related to fuel-property variations, it is almost certain that future, advanced combustion 

engine technologies will show a greater sensitivity to such variations. As such, codevelopment of fuels and 

engines will be essential to ensure availability of fuels optimized for operation in advanced combustion 

regime engines in the post-2010 time frame. This necessitates an improved fundamental knowledge about 

fuel properties and composition and their impact on combustion phenomena. If fuel specifications need 

tighter definition for engine operation in advanced combustion regimes, close coordination between the 

Advanced Combustion Engine and Fuels activities will be essential.

• The expertise of the national laboratories is used for in-house research and development efforts, in 

“working group”-level interactions in government-industry consortia, and in technical management. In the 

near term, fuel issues associated with 2007-2010 engines and emissions-control systems are of concern. 

Near-term tasks support removing sulfur from the fuel at fueling stations or onboard the vehicle prior to 

combustion to provide a near-zero sulfur level, if necessary. An additional near-term focus is assessing the 

impact of renewable and nonpetroleum blending components such as biodiesel and BTL, and examining 

the impacts of fuels derived from heavy-crude. For the long term, the challenge is development of a fuel 

specification optimized for operation of advanced combustion regime engines up to full load and during 

transients. Other challenges include assessing the implications of the properties of newly developed fuels 

on engine performance and emissions, and identifying compatible lubricants for use with newly developed 

fuels. 

Commercialization and Deployment Activities 

• Guidance on the fuels testing and other tasks will come from industry, DOE, national laboratories, and 

others. Government/industry technical and supporting groups will make specific recommendations for 

tasks, data analyses, and overall direction. 

Market Context 

• Infrastructure. The lack of quality specifications, as well as distribution and fueling infrastructure is a 

major barrier for any nonpetroleum-based liquid fuel component that is not compatible with all current 

systems. This barrier must be addressed for non-fungible fuels to have a significant impact on reducing the 

transportation sector’s dependence on petroleum-based fuels. 

• Cost. There are insufficient public data on refinery economics and processing strategies to enable 

comparison of options for advanced combustion engine fuels. Also inadequate are the databases on the 

health, safety, and regulatory issues associated with most nonpetroleum fuel components that might be 

used to replace petroleum-based fuels, and the knowledge base on the technical and economic impacts of 

nonpetroleum fuel components on the distribution, storage, and fueling.

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1.1.4 INTELLIGENT TRANSPORTATION SYSTEMS INFRASTRUCTURE 

Technology Description 

Faced with annually increasing demand for travel and transport of goods, the transportation system is reaching 

the limits of its existing capacity. Intelligent Transportation Systems (ITS) can help ease this strain, and reduce 

the emissions created and fuel wasted in associated congestion and delays, through the application of modern 

information technology and communications. Several ITS applications and services offer the potential for 

reducing fuel use and related carbon emissions associated with travel and freight transportation. 

System Concepts 

• Intelligent transportation systems (ITS) apply well-established technologies in communications, control, 

electronics, and computer hardware and software to improve surface transportation system performance. 

• ITS are intended to reduce congestion, enhance safety, mitigate the environmental impacts of 

transportation systems, enhance energy performance, and improve productivity. 

Representative Technologies 

• Adaptive traffic signal-control systems and freeway management systems smooth the flow of traffic, and 

reduce stops and delay, which lead to reductions in fuel use and emissions. 

• By clearing incidents faster and more efficiently, incident management systems have demonstrated large 

reductions in energy use associated with the travel delays surrounding the incident. 

• ITS applications for intermodal freight include freight and asset tracking, as well as enhancements to 

freight terminal and international border crossing processes. These enhancements can help create a 

seamless connection between modes of travel for goods shipments as well as reduce delays and associated 

emissions at terminals and inspection stations. 

• Traveler information/navigation systems help travelers avoid major delays and avoid wasted fuel as a result

of navigation errors. 

• Electronic screening of commercial vehicles saves fuel and reduces emissions associated with stopping at 

inspection stations. 

• Electronic toll collection – saves fuel consumption and emissions at tollbooths by minimizing delays, 

queuing, and idling time. 

Intelligent Transportation Systems applications in 

(clockwise from top left) electronic toll collection, 

traffic and incident management, intermodal 

freight, traffic signal control, and transit 

management can help reduce emissions. 

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Technology Status/Applications 

• Deployment of ITS is underway across the United States. A survey covering 78 of the largest U.S. cities 

finds that the most widespread deployments are electronic toll collection (ETC) (73% of toll lanes in 

surveyed cities are ETC capable), emergency management (75% of emergency vehicles are under 

computer-aided dispatch), and electronic fare payment (EFP) area (52% of fixed route buses accept EFP). 

Other areas of significant deployment include incident management and signal control systems. 

• The Commercial Vehicle Information Systems and Networks (CVISN) is the collection of information 

systems and communications networks that support commercial vehicle operations in the United States. 

CVISN is expected to improve commercial vehicle safety, while enhancing productivity, reducing delays

and associated emissions. Eight states have been fully funded to achieve Level 1 deployment (i.e., 

electronic credential administration, safety information exchange, and roadside electronic screening) by 

September 2003. Of these eight, four states have demonstrated Level 1 capabilities. Forty-nine states have 

completed a CVISN Business Plan, and 34 states have completed a CVISN Top-Level Design and CVISN 

Program Plan.

Current Research, Development, and Demonstration 

RD&D Goals

• Develop improved analysis capabilities that properly assess the impact of ITS strategies. 

• Develop strategies that will improve travel efficiency resulting in lower delays, thereby reducing 

emissions. 

RD&D Challenges

• Develop the next-generation mobile emissions models that assess how reductions in stop-and-go traffic, 

resulting from effective ITS traffic management, reduce emissions – including those of greenhouse gases. 

Current models primarily consider vehicle miles traveled, whether that travel occurs at cruising speed 

(where current vehicles are extremely low-emitters) or under stop-and-go conditions (where vehicular 

emissions are significantly higher, except for hybrid electrics). Thus, they have the potential of incorrectly

penalizing effective strategies. 

RD&D Activities 

• The Traffic Analysis and Tools Program is developing tools and models for evaluating various ITS 

strategies and courses of action. 

• The Next Generation Simulation Model (NGSIM) program is developing a repository of improved and

well-documented algorithms for use by traffic-simulation models. 

• The Department of Transportation (DOT) is carrying out evaluations of Field Operational Tests of 

technologies to reduce commercial vehicle queues and wait times at weigh stations. 

• The Electronic Toll Collection/Electronic Screening Interoperability Pilot deployment is being evaluated to 

determine the impact of using interoperable transponders for toll collection and electronic screening of 

heavy vehicles. The evaluation hypotheses being tested include the following: “With reduced delays and 

idle time, fuel consumption and emissions will be reduced.” 

• EPA is developing the Multiscale Motor Vehicle and Equipment Estimation System (MOVES) mobile 

source emissions model. This model will provide improved characterization of vehicle emissions from

high-emitting and heavy-duty vehicles. 

• The Signal Timing Program is being carried out by FHWA to encourage localities to time or retime their 

traffic signals and optimize their signal systems. This will result in reduced stops and delays, thereby

decreasing vehicular emissions. 

• The Incident Management Program is developing strategies and providing guidance on clearing traffic 

incidents sooner. The resulting decrease in vehicle queues and delays result in reduced emissions. 

• The Freeway Management Program is developing operational strategies, technologies, and policies for 

improved efficiency of freeway facilities. Included in the program is research on strategies for sharing 

HOV lanes with low-emission, energy-efficient vehicles when extra capacity is available; detecting and 

verifying incidents; and providing en route information to travelers. Reduced delay and travel time, both of

U.S. Climate Change Technology Program – Technology Options for the Near and Long Term

August 2005 – Page 1.1-12
which result in reduced emissions and fuel conservation, are the relevant MOEs. 

• The ITS Traffic Management Program carries out long-term and applied research toward smoothing traffic 

flow through management and control technologies. This enhances environmental goals by reducing 

stopping and starting of traffic, thereby reducing emissions. 

Recent Progress 

• Developed ITS Deployment Analysis System (IDAS) to determine impacts, benefits, and costs of ITS 

deployments. 

• Completed evaluation of a Field Operational Test to reduce vehicle queues and idling times at land border 

crossings, including an estimate of the avoided health-related costs resulting from reduced emissions. For 

the Washington State/British Columbia border along the I-5 corridor alone, the avoided costs were 

calculated as $1.6M to $2.5M over a 10-year period, depending on the deployment scenario. These 

reductions are primarily from time savings at the border but include reduced idling at weigh stations. 

• There has been a significant increase in the number of Traffic Management Centers (TMCs) implemented 

nationwide, which are essential for implementing and coordinating traffic-management strategies such as 

incident management and freeway management. For example, the 2002 Freeway Management Deployment 

Tracking Survey indicates that 83 agencies had a TMC, of which 41 provide environmental monitoring. 

• Increased bus ridership at Acadia National Park, resulting from implementation of ITS technologies, 

resulted in an estimated reduction of 1.17 tons of emissions in 2002, the first year that ITS was operational. 

• ITS deployment tracking in 75 large metropolitan areas indicates that 27 now have high levels of integrated 

ITS deployment and 30 have medium deployment levels. 

• The Comprehensive Mobile Emission Model (CMEM) was developed under the National Cooperative 

Highway Research Program (NCHRP Project 25-11) to accurately reflect light-duty vehicular emissions, 

such as those from automobiles. 

Commercialization and Deployment Activities 

• An example of the many commercialization activities underway in ITS is the Center for Commercialization 

of ITS Technologies recently established in California. Having begun operations on February 7, 2002, the 

center is a unique partnership among the State DOT, the University of California, and the industry to 

facilitate and accelerate the deployment and commercialization of ITS Technologies. 

• Deployment of electronic toll collection (ETC) systems continues to expand. In a 2002 survey, 73% of toll 

lanes in 78 of America’s largest cities were equipped with ETC. 

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August 2005 – Page 1.1-13
1.1.5 AVIATION 

Technology Description 

 GE90 High Bypass Turbofan 

 

 Boeing 777 

Today’s airplanes are 300 times more energy efficient 

than early jets. 

 

 LNG Buses at LAX 

 New technologies reduce ground emissions

 .... and revolutionary new concepts offer opportunity for 

 continued improvement in the future. 

 

Humans benefit from the ability to move people and products all over the globe – quickly and safely. Aviation 

contributes to our quality of life – allowing us to visit friends and relatives, to travel, to experience new places, 

to shrink the borders of the world. The statistics are impressive. In 1903, Earth’s population was 1.6 billion. 

Today, more than 1.6 billion people use the world’s airlines. The Air Transport industry provides 28 million 

direct, indirect, and induced jobs worldwide. And aircraft carry about 40% of the value of all world trade, 

providing the “just in time” deliveries critical to productivity improvements. Aircraft use conventional 

hydrocarbon fuels, and contribute about 10% of greenhouse gas emissions from the transportation sector. Also, 

emissions from aircraft engines are unique in the aspect that they are deposited directly throughout the upper 

0

2000

4000

6000

8000

10000

000

1965 1970 1975 1980 1985 1990 1995 2000

Btu/passen

12

ger-mile

Aircraft

Automobiles

The energy intensity of aircraft and 

automobiles has improved substantially

during the past several decades. 

Automobile energy intensity has fallen by

almost one-fifth, while aircraft energy

intensity has fallen by three-fifths during 

the same period. 

U.S. Climate Change Technology Program – Technology Options for the Near and Long Term

August 2005 – Page 1.1-14
atmosphere. Subsonic aircrafts emit gases and particles directly into the lower stratosphere and upper 

troposphere, while emissions from supersonic aircrafts are deposited at higher altitudes. These aircraft 

emissions perturb the atmosphere by changing the background levels of trace gases and particles, and by

forming contrails. 

The Federal Aviation Administration (FAA) and the National Aeronautics and Space Administration (NASA)

– together with industry, academia, and other Federal agencies – are pursuing strategies to improve aviation 

fuel efficiency and reduce its impact on global climate. 

System Concepts 

• Optimized Operations – more efficient operations to reduce fuel burn. 

• Optimize Propulsion – advanced turbine engine technologies to reduce fuel burn.

• Reduce airframe weight and drag – airframe technologies that reduce fuel consumption. 

• Alternative vehicles – ground support equipment, airframe concepts, propulsion systems, and fuels that 

dramatically reduce or completely eliminate emissions from civil aircraft. 

Representative Technologies 

• Alternate fuel Ground Support Equipment (GSE) and airport ground access vehicles (e.g., electricity, 

natural gas, propane, fuel cells) reduce ground-based aviation greenhouse emissions. 

• Advanced propulsion concepts greatly reduce greenhouse gas and other harmful emissions. 

• New materials and design practices continue to reduce aircraft empty weight, enhancing fuel efficiency. 

• Information technology and management science advances enable more efficient air traffic management 

and ground operation procedures. 

Technology Status/Applications 

• New engine and airframe technologies in today’s jets have led to a 70%-80% improvement in fuel burn per 

seat mile since the early 1960s. 

• Airports and airlines are adopting low-emissions technologies available for ground-support equipment and 

airport access vehicles – substantial progress in replacing gasoline and diesel-powered airport ground 

vehicles with new vehicles running on cleaner alternative fuels, primarily electricity and compressed 

natural gas (CNG). 

• Enhanced operational procedures offer opportunities for near-term greenhouse gas emissions reductions. 

• Continued advances require continued breakthroughs in more efficient engine and airframe technologies; 

and aircraft technology development and capital turnover follow relatively long cycles, which limits the 

pace of fundamental changes in design. 

• Airborne fuel cells and other alternative-fueled air vehicles have the potential for significant emissions 

reductions, but are far-term (25 years or more) options.

Current Research, Development, and Demonstration 

RD&D Goals 

• FAA goal – improve aviation fuel efficiency per revenue plane-mile by 1% per year through 2008, as 

measured by a three-year moving average, beginning with the three-year average of 2000-2002. 

• NASA technology goals – new technologies with the potential to reduce CO emissions of future aircraft 

by 25% within 10 years and by 50% within 25 years (using 1997 subsonic aircraft technology as the 

baseline).

2

RD&D Challenges 

• Developing new technology that reduces emissions while still being affordable. 

• Ensuring new concepts do not result in additional system weight, which increases fuel burn substantially. 

• Very high premium for safe operation, which constrains the use of unproven new technologies and 

strategies relative to other transportation modes. 

RD&D Activities 

• NASA is pursuing research activities on efficient engine technologies, advanced aerodynamic shapes and 

structures, autonomous robust avionics, and low-emissions alternative power, which could lead to 

significant emissions reductions. 

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August 2005 – Page 1.1-15
• FAA has a roadmap for continuing to mitigate the environmental impacts of aviation. This includes 

research to improve its understanding of the role of aviation emissions on the environment and optimize 

overall environmental impact mitigation strategies. 

• Department of Energy research on alternative-fuel ground vehicles can lead to reduced emissions from

airport ground-support equipment and access vehicles. 

Recent Progress 

• FAA’s Inherently Low-Emission Airport Vehicle (ILEAV) Pilot Program seeks to evaluate airport use of 

alternative-fuel vehicles and infrastructure to determine their reliability, performance, and costeffectiveness in the airport environment. Under this pilot program, there are 125 project vehicles in 

operation and at least 150 more vehicles planned for service. 

• NASA’s primary engine research program, the Ultra-Efficient Engine Technology Program (UEET), has 

made significant progress toward demonstrating its goals of 15% fuel burn (equivalent to CO2) reduction 

and 70% NOx reduction relative to 1996 standards. 

• FAA has developed a unique capability to estimate aircraft emissions ranging from a single flight to 

regional and worldwide scales. The System for assessing Aviation’s Global Emissions (SAGE) will be able 

to develop aviation emission inventories, both for baseline conditions and forecasted technology,

operational, and market-based measures and improvements. 

• Airlines have launched new initiatives to reduce fuel burn by limiting the use of auxiliary power units by

using ground power whenever possible. 

• FAA has established a new Center of Excellence for Noise and Emissions Mitigation, which will identify

solutions for existing and anticipated aircraft emissions-related challenges.

Commercialization and Deployment Activities 

• Aircraft are dependent on liquid fossil fuels, and potential modifications to fuel type and composition for 

environmental benefits are limited. 

• FAA’s Low-Emission Airport Vehicle (ILEAV) Pilot Program is assisting in deploying low-emissions 

technology to airport operations. 

• Fuel costs are a significant portion of operating costs for an airline; hence airlines have great incentives to 

reduce fuel burn. 

• Better meteorological information, yield-management tools, and the hub and spoke system – combined 

with the growth of low-cost, point-to-point carriers, and a significant increase in the number and reach of 

regional airlines – is improving the efficiency of the entire aviation network. 

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August 2005 – Page 1.1-16
1.1.6 TRANSIT BUSES – URBAN-DUTY CYCLE, HEAVY VEHICLES 

Technology Description 

Current transit buses use largedisplacement, slow-speed, fourstroke diesel engines as the 

prime propulsion system. Due 

to their high efficiency and 

reliability, diesel engines are the 

dominant power source for 

heavy-duty transit buses in the 

United States, and they are the 

preferred power source for 

commercial surface 

transportation worldwide. In a 

transit bus, the engine is 

coupled to a four- or five-speed 

automatic transmission, which 

drives through a differential 

within the solid rear axle that 

mounts dual rear tires, resulting 

in a direct (or nearly direct) 

relationship between wheel 

speed and engine speed. The engine also directly drives all major vehicle auxiliary systems, through belt, 

hydraulic, or gear drives or combinations thereof. 

Conventional transit bus designs waste substantial energy through braking resulting in poor propulsion system

efficiency. The current state of practice simply discards this braking energy as heat during deceleration; none 

of it is recovered. Past attempts have been made at energy recovery through hydraulic or pneumatic systems. 

The inherent inefficiency, size, weight, and added complexity of these systems precluded them from

production consideration. 

The urban duty cycle of transit buses (constant stop and start cycles with as many as 14 cycles every 10 

minutes in the case of the CBD-14 driving cycle) means the engine, transmission, and auxiliary systems are 

most frequently operated in a transient mode. Transient operation in this type of drive system is a condition 

detrimental to the goals of high efficiency and low emissions. 

System Concepts 

• Hybrid electric propulsion systems using diesel engines in both parallel and series configuration. 

• Lightweight materials including composite body structures and components. 

• Clean fuel formulation including bio-gas, synthetic diesel, ultra-low sulfur petroleum diesel. 

• Fuel cell systems as standalone propulsion systems and in hybrid configuration.

Representative Technologies 

• Compressed natural gas spark-ignited engines. 

• Diesel hybrid electric systems with current energy storage technologies. 

• Exhaust after-treatment technology for both NOx and particulates. 

Technology Status/Applications 

• Diesel buses are still the dominant technology; 20% of all new bus purchases are for natural gas buses. 

• Clean fuel formulations continue to be evaluated including bio-diesel, synthetic diesel, and bio-gas. 

• Diesel hybrid buses (both parallel and series hybrid) with current energy storage technologies are entering 

commercial infancy.

• Hydrogen fuel cell buses continue to be demonstrated.

U.S. Climate Change Technology Program – Technology Options for the Near and Long Term

August 2005 – Page 1.1-17
Current Research, Development, and Demonstration 

RD&D Goals

• Meet or exceed proposed EPA emissions standard for heavy-duty bus engines of 0.01 g/bhp-hr particulates 

and 0.20 g/bhp-hr of NOx plus 0.14 g/bhp-hr of non-methane hydrocarbons (NMHC) by 2007. By 2015, 

have zero-emission or near zero-emission transit bus commercially available. 

− Advance hybrid electric drive systems in combination with fuel formulation and after-treatment. 

− Continue RD&D for advance energy storage options to enhance commercial viability of hybrid electric 

and ultimately fuel cell buses. 

• Gross load passenger capacity increased from 53-88 to 100 passengers and seated passenger capacity

increased from 43 to 50 on a two-axle bus. Transit buses with a maximum single-axle load no greater than 

20,000 pounds at the gross vehicle weight with a full passenger capacity of 90-100 people by 2006. 

− Accelerate RD&D of composite body structure bus and bus components. 

− Accelerate broader deployment of composite body structure buses. 

• By 2010, transit buses with 10-mpg (128,400 btu/gal equivalent) fuel efficiency at seated load weight on 

the CBD-14 driving cycle. 

− Advance hybrid electric drive systems with advanced energy storage technology. 

− Advance lightweight bus structures. 

• Mean miles between failure (individual components) increased by 50%. Mean time to repair failure 

(individual components) reduced by 50%.

• By 2015, commercially viable fuel cell transit buses meeting all prevailing standard transit bus operating 

and maintenance requirements at less than twice the cost of a comparable transit vehicle. Incremental 

capital cost no greater than 50% compared to standard bus five years after commercial introduction. 

− Continued RD&D for fuel cell propulsion systems specifically designed for heavy-duty transit buses. 

− Continued RD&D for light-duty fuel cell hybrid fuel cell systems for buses. 

RD&D Challenges 

• Tradeoff between improving vehicle fuel efficiency and vehicle-exhaust emissions. 

• Need to consider vehicle systems approach to vehicle fuel efficiency and emissions as opposed to current 

engine approach. 

• Transit bus market volume too low to be technology driver. However, transit bus fleets are ideal platforms 

for the introduction of new technologies.

• Compact, lightweight, robust, reliable, and durable energy storage technology for hybrid electric and fuel 

cell buses. 

• Cost, reliability, durability, and performance of hydrogen fuel cells need significant improvements for 

commercialization to be viable. 

RD&D Activities 

• DOT through FTA continues to be in the forefront of the RD&D of fuel cell buses and is developing a 

hydrogen and fuel cell bus initiative with key stakeholders. 

• DOT through FTA is working in collaboration with DOE, EPA, DOD along with state, regional, and local

government agencies (CEC, CARB, SCAQMD, NYSERDA) in the RD&D of advanced bus technologies. 

Recent Progress 

• Demonstrated 30-foot fuel cell hybrid bus with an automotive fuel cell system that achieved 11 miles per 

gasoline equivalent fuel efficiency. 

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August 2005 – Page 1.1-18
Commercialization and Deployment Activities 

• New York City Transit has ordered 325 series hybrid electric transit buses that are being delivered. 

• Long Beach Transit has ordered 27 gasoline hybrid electric transit buses with added-on orders from other 

agencies potentially totaling 100. 

• Demonstrations of parallel hybrid electric transit buses are underway and planned in Philadelphia, Seattle, 

Orange County, Minneapolis, and Austin. 

• Demonstrations of seven Generation I fuel cell buses with the California Fuel Cell Partnership at AC 

Transit, Santa Clara VTA, and SunLine Transit. 

• U.S. Heavy-Duty Fuel Cell Working Group established in 2002 with specific focus on buses. An 

International Fuel Cell Bus Workshop in Long Beach will facilitate the formation of an International Fuel 

Cell Bus Working Group. 

Market Context 

• Electric drive vehicle technology encompassing hybrid electric and fuel cell technologies are global in 

nature and highly competitive with major European and Asian companies actively pursuing RD&D. 

U.S. Climate Change Technology Program – Technology Options for the Near and Long Term

August 2005 – Page 1.1-19
 1.2 BUILDINGS 

1.2.1 BUILDING EQUIPMENT, APPLIANCES, AND LIGHTING

Technology Description 

Energy use in buildings depends on equipment 

to transform fuel or electricity into end-use 

services such as delivered heat or cooling, 

light, fresh air, vertical transport, cleaning of 

clothes or dishes, and information processing. 

(The effects of passive and related systems are 

discussed in other profiles.) There are energysaving opportunities within individual pieces 

of equipment – as well as at the system level –

through proper sizing, reduced distribution and 

standby losses, heat recovery and storage, and 

optimal control. Another promising 

opportunity lies in multifunction devices 

ranging from heat pumps, which provide both 

refrigeration and hot water, to an office 

appliance that serves as a networked printer, 

copier, scanner, and paperless fax machine. 

System Concepts 

• Major categories of end-use equipment 

include heating, cooling, and hot water; 

ventilation and thermal distribution; 

lighting; home appliances; miscellaneous 

(process equipment and consumer 

products); and on-site energy and power. 

• Key components vary by type of 

equipment, but some crosscutting 

opportunities for efficiency include 

improved materials, efficient lowemissions combustion and heat transfer,

advanced refrigerants and cycles, 

electrodeless and solid-state lighting, 

smart sensors and controls, improved 

small-power supplies, variable-capacity

systems, reduction of thermal and 

electrical standby losses, cogeneration 

based on modular fuel cells and 

microturbines, and utilization of waste 

heat from fuel cells and microturbines. 

Representative Technologies

• Residential gas-fired absorption heat pumps, centrifugal chillers, desiccant preconditioners for treating 

ventilation air, heat-pump water heaters, proton exchange membrane fuel cells, heat pump water heaters, 

solid-state lighting, and lighting controls. 

• Specialized HVAC (heating, ventilating, and air-conditioning) systems for research laboratories, 

server/data systems, and other buildings housing high technology processes. 

Technology Status/Applications 

• Technology improvements during the past 20 years – through quality engineering, new materials, and 

A school in North Carolina features daylighting, state-of-the-art 

lighting controls, and an energy management system, allowing 

individual teachers to select optimum lighting levels for each

room. 

U.S. Climate Change Technology Program – Techno

August 2005 – Pag

logy Options for the Near and Long Term

e 1.2-1
better controls – have improved efficiencies in lighting and equipment by 15% to 75%, depending on the 

type of equipment. Efficiencies of compact fluorescent lamps are 70% better than incandescent lamps; 

refrigerator energy use has been reduced by more than three-quarters during the past 20 years; H-axis 

clothes washers are 50% more efficient than current minimum standards. Electronic equipment has 

achieved order-of-magnitude efficiency gains, at the microchip level, every two to three years. 

Current Research, Development, and Demonstration

RD&D Goals

• By 2008, for distributed electricity generation technologies (including microturbines), enable a portfolio of 

equipment that show an average 25% increase in efficiency. 

• By 2008, for solid-state lighting in general illumination applications, develop equipment with luminous 

efficacy of 79 lumens per watt (LPW); and for laboratory devices, by 2025, luminous efficacy of 200 LPW. 

• By 2025, develop and demonstrate marketable and advanced energy systems that can achieve “net-zero” 

energy use in new residential and commercial buildings through a 70% reduction in building energy use. 

• By 2030, enable the integrations of all aspects of the building envelope, equipment, and appliances with 

on-site micro-cogeneration and zero-emission technologies. 

RD&D Activities 

• Most Federal R&D on building equipment is performed by DOE. 

• International funding is less relevant than state activities such as currently ongoing in California, New 

York, and other states. This research is synergistic with and complements the DOE research. 

Recent Progress 

• Recent DOE-sponsored R&D, often with industry participation, includes an improved air-conditioning 

cycle to reduce oversizing and improve efficiency; a replacement for inefficient, high-temperature halogen 

up-lights (torchieres), which use only 25% of the power, last longer, and eliminate potential fire hazards; 

ozone-safe refrigerants, where supported R&D was directed toward lubrication materials problems 

associated with novel refrigerants and ground-source heat pumps. 

Commercialization and Deployment Activities

• Building equipment, appliances, and lighting systems currently on the market vary from 20% to 100% 

efficient (heat pumps can exceed this level by using “free” energy drawn from the environment). This 

efficiency range is narrower where cost-effective appliance standards have previously eliminated the leastefficient models. 

• The stock and energy intensity of homes are growing faster than the building stock itself, as manufacturers 

introduce – and consumers and businesses eagerly accept – new types of equipment, more sophisticated 

and automated technologies, and increased levels of end-use services. 

• The rapid turnover and growth of many types of building equipment – especially electronics for computing, 

control, communications, and entertainment – represent important opportunities to rapidly introduce new, 

efficient technologies and quickly propagate them throughout the stock. 

• The market success of most new equipment and appliance technologies is virtually ensured if the efficiency 

improvement has a three-year payback or better and amenities are maintained; technologies with payback 

of four to eight-plus years also can succeed in the market, provided that they offer other customer-valued 

features (e.g., reliability, longer life, improved comfort or convenience, quiet operation, smaller size, lower 

pollution levels). 

• Applications extend to every segment of the residential and nonresidential sectors. Major government, 

institutional, and corporate buyers represent a special target group for voluntary early deployment of the 

best new technologies. 

Market Context

• Building equipment and appliances represent an annual market in the United States, alone, of more than 

$200B, involving thousands of large and small companies. Certain technologies, such as office and home 

electronics, compete in global markets with little or no change in performance specifications. 

U.S. Climate Change Technology Program – Technology Options for the Near and Long Term

August 2005 – Page 1.2-2
1.2.2 BUILDING ENVELOPE (INSULATION, WALLS, ROOF) 

Technology Description 

The building envelope is the interface between the interior of a building and the outdoor environment. In most 

buildings, the envelope – along with the outdoor weather – is the primary determinant of the amount of energy

used to heat, cool, and ventilate. A more energy-efficient envelope means lower energy use in a building and 

lower greenhouse gas emissions. The envelope concept can be extended to that of the “building fabric,” which 

includes the interior partitions, ceilings, and floors. Interior elements and surfaces can be used to store, release, 

control, and distribute energy, thereby further increasing the overall efficiency of the buildings. 

System Concepts

• Control of envelope characteristics provides control over the flow of heat, air, moisture, and light into the 

building. These flows and the interior energy and environmental loads determine the size and energy use of 

HVAC and distribution systems. 

• Materials for exterior walls, roofs, foundations, windows, doors, interior partition walls, ceilings, and floors 

that can impact future energy use include insulation with innovative formula foams and vacuum panels; 

optical control coatings for windows and roofs; and thermal storage materials, including lightweight heatstorage systems. 

Representative Technologies

• Superinsulation: Vacuum powder-filled, gas-filled, and vacuum fiber-filled panels; structurally reinforced 

beaded vacuum panels; and switchable evacuated panels with insulating values more than four times those 

of the best currently available materials should soon be available for niche markets. High-thermal-resistant 

foam insulations with acceptable ozone depletion and global warming characteristics should allow for 

continued use of this highly desirable thermal insulation. 

• Advanced window systems: Krypton-filled, triple-glazed, low-E windows; electrochromic glazing; and 

hybrid electrochromic/photovoltaic films and coatings should provide improved lighting and thermal 

control of fenestration systems. Advanced techniques for integration, control, and distribution of daylight 

should significantly reduce the need for electric lighting in buildings. Self-drying wall and roof designs 

National laboratory exhibits show the benefits of energyefficient building envelope design (left). This home in

Atlanta, Georgia, (right) will use 58% less energy for 

heating and 53% less energy for cooling than a home of 

comparable size without energy-efficient design. 

U.S. Climate Change Technology Program – Technology Options for the Near and Long Term

August 2005 – Page 1.2-3
should allow for improved insulation levels and increase the lifetimes for these components. More durable 

high-reflectance coatings should allow better control of solar heat on building surfaces. 

• Advanced thermal storage materials: Dry phase-change materials and encapsulated materials should allow 

significant load distribution over the full diurnal cycle and significant load reduction when used with 

passive solar systems. 

Technology Status/Applications 

• Building insulations have progressed from the 2-4 hr oF ft2

/Btu/in. fibrous materials available before 1970

to foams reaching 7 hr oF ft

2

/Btu/in. Superinsulations of more than 25 oF ft2/Btu/in. will be available for 

niche markets soon. Improvements in window performance have been even more spectacular. In the 1970s,

window thermal resistance was 1 to 2 oF ft2

/Btu. Now, new windows have thermal resistance of up to 6 oF 

ft2

/Btu (whole window performance). Windows are now widely available with selective coatings that 

reduce infrared transmittance without reducing visible transmittance. In addition, variable-transmittance 

windows under development will allow optimal control to minimize heating, cooling, and lighting loads. 

Current Research, Development, and Demonstration 

RD&D Goals 

• By 2008, demonstrate dynamic solar control windows (electrochromics) in commercial buildings; and, by

2010, demonstrate windows with R10 insulation performance for homes. 

• By 2025, the program goal is to develop marketable and advanced energy systems capable of achieving 

“net-zero” energy use in new residential and commercial buildings. 

• The long-term goal is to achieve a 30% decrease in the average envelope thermal load of existing 

residential buildings and a 66% decrease in the average thermal load of new buildings. 

RD&D Challenges

• Foam insulations that retain high thermal resistance while using blowing agents with zero ozone depletion 

potential and negligible global warming effect. 

• Self-drying wall and roof designs to avoid moisture problems such as materials degradation. 

• Electrochromic window films and electrochromic/photovoltaic hybrid window films to control energy

flows and generate electricity on site. 

• Techniques to distribute and control daylight to reduce electrical energy use for artificial lighting. 

• Advanced durable cost-effective superinsulations to reduce heating/cooling loads. 

• Self-calibrating multifunction microsensors for monitoring building equipment performance and air-quality 

monitoring. 

• Thermal storage materials: Typically, thermal storage in building components is achieved with 

heavyweight materials such as masonry. Advanced thermal-storage materials need to be lightweight to 

integrate with elements similar to drywall, floor, and ceiling panels. 

• Scaling electrochromic window technology to commercial-scale window applications. 

RD&D Activities

• Key agencies doing building envelope R&D are DOE, National Institute for Standards and Technology, 

several state agencies, and other institutions such as the Florida Solar Energy Center. 

U.S. Climate Change Technology Program – Technology Options for the Near and Long Term

August 2005 – Page 1.2-4
Recent Progress 

• A DOE-sponsored RD&D partnership with the Polyisocyanurate Insulation Manufacturers Association, the 

National Roofing Contractors Association, the Society of the Plastics Industry, and Environmental 

Protection Agency (EPA) helped the industry find a replacement for chloroflurocarbons (CFCs) in 

polyisocyanurate foam insulation. This effort enabled the buildings industry to transition from CFC-11 to 

HCFC-141b by the deadline required by the Montreal protocol. 

• Spectrally selective window glazings – which reduce solar heat gain and lower cooling loads – and highperformance insulating materials for demanding thermal applications. 

Commercialization and Deployment Activities 

• A critical challenge is to ensure that new homes and buildings are constructed with good thermal envelopes 

and windows when the technologies are most cost effective to implement. 

• The market potential is significant for building owners taking some actions to improve building envelopes. 

Currently, 40% of residences are well insulated, 40% are adequately insulated, and 20% are poorly

insulated. More than 40% of new window sales are of advanced types (low-E and gas-filled). In 

commercial buildings, more than 17% of all windows are advanced types. More than 70% of commercial 

buildings have roof insulation; somewhat fewer have insulated walls. 

• Building products are mostly commodity products. A number of companies produce them; and each has a 

diverse distribution system, including direct sales, contractors, retailers, and discount stores. 

• Another critical challenge is improving the efficiency of retrofits of existing buildings. Retrofitting is 

seldom cost-effective on a stand-alone basis. New materials and techniques are required. 

• Many advanced envelope products are cost-competitive now, and new technologies will become so on an 

ongoing basis. There will be modest cost reductions over time as manufacturers compete. 

Market Context 

• Building structures represent an annual market in the United States of more than $70B/year and involve 

thousands of large and small product manufacturers and a large, diverse distribution system that plays a 

crucial role in product marketing. Exporting is not an important factor in the sales of most building 

structure products. 

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August 2005 – Page 1.2-5
1.2.3 WHOLE BUILDING INTEGRATION

Technology Description 

Whole building integration uses data from design 

(together with sensed data) to automatically configure

controls and commission (i.e., start-up and check out)

and operate buildings. Control systems use advanced, 

robust techniques and are based on smaller, less 

expensive, and much more abundant sensors. These 

data ensure optimal building performance by enabling 

control of building systems in an integrated manner 

and continuously recommissioning them using 

automated tools that detect and diagnose performance 

anomalies and degradation. Whole building 

integration systems optimize operation across building 

systems, inform and implement energy purchasing, 

guide maintenance activities, document and report 

building performance, and optimally coordinate onsite energy generation with building energy demand 

and the electric power grid, while ensuring that 

occupant needs for comfort, health, and safety were 

met at the lowest possible cost. 

System Concepts 

• The system consists of design tools, automated 

diagnostics, interoperable control-system

components, abundant wireless sensors and 

controls, and highly integrated operation of 

energy-using and producing systems. 

• These components would work together to collect 

data, configure controls, monitor operations, 

optimize control, and correct out-of-range 

conditions that contribute to poor building 

performance. 

• Whole building integration would ensure that 

essential information, especially the design intent 

and construction implementation data, would be 

preserved and shared across many applications 

throughout the lifetime of the building. 

• Equipment and system performance records would be stored as part of a networked building performance 

knowledge base, which would grow over time and provide feedback to designers, equipment 

manufacturers, and building operators and owners. 

• Optimally integrate on-site power production with building energy needs and the electric-power grid by

applying intelligent control to building cooling, heating, and power. 

Representative Technologies 

• DOE is developing computer-based building commissioning and operation tools to improve the energy 

efficiency of “existing” buildings. It is also investing in the next generation of building simulation 

programs that could be integrated into design tools. 

• DOE, in collaboration with industry, also is developing and testing technologies for combined cooling, 

heating, and power; and wireless sensor and control systems for buildings. 

Energy-management system field tests at the Zion 

National Park Visitor Center (top) and the Bighorn Home 

Improvement Center complex in Silverthorne, Colorado 

(bottom), DOE High Performance Buildings Program. 

U.S. Climate Change Technology Program – Technology Options for the Near and Long Term

August 2005 – Page 1.2-6
Technology Status/Applications 

• Savings from improved operation and maintenance procedures could save more than 30% of the annual 

energy costs of existing commercial buildings, even in many of those buildings thought to be working

properly by their owners/operators. These technologies would have very short paybacks because they

would ensure that technologies were performing as promised, for a fraction of the cost of the installed 

technology. 

• Savings for new buildings could exceed 70% using integration of building systems and, with combined 

cooling, heating and power, buildings could become net electricity producers and distributed suppliers to 

the electric power grid. 

Current Research, Development, and Demonstration 

RD&D Goals

• Developing fully and seamlessly integrated building design tools that support all aspects of design and 

provide rapid analysis of problems. 

• Development of automatic operation of buildings systems that require little operator attention. 

• Utilizing highly efficient combined cooling, heating, and power systems that use waste heat from smallscale, on-site, electricity generation to provide heating and cooling for the buildings, as well as exporting 

excess electricity to the grid. 

RD&D Challenges 

• Design tools: enhanced analytical capabilities, integration with the design environment, automated design 

and analysis capability, design databases, visualization, and high-level monitoring and reporting tools. 

• Automated diagnostics: diagnosticians, plug-and-play capabilities, automated real-time purchasing, 

advanced data visualization, automated identification, and correction of the causes of operation problems. 

• System interoperability and controls: integrated control networks; plug-and-play control components; 

adaptive, optimized, self-generating control algorithms; automatic configuration and commissioning of 

controls; and advanced control techniques. 

• Sensors: wireless data acquisition, detection of materials properties, micro-scale sensors, microelectronic 

sensors, multiple-sensor arrays, protocols for using new sensors, new sensing technologies, order of 

magnitude lower-cost sensor systems, and ubiquitous use of sensors. 

• Visualization: use of supercomputers, networked personal computer to provide distributed super-computerlevel performance, advanced computational methods, and virtual reality systems to permit real-time 

visualization of designs and design changes, including lighting, thermal flows, and air quality. 

• Buildings Combined Cooling, Heating, and Power: Technologies for reusing waste energy to provide netelectricity producing buildings. 

• Early priorities include enhancing design-tool integration; developing automated diagnosticians; 

implementing remote data collection and visualization; developing combined cooling, heating, and power; 

and developing low-cost, wireless sensor, and control technology.

• Advanced building simulation tools to permit better design, construction, commissioning, and operation. 

RD&D Activities

• DOE is funding work with the California Energy Commission, California Institute for Energy Efficiency, 

Honeywell, Johnson Controls, Siemens, Electric Power Research Institute, Southern California Edison, and 

Pacific Gas and Electric Company. International efforts include an effort funded by the European Union to 

develop adaptive control techniques for improving the thermal environment for JOULE IIICSEC. 

Recent Progress 

• Energy 10: models passive solar systems in buildings. 

• DOE 2: international standard for whole building energy performance simulation has thousands of users 

worldwide. 

• DOE released Energy Plus, the new standard for building energy simulation and successor to DOE-2. 

• The International Alliance for Interoperability is setting international standards for interoperability of

computer tools and components for buildings. 

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• DOE-BESTEST: basis for ANSI/ASHRAE Standard 140, Method of Test for the Evaluation of Building 

Energy Simulation Programs.

Commercialization and Deployment Activities 

• Design tools for energy efficiency are used by fewer than 2% of the professionals involved in the design, 

construction, and operation of commercial buildings in the United States. A larger fraction of commercial 

buildings have central building-control systems. Few diagnostic tools are available commercially beyond

those used for air balancing or integrated into equipment (e.g., Trane Intellipack System) and the recently

announced air-conditioning diagnostic hand-held service tool by Honeywell (i.e., Honeywell HVAC 

Service Assistant). The Department of Energy – in concert with the California Energy Commission – is 

testing a number of automated diagnostic tools and techniques with commercial building owners, 

operators, and service providers in an effort to promote commercial use. About 12 software vendors 

develop, support, and maintain energy design tools; most are small businesses. Another 15 to 20 building 

automation and control vendors exist in the marketplace – the major players include Johnson Controls, 

Honeywell, and Siemens. 

• Deployment involves four major aspects: seamless integration into existing building design and operation 

practices and platforms, lowering the cost of intelligent-building and enabling technologies, transforming 

markets to rapidly introduce new energy-efficient technologies, and a focus on conveying benefits that are 

desired in the marketplace (not only energy efficiency). 

Market Context

• These technologies would apply to all buildings, but especially to existing commercial buildings and all 

new buildings. In addition, new technologies would be integrated into the building design and operation 

processes. 

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1.2.4 URBAN HEAT ISLAND TECHNOLOGIES 

Technology Description 

Heat islands form as cities replace natural vegetation with pavement for roads, buildings, and other structures 

necessary to accommodate growing populations. These surfaces absorb – rather than reflect – the sun’s heat, 

causing surface temperatures and overall ambient temperatures to rise. The displacement of trees and shrubs 

eliminates the natural cooling effects of shading and evapotranspiration. Further, urban form and anthropogenic 

sources of heat contribute to heat island formation. Measures to reduce urban heat islands include increasing 

vegetative cover, installing reflective roofs and pavements, and, potentially, using permeable pavements. Heat 

island mitigation measures can reduce ambient air temperatures in urban areas, thereby slowing the chemical 

formation of smog (ground-level ozone ) and reducing cooling-season electricity demand for air conditioning. 

Associated with the decrease in air-conditioning use are reductions in associated air pollution and greenhouse 

gas emissions. In general, the larger the area implementing heat island reduction measures – and the longer,

sunnier, and hotter the summer season – the more substantial the impacts on meteorology and air quality.

Building level energy modeling as well as large-scale meteorological and air quality modeling can assist in 

understanding the effects of heat island reduction measures. 

System Concepts 

• Reduced temperatures reduce the need for summertime cooling energy. Reduced air-conditioning reduces 

power plant emissions, including greenhouse gas emissions and ozone precursors. 

• Reduced temperatures decrease biogenic volatile organic compounds emissions and evaporative losses. 

• Trees sequester carbon (particularly urban or suburban trees, which can sequester about 18 kg of carbon 

annually) and precipitate particulates and other airborne pollutants. 

• Reduced ambient air temperature reduces photochemical reaction rates, which may reduce ozone 

production. 

Representative Technologies 

• Placing trees on the west-, south-, and east-facing sides of a building can significantly reduce cooling costs 

for a home or low-rise building during peak summertime demand. Simulations of energy savings benefits 

for Sacramento and Phoenix found that three mature trees around homes cut annual air-conditioning 

demand by 25%-40%. 

• There are more than 1,000 Energy Star-labeled roof products, which include coatings and single-ply 

materials, tiles, shingles, and membranes. Energy savings in buildings with reflective roofs range as high as

32% during peak demand, with a summer average of 15%. 

• Research regarding the impacts of cool pavements is in its infancy; and unlike roof products, many

technical and institutional questions exist. To date, mechanisms for creating cool pavements include 

increasing solar reflectance or increasing permeability. Both asphalt and concrete products can be 

constructed to have higher reflectances. Higher albedos can reduce maximum pavement temperatures by

about 10°F per 0.1 increase in albedo. In turn, air temperature could potentially be reduced by about 1°F if 

all pavement albedos were increased by 0.2. Complicating factors, though – such as the impact pavement 

reflectance may have on adjacent building heat gain – still need to be addressed. Permeable pavements 

using asphalt, concrete, or unbound materials including vegetation are becoming increasingly common. 

Their impacts on urban climates, though, have not been well researched. 

Technology Status/Applications 

• Nationally, there are numerous tree-planting programs and greening efforts aimed to meet various 

objectives including stormwater management, heat island reduction, and beautification. Because vegetation 

– particularly planting deciduous trees around buildings – can reduce air-conditioning demand, some

utilities run shade-tree programs. Further, some communities have implemented shade-tree ordinances that 

range from planting trees along streets to requiring parking-lot developers shade 50% of paved areas 15 

years after development. 

• Some communities are installing alternative-pavement parking lots and alleys – mainly using porous 

pavement technologies. White-topping is also becoming increasingly popular, particularly in intersections. 

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August 2005 – Page 1.2-9
Current Research, Development, and Demonstration 

RD&D Goals 

• Improved understanding and quantification of the impacts heat island reduction measures have on local 

meteorology, energy use and expenditures, greenhouse gas emissions, and air quality. 

• Specific products include a GIS application that predicts heat island outcomes from different development 

scenarios (e.g., benefits from large-scale tree planting), and cool materials for roofs and pavements. 

RD&D Challenges 

• Better understand interaction between meteorological, land surface, and emission-specific parameters in 

baseline and modified modeling scenarios. 

• Determine albedo and emissivity levels of city surfaces. 

RD&D Activities 

• The Department of Energy’s Lawrence Berkeley National Lab Heat Island group has conducted research 

on the impact heat island reduction strategies have on local meterology, air quality, and energy demand. 

Currently, LBNL is working with Oak Ridge National Laboratory, the California Energy Commission, and 

other stakeholders to develop cool residential roofing products. 

• The Environmental Protection Agency (EPA), which established the Heat Island Reduction Initiative 

(HIRI), works with community groups, public officials, industry representatives, researchers, and others to 

identify opportunities to implement heat island strategies. HIRI previously supported research. Currently, 

the program translates research into outreach materials, tools, and guidance that provide communities with 

information to develop programs, policies, codes, and ordinances to implement heat island reduction 

strategies. 

• Oak Ridge National Laboratory and the Florida Solar Energy Center conduct research on cool-roof 

applications. 

• Penn State and other North American universities are conducting research on green roof technologies, 

including their impacts on energy consumption, stormwater management, water quality, surface and air 

temperatures, and pollution removal. 

• The USDA Forest Service develops methods and models to quantify carbon storage and sequestration, 

building energy-use effects, and air pollution removal by urban forests at the local to national scale. 

• The Forest Service conducts analyses in numerous cities, and national assessments to quantify the effects 

of urban forests on carbon storage and sequestration, building energy use, and air pollution removal. 

• A few cities and states (e.g., Chicago, California, and Georgia) have incorporated reflective roofs into their 

energy codes. Many utilities (e.g., Austin Energy, Florida Power and Light, Xcel Energy) have reflectiveroof incentive programs. Reflective roofs are given credit in several environmental rating programs, 

including the U.S. Green Building Council’s LEED (Leadership in Energy and Environmental Design) 

rating system. Many cool-roofing membranes and coatings are available, and these products are mainly

used for commercial or flat roofs. Cool-tile and metal roofing products are also available, and these are 

used for residential roofs. Research is currently being conducted to develop additional cool-roof products 

for the residential market, for example, cool asphalt shingles. 

Recent Progress 

• EPA and DOE demonstrated the impact of cool roofs on building energy use; EPA developed the Energy

Star Roof Products program. 

• ASTM and ASHRAE standards have been developed, and prototype cool-roofing materials have been 

developed. 

• The Cool Roof Rating Council was organized and several state and air-quality management districts have 

adopted heat-island-reduction measures. 

Commercialization and Deployment Activities 

• Reflective roofing and paving technologies may be broadly applicable to U.S. cities, but benefits will vary. 

• Some cities and states require use of cool roofs, and many existing efforts support their installation (e.g., 

Philadelphia’s Cool Homes program), thus increasing the demand and deployment of these products. 

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Market Context 

• Heat island reduction strategies including urban reforestation, rooftop gardens, reflective roofs, and 

alternative pavements have been implemented in many cities including Los Angeles, Sacramento, Salt 

Lake City, Houston, Tucson, Chicago, Miami, and Atlanta – interest is growing.

• Nationally, reflective roofing materials probably comprise less than 10% of the roofing market; and asphalt 

is the most common pavement surface. 

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1.3 INFRASTRUCTURE 

1.3.1 HIGH-TEMPERATURE SUPERCONDUCTIVITY 

Technology Description 

The United States’ ongoing appetite for clean, 

reliable, and affordable electricity has increased at a 

rate that seriously threatens to exceed current 

capacity. Demand is estimated to increase by an 

average rate of 1.8% per year for the next 20 years, 

yet investments in transmission and distribution 

infrastructure have not kept pace with those in 

generation. Furthermore, a majority of the new gasfired generation is not optimally sited where existing 

transmission assets are located. Witnessing the 

regional outages being experienced throughout the 

country – and those most recently highlighted in the 

northeast blackout of August 2003 – the inadequacies 

of the investment in infrastructure have, in effect, 

issued a wake-up call for modernizing and expanding 

grid capacity. High-temperature superconducting

(HTS) wires can carry many more times the amount 

of electricity of ordinary aluminum or copper wires. 

HTS materials were first discovered in the mid-1980s 

and are brittle oxide, or ceramic-like materials, that 

can carry electricity with virtually no resistance 

losses. Through years of Federal research in 

partnership with companies throughout the nation, 

technology has developed to bond these HTS 

materials to various metals, providing the flexibility

to fashion these ceramics into wires for use in 

transmission cables and for coils for power 

transformers, motors, generators, and the like. Superconducting technologies make possible electric power 

equipment that is half the size of conventional alternatives, with half the energy losses. When HTS equipment 

becomes pervasive, up to 50% of the energy now lost in transmission and distribution will become available for 

customer use. HTS also will reduce the impact of power delivery on the environment and is helping create a 

new high-tech industry to help meet industry challenges due to delays in electric utility restructuring. Other 

benefits of superconducting electric power systems include improved grid stability, reliability, power quality, 

and deferred generation expansion. Affordability of capacity expansion is also enhanced, because underground 

superconducting cables require only 10% of the rights-of-way of conventional overhead transmission; and 

because HTS cables may be installed in conventional underground ducts without extensive street excavation. 

System Concepts

• HTS cables have almost no resistance losses and can transport three-five times as much power as a 

conventional cable in the same size conduit. 

• HTS power transformers have about 30% reduction in total losses, can be 50% smaller and lighter than 

conventional units, have a total ownership cost that is about 20% lower, are nonflammable, and do not 

contain oil or any other potential pollutant. In addition, there are electrical performance benefits associated 

with current limiting capacity and reduced impedance that will yield cost savings to power companies. 

• HTS Fault Current Limiters can provide power companies with surge protection within the transmission 

and distribution system. They are reusable, require minimal maintenance, and do not need replacement 

after being activated. 

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August 2005 – Page 1.3-1
• HTS motors with more than 750 kW would save enough energy over their lifetime to pay for the motor. 

Replacement of all U.S. motors greater than 750-kW with HTS motors would save consumers $2 billion 

per year in electricity costs. The motors are 50% smaller and lighter than conventional motors, as well. 

• HTS generators with more than 100 MVA output will be more energy efficient, compact, and lighter than 

the conventional generator. The generator has characteristics that may help stabilize the transmission grid.

System Components

• HTS cables consist of large numbers of wires containing HTS materials operating at 65-77 K, insulated 

thermally and electrically from the environment. A cryogenic refrigerating system maintains the 

temperature of the cable, at the desired operating temperature, regardless of the load on the cable. 

• HTS transformers use the same types of HTS materials as cables, formed into coils and mounted on 

conventional transformer cores. Electrical insulation is accomplished by means other than conventional oiland-paper, and typically involves a combination of solid materials, liquid cryogens, and vacuum. HTS 

transformers may be overloaded for periods of time without loss of transformer life. 

• HTS motors, generators, magnetic separators, and current limiters use HTS wires and tapes in a coil form. 

Rotating cryogenic seals provide cooling for the rotating machines.

• HTS flywheel systems use nearly frictionless bearings made from superconducting “discs,” cooled below 

the transition temperature of the HTS materials. 

Technology Status/Applications 

• HTS wires: First generation “BSCCO” wires are available today in kilometer lengths at about $200/kA-m. 

Prototype, pre-commercial, second-generation “coated conductors” have been made in 10-100 m lengths 

by industry and are to be scaled up in 2006-2008 to 1,000-m lengths. The 100-m tapes carry approximately 

100 amperes of current in nitrogen. 

• HTS cables: Under the DOE Superconductivity Partnership Initiative (SPI), a team led by Southwire 

Company has installed and successfully tested a 30-m prototype cable that has been powering three 

manufacturing plants in Carrollton, Georgia, since February 2000. Three new HTS cable demonstration 

projects are planned with partial DOE funding from the SPI for 2006. A 600-m cable to be operated at 138-

kV will be installed on Long Island, New York; and a 350-m distribution cable will be installed in 

downtown Albany, New York. A section of the 350-m cable will also be manufactured using secondgeneration “coated conductors.” A 200-m HTS distribution cable carrying 3,000 amperes will be installed 

at a suburban substation in Columbus, Ohio. 

• HTS transformers: Waukesha Electric Systems, with partial DOE funding, demonstrated a 1-MVA singlephase prototype transformer in 1999 and is leading a team developing technology needed for electrical 

insulation that would be used for a pre-commercial, three-phase prototype transformer. 

• HTS motors: Rockwell Automation successfully demonstrated a prototype 750-kW motor in 2000 and is 

designing a motor with improved performance characteristics. 

Current Research, Development, and Demonstration 

RD&D Goals

• Performance: HTS wires with 100 times the capacity of conventional copper/aluminum wires. More 

broadly, the program aims to develop and demonstrate a diverse portfolio of electric equipment based on 

HTS, such that the equipment can achieve a 50% reduction in energy losses compared to conventional 

equipment and a 50% size reduction compared to conventional equipment with the same rating. Low-cost,

high-performance, second-generation coated conductors are expected to become available in 2008 in 

kilometer-scale lengths. 

• Cost: (a) for the conducting wire, the aim for $0.01/ampere-meter; (b) equipment premium cost payback 

(efficiency savings) to be achieved in two-five years of operation; and (c) equipment total cost payback to 

be achieved during the operating lifetime. For coated conductor goals for applications in liquid nitrogen, 

the wire cost goal is to be less than $50/kA-m; while for applications requiring cooling to temperatures of 

20-60 degrees K, the cost goal is to less than $30/kA-m. By 2010, the cost-performance ratio will have 

improved by at least a factor of 2. 

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August 2005 – Page 1.3-2
RD&D Challenges 

• The manufacture of promising HTS materials in long lengths with minimum defects and low loss, all at 

low cost, remains a key program challenge. 

• Materials for cryogenic insulation and standardized, high-efficiency refrigerators (approaching 30% of 

Carnot efficiency) are required. 

• Improved dielectric materials used to insulate electric power equipment at cryogenic temperatures are 

required. 

• Scale-up of national laboratory discoveries for “coated conductors” requires the use of film industry or 

semiconductor industry processing expertise and equipment to make kilometer-long electric wires and is a 

key activity for the labs and their industry partners. Fashioning these long wires into commercially viable 

forms needed to wind low-loss coils is also a key challenge. 

RD&D Activities

• DOE funding is used for three key program activities: Second Generation Wire Research, the 

Superconductivity Partnership Initiative, and Strategic Research. Performers include national laboratories, 

industry, academia, and other Federal agencies. 

Recent Progress 

• The development at the national laboratories of ion-beam assisted deposition and rolling-assisted, biaxially 

textured substrate (RABiTSTM) technologies for producing high-performance HTS film conductors suitable 

for cables and transformers, and the involvement of four unique industry-led teams to capitalize on it, was a 

major success story for FY 1997. 

• The world’s first HTS cable to power industrial plants exceeded 28,000 hours of trouble-free operation in 

Carrollton, Georgia, (Southwire Company) in early 2005, and is the world’s longest-running

superconducting cable. The 30-m cable system has been operating unattended since June 2001. 

• Short lengths of coated conductors made under stringent laboratory conditions exceeded the DOE goal of 

1,000 A/cm width. 

• SuperPower verified greater than 80% current limiting performance of proof-of-concept Fault Current 

Limiter at up to 8,660 volts. 

• Rockwell Automation demonstrated a prototype 1000-HP synchronous motor that exceeded design 

specifications by 60%, and is now designing a motor that would use second-generation coated conductors 

with enhanced performance-to-cost ratio for the industrial marketplace. 

Commercialization and Deployment Activities 

• High-temperature superconducting cables and equipment: Commercialization and market introduction

requires development of inexpensive wires for transmission and distribution, and end uses such as electric 

motors. These wires are now under development under a government-industry partnership but are still 

years from wide-scale use. In addition, there is an international race underway to develop and deploy the 

new second-generation coated conductors. Numerous companies in Europe, Japan, Korea and China are 

pursuing the technologies first demonstrated by the national labs. Using high-temperature 

superconductivity wires to replace existing electric wires and cables may be analogous to the market 

penetration that occurred when the United States moved from copper wire to fiber optics in 

communications. Some pre-commercial demonstrations using commercial BSCCO wires are underway, but 

the Superconductivity Partnerships with Industry and the Second-Generation Wire Initiative could be 

expanded to include additional U.S. companies. 

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1.3.2 TRANSMISSION AND DISTRIBUTION TECHNOLOGIES

Technology Description

The electric utility industry is 

restructuring itself from a regulated 

environment to operation under 

competitive wholesale electricity

markets. However, the electric 

transmission and distribution (T&D) 

systems remain regulated entities that 

connect in many regions deregulated 

generation to the end-use customer. 

Construction of U.S. transmission above 

230 kV is expected to increase by only 

6% (in line-miles) during the next 10

years, while demand is expected to 

increase more than 20%. The resulting 

increase in the intensity of use of existing 

facilities will increase energy losses and 

transmission congestion, and is likely to cause grid reliability problems and threaten the continued growth of 

wholesale electricity trade. 

Energy losses in the U.S. T&D system were 7.2% in 1995, accounting for 2.5 quads of primary energy and 

36.5 MtC. Losses are divided such that about 60% are from lines and 40% are from transformers (most of 

which are for distribution). Technologies that can improve efficiency and reduce carbon emissions are highvoltage DC (HVDC) transmission, high-strength composite overhead conductors, and power transformers and 

underground cables that use high-temperature superconductors (see related technology profile). High-efficiency

conventional transformers also could have significant impacts on reducing distribution system losses. In 

addition, energy storage and real-time system monitoring and control systems could improve system reliability 

and customer access to competitive generation, including renewable power producers. There is no active U.S. 

program for HVDC development or improved distribution transformer technologies. 

System Concepts 

• Composite-core, low-sag transmission conductors can transport two to three times as much power as 

conventional conductors over the same rights-of-way and with no tower modifications. 

• Energy storage will facilitate more optimal use of existing infrastructure and increase the dispatchability of 

renewable resources. 

• Real-time grid operations using measured data and automatic, intelligent controllers can improve T&D 

reliability – and lead to a smart, switchable future network that can anticipate and respond automatically to 

system contingencies. 

System Components

• One advanced composite overhead transmission line conductor consists of an aluminum metal matrix 

composite core (replacing the steel core of a conventional conductor) surrounded by temperature-resistant 

aluminum alloy wires. 

• Several large- and medium-scale energy-storage systems, using different electrochemistries, have been 

developed. 

• Real-time control uses wide-area measurement systems, synchronized by global positioning system (GPS) 

satellite clocks that feed system information to intelligent electronic controllers. The controllers reconfigure 

the system in real time, preventing outages and allowing maximum use of available transmission capacity. 

Technology Status/Applications

• Aluminum composite-core conductors, terminations, and suspensions have been developed by 3M 

Company and demonstrated in the field by leading U.S. and European utilities. Successful field trials in the

United States and accelerated thermal cycling tests occurred in 2003-2005. This extensive mechanical and 

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August 2005 – Page 1.3-4
electrical testing is required to predict the 40-year life responses of this new conductor technology. Niche 

applications including long-span river crossings and short lead-time reconductoring over congested existing 

rights-of-way are now cost-effective. In addition, the conductor’s core has 25% lower electrical resistances 

than steel, enabling higher transmission efficiencies. The first commercial sale of composite-core 

conductors was installed on a 10-mile (16 km) Minnesota transmission line in 2005. 

• Large-scale energy-storage systems are entering field demonstrations. 

• Wide-area grid measurement systems used for monitoring, event analysis, and system model studies have 

been deployed in the western United States power grid to help analyze system disturbances, particularly

those that threaten grid collapse and blackout..

Current Research, Development, and Demonstration 

RD&D Goals 

• By 2010, demonstrated reliability of energy-storage systems; reduced cost of advanced conductors systems 

by 30%; and operation of a prototype smart, switchable grid on a region on the U.S. transmission grid. 

RD&D Challenges

• Development of large-diameter composite conductors for high-voltage transmission lines that are both lowcost and high capacity, so as to yield the highest payoffs in grid reliability and competitive market 

efficiency. 

• Energy-storage systems with reduced costs that can meet several applications while using a single system. 

• Neural net and intelligent agent networks that can be trained in parallel to perform control functions in realtime control systems. 

• A regulatory framework that will allow investors to make credible projections of the return on investment 

in new transmission capacity. 

RD&D Activities

• For composite conductors, 3M Company cost-shared on a DOE effort in FY2002 and FY2003 to perform

field tests and accelerated, controlled thermal tests on several conductor sizes. 

• DOE is cost-sharing an energy-storage effort with industry. EPRI has a newly reformed energy storage 

target. 

• DOE is leading a large working group to address software, hardware, communications, data management, 

performance, and business issues needed to deploy a real-time phasor measurement (early-warning) 

network in the Eastern Interconnection of the U.S. grid. 

Recent Successes 

• DOE’s National Transmission Grid Study, released in May 2002, examined issues surrounding U.S. 

transmission system upgrades and expansion, and contains 51 recommendations for actions to remove 

constraints on the U.S. transmission grid. 

• Real-time grid early-warning monitoring tools have been developed by DOE and installed in California 

with funding by the California Energy Commission, and at the North American Electric Reliability Council 

(NERC) to monitor and display voltage and frequency over wide areas of the Western Interconnection of 

the U.S. grid. 

• Various DOE demand response (DR) projects are assisting independent transmission system operators 

(ISOs) with DR program design and evaluation to better bring customers into wholesale markets, thus 

allowing load to be better used as a resource. 

Commercialization and Deployment Activities 

• Commercial deployment of high-current composite conductors awaits U.S. field trial results, and 

manufacturing cost reductions for all but high-value niche applications. 

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1.3.3 DISTRIBUTED GENERATION AND COMBINED HEAT AND POWER 

Technology Description 

Distributed generation, including combined heat and power (CHP), can be distinguished from central energy

resources in several respects. These distributed energy resources are small, modular, and come in a range of 

capacities from kilowatts to megawatts. They comprise a portfolio of technologies that can be located onsite or 

nearby the location where the energy is used. They provide the consumer with a greater choice, local control, 

and more efficient waste utilization to boost efficiency and lower emissions. 

System Concepts

• The portfolio of distributed generation technologies includes, for example, photovoltaic systems, fuel cells, 

natural gas engines, industrial turbines, microturbines, energy-storage devices, wind turbines, and 

concentrating solar power collectors. These technologies can meet a variety of consumer energy needs 

including continuous power, backup power, remote power, and peak shaving. They can be installed directly

on the consumer’s premise or located nearby in district energy systems, power parks, and mini-grids. 

• CHP technologies have the potential to take all of the distributed generation technologies one step further in 

pollution prevention by utilizing the waste heat from the generation of electricity for the making of steam,

heating of water, or for the production of cooling energy. The average power plant in the United States 

converts approximately one-third of the input energy into output electricity and then discards the remaining 

two-thirds of the energy as waste heat. Integrated DG systems with CHP similarly produce electricity at 

30% to 45% efficiency, but then capture much of the waste heat to make steam, heat, or cool water – or meet 

other thermal needs and increase the overall efficiency of the system to greater than 70%. 

DISTRIBUTED GENERATION

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August 2005 – Page 1.3-6
System Components

• Advanced industrial turbines and microturbines – combustion turbines are a class of electric-generation 

devices that produce high temperature, high-pressure gas to induce shaft rotation by impingement of the gas 

on a series of specially designed blades. Simple cycle efficiencies range from 21% to 40%. Turbines 

produce high-quality heat and can be used for CHP production. Microturbines are small combustion turbines

with outputs of 25-1,000 kW. Microturbines evolved from automotive and truck turbochargers. 

• Energy-storage systems – the combination of an energy-storage device (e.g., a battery or a flywheel) and a 

power-conversion system to connect the storage device with the local grid. 

• Concentrating solar power – concentrating solar power systems use suntracking mirrors to reflect and 

concentrate sunlight into receivers where it is converted to high-temperature thermal energy, which can then 

be used to drive turbines to generate electricity. 

• Fuel cells – power is produced in fuel cells electrochemically by passing a hydrogen-rich fuel over an anode 

and air over a cathode and separating the two by an electrolyte in producing electricity. The only byproducts

are heat, water, and carbon dioxide. 

• Natural Gas Engines – the reciprocating engine is widespread and well-known technology. Spark ignition 

gas-fired units (the focus here) typically use natural gas or propane. Capacities are typically in the 0.5- to 5-

megawatt range. 

• Photovoltaic Systems – photovoltaic systems use semiconductor-based cells to convert sunlight directly to 

electricity. 

• Hybrid Systems – hybrid systems consist of two or more types of distributed energy technologies. 

• Wind Energy Systems – wind turbines convert the kinetic energy of wind into electricity. 

Technology Status/Applications

• Industrial gas turbines and natural gas reciprocating engines are existing technologies that are being utilized 

and have a great deal of potential. 

• Microturbines, concentrating solar power, fuel cells, wind energy, photovoltaic systems, and hybrid systems 

are currently under development. 

• CHP is a proven technology, responsible for 8% of U.S. electricity generation. The potential for expanding

the use of CHP in the United States is enormous – the Department of Energy and the Environmental 

Protection Agency have a goal of doubling CHP capacity to 92 GW by 2010. 

Current Research, Development, and Demonstration 

RD&D Goals 

• Research is needed to increase the efficiency and reduce the emissions from microturbines, reciprocating 

engines, and industrial gas turbines to allow them to be sited anywhere, even in nonattainment areas. 

• Research is needed to increase the efficiency of waste-heat-driven absorption chillers and desiccant systems 

to overall efficiencies well above 80%

• The overall research goal of the Distributed Energy Program is to develop and make available, by 2015, a 

diverse array of high-efficiency, integrated distributed generation and thermal energy technologies, at 

market-competitive prices, enabling and facilitating widespread adoption and use by homes, businesses, 

industry, communities, and electricity companies that may elect to use them. 

• If successful, these technologies will enable the achievement of a 20% increase in a building's energy

utilization (when compared to a building built to ASHRAE 90.1 standards), using load management, CHP,

and energy-storage technologies that are replicable to other localities. 

RD&D Challenges

• Provide lower cost and more efficient systems. 

• Improve the reliability. 

• Solve the institutional and regulatory barriers such as a lack of widely used technical interconnection 

standards. 

• Enhance the implementation of CHP with technologies such as microturbines, fuel cells, gas turbines and 

reciprocating engines. 

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RD&D Activities 

• Direct and coordinate a diverse portfolio of research development and demonstration investments in 

distributed natural gas technologies. 

• Conduct supporting RD&D and enabling technologies.

• Direct and coordinate a diverse portfolio of RD&D energy generation and delivery systems architecture for 

distributed energy. 

• Coordinate activities with RD&D and renewable energy technologies. 

• Conduct system integration, implementation, and outreach activities aimed at addressing infrastructure, 

institutional, and regulatory needs. 

Recent Progress

• DOE’s advanced turbine system program has developed an industrial gas turbine with Solar Turbines, Inc., 

for a 48%-efficient simple-cycle machine. CHP is currently at 50 GW of installed capacity. 

• Wind energy generation is experiencing rapid growth in various western and eastern United States locations.

• Microturbines have achieved more than 10,000 hours of operations and preliminary tests. 

• The Southern Company accepted a SAFT/SatCon LiIon System developed by the DOE ESS program that 

provided three times the 100kW/1 minute rated performance. Southern agreed to test the battery system at 

no cost, because it can supplement a distributed energy resource (in this case a microturbine) and provide 

load-following capability.

Commercialization and Deployment Activities 

• Advanced industrial gas turbines in the range of 1 to 50 MW are starting to be deployed. 

• Natural gas reciprocating engines of 0.5-5 MW with efficiencies of 30%-40% are now being deployed. 

• The DOE and EPA CHP programs are cooperating to actively promote the use of CHP to add about 46 GW 

of new CHP capacity by 2010. 

Markets 

• Distributed generation, including CHP, is currently helping the U.S. economy and has the potential to 

enhance the electric infrastructure. These technologies could produce more than 100 GW of generated 

capacity for the U.S. electric system.

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1.3.4 ENERGY STORAGE

Technology Description 

Advanced storage technologies 

under active development 

include processes that are 

mechanical (flywheels, 

pneumatic), electrochemical 

(advanced batteries, reversible 

fuel cells, hydrogen, 

ultracapacitors), and purely 

electrical (superconducting 

magnetic storage). Energy 

storage devices are added to the 

utility grid to improve 

productivity, increase reliability

or defer equipment upgrades. 

Energy storage devices must be 

charged and recharged with 

electricity generated elsewhere. 

Because the storage efficiency

(output compared to input

energy) is less than 100%, on a 

kilowatt-per-kilowatt basis, 

energy storage does not directly

decrease CO2 production. The exception to this rule is the use of advanced energy storage in conjunction with 

intermittent renewable energy sources, such as photovoltaics and wind, that produce no direct CO2. Energy

storage allows these intermittent resources to be dispatchable. 

Energy-storage devices do positively affect CO2 production on an industrial output basis by providing highquality power, maximizing industrial productivity. New battery technologies, including sodium sulfur and flow 

batteries, significantly improve the energy and power densities for stationary battery storage as compared to 

traditional flooded lead-acid batteries. 

System Concepts

• Stationary applications: The efficiency of a typical steam-power plant falls from about 38% at peak load to 

28%-31% at night. Utilities and customers could store electrical energy at off-peak times, allowing power 

plants to operate near peak efficiency. The stored energy could be used during high-demand periods 

displacing low-efficiency peaking generators. CO2 emissions would be reduced if the efficiency of the 

energy storage were greater than 85%. Energy storage also can be used to alleviate the pressure on highly 

loaded components in the grid (transmission lines, transformers, etc.) These components are typically only

loaded heavily for a small portion of the day. The storage system would be placed downstream from the 

heavily loaded component. This would reduce electrical losses of overloaded systems. Equipment 

upgrades also would be postponed, allowing the most efficient use of capital by utility companies. For 

intermittent renewables, advnaced energy storage technology would improve their applicability. 

• Power quality: The operation of modern, computerized manufacturing depends directly on the quality of 

power the plant receives. Any voltage sag or momentary interruption can trip off a manufacturing line and 

electronic equipment. Industries that are particularly sensitive are semiconductor manufacturing, plastics 

and paper manufacturing, electronic retailers, and financial services such as banking, stock brokerages, and 

credit card-processing centers. If an interruption occurs that disrupts these processes, product is often lost, 

plant cleanup can be required, equipment can be damaged, and transactions can be lost. Any loss must be 

made up decreasing the overall efficiency of the operation, thereby increasing the amount of CO2

production required for each unit of output. Energy-storage value is usually measured economically with 

A 5-MVA battery energy-storage system for power quality and peak shaving. 

U.S. Climate Change Technology Program – Technology Options for the Near and Long Term

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the cost of power-quality losses, which is estimated in excess of $1.5 B/year in the United States alone. 

Industry is also installing energy-storage systems to purchase relatively cheap off-peak power for use 

during on-peak times. This use dovetails very nicely with the utilities’ interest in minimizing the load on 

highly loaded sections of the electric grid. Many energy-storage systems offer multiple benefits. (An 

example is shown in the photo.) This 5-MVA, 3.5-MWh valve-regulated lead-acid battery system is 

installed at a lead recycling plant in the Los Angeles, California, area. The system provides power-quality

protection for the plant’s pollution-control equipment, preventing an environmental release in the event of a 

loss of power. The system carries the critical plant loads while an orderly shutdown occurs. The battery

system also in discharged daily during the afternoon peak (and recharged nightly), reducing the plant’s 

energy costs. 

Representative Technologies

For utilities, the most mature storage technology is pumped hydro; however, it requires topography with 

significant differences in elevation, so it’s only practical in certain locations. Compressed-air energy storage 

uses off-peak electricity to force air into underground caverns or dedicated tanks, and releases the air to drive 

turbines to generate on-peak electricity; this, too, is location specific. Batteries, both conventional and 

advanced, are commonly used for energy-storage systems. Advanced flowing electrolyte batteries offer the

promise of longer lifetimes and easier scalability to large, multi-MW systems. Superconducting magnetic 

energy storage (SMES) is largely focused on high-power, short-duration applications such as power quality and 

transmission system stability. Ultracapacitors have very high power density but currently have relatively low 

total energy capacity and are also applicable for high-power, short-duration applications. Flywheels are now 

commercially viable in power quality and UPS applications, and emerging for high power, high-energy

applications.

Technology Status - Utilities Technology Efficiency Energy density Power density Sizes Comments 

 [%] [W-h/kg] [kW/kg] [MW-h] m 

Pumped hydro 75 0.27/100 m low 5,000-20,000 37 existing in U.S. 

 Compressed gas 70 0 low 250-2,200 1 U.S., 1 German 

SMES 90+ 0 high 20 MW high-power applications 

Batteries 70–84 30-50 0.2-0.4 17-40 Most common device 

Flywheels 90+ 15-30 1-3 0.1-20 kWh US & foreign development 

 Ultracapacitors 90+ 2-10 high 0.1-0.5 kWh High-power density

System Components

Each energy-storage system consists of four major components: the storage device (battery, flywheel, etc.); a 

power-conversion system; a control system for the storage system, possibly tied in with a utility SCADA 

(Supervisory Control And Data Acquisition) system or industrial facility control system; and interconnection 

hardware connecting the storage system to the grid. All common energy-storage devices are DC devices 

(battery) or produce a varying output (flywheels) requiring a power conversion system to connect it to the AC 

grid. The control system must manage the charging and discharging of the system, monitor the state of health

of the various components and interface with the local environment at a minimum to receive on/off signals. 

Interconnection hardware allows for the safe connection between the storage system and the local grid. 

Current Research, Development, and Demonstration 

RD&D Goals

• Research program goals in this area focus on energy-storage technologies with high reliability and 

affordable costs. For capital cost this is interpreted to mean less than or equal to those of some of lower 

cost new power generation options ($400–$600/kW). Battery storage systems range from $300-$2000/kW. 

For operating cost, this figure would range from compressed gas energy storage, which can cost as little as 

$1 to $5/kWh, to pumped hydro storage, which can range between $10 and $45/kWh. 

RD&D Challenges 

• The major hurdles for all storage technologies are cost reduction and developing methods of accurately

identifying all the potential value streams from a given installation. Advanced batteries need field 

experience and manufacturing increases to bring down costs. Flywheels need further development of failU.S. Climate Change Technology Program – Technology Options for the Near and Long Term

August 2005 – Page 1.3-10
safe designs and/or lightweight containment. Magnetic bearings could reduce parasitic loads and make 

flywheels attractive for small uninterruptible power supplies and possibly larger systems using multiple 

individual units. Ultracapacitor development requires improved large modules to deliver the required larger 

energies. Advanced higher-power batteries with greater energy storage and longer cycle life are necessary

for economic large-scale utility and industrial applications. 

RD&D Activities

• The Japanese are investing heavily in high-temperature, sodium-sulfur batteries for utility load-leveling 

applications. They also are pursuing large-scale vanadium reduction-oxidation battery chemistries. The 

British are developing a utility-scale flow battery system based on sodium bromine/sodium bromide 

chemistry. DOE’s Energy Storage Systems Program works on improved and advanced electrical energy

storage for stationary (utility, customer-side, and renewables) applications. It focuses on three areas: 

system integration using near-term components including field evaluations, advanced component 

development, and systems analysis. This work is being done in collaboration with a number of universities 

and industrial partners. 

Commercialization and Deployment Activities 

• For utilities, only pumped hydro has made a significant penetration with approximately 37 GW. 

• Approximately 150 MW of utility peak-shaving batteries are in service in Japan. 

• Two 10-MW flow battery systems are under construction – one in the United Kingdom and the other in the 

United States. 

• Megawatt-scale power quality systems are cost effective and entering the marketplace today.

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1.3.5 SENSORS, CONTROLS, AND COMMUNICATIONS

Technology Description 

Improved sensors and controls, as part of the next-generation electricity transmission and distribution system, 

could significantly increase the efficiency of electricity generation and delivery, thereby reducing the 

greenhouse gas emissions intensity associated with the electric grid. Sensors and controls can play a key role in 

the development of the nation’s next-generation electric T&D system. In the grid of the future, distributed 

energy resources can be fully integrated into grid operations, providing a robust energy infrastructure enhanced 

by local protection and control measures. The communication and control challenges associated with this 

evolution are significant. Local system conditions can be sensed, and local intelligent agents can process the 

data and communicate decision commands to local controllers for problem rectification and performance 

optimization. These local sensors and distributed software agents can assess adequacy and security with only

high-level oversight from the central control authority. Distribution system and transmission grid reliability can 

be significantly improved by higher levels of local distributed energy generation using power electronics to 

control and manage two-way power flow as directed by local sensors and intelligent agents. Research on

sensors, controls, and communications focuses on developing distributed intelligent systems to diagnose local 

faults and coordinate with power electronics and other existing, conventional protection schemes that will 

provide autonomous control and protection at the local level. This hierarchy will enable isolation and 

mitigation of faults before they cascade through the system. The work will also help users and electric powersystem operators achieve optimized control of a large, complex network of systems; and will provide remote 

detection, protection, control, and contingency measures for the electric system.

System Concepts 

• In the future, there must be a rapid, widespread measurement and control system that enables distributed 

energy generation to provide highly reliable services under all disturbance scenarios. Local control of such 

highly reliable services will improve local power quality and improve the efficiency of the distribution 

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system. This will be done with local sensors and “intelligent agents” that monitor local conditions and 

provide local responses. 

• Conventional utility sensors, while robust and reliable, are quite expensive. Low-cost, reliable and robust 

sensors must be developed that can monitor current flow, voltage, and phase angle throughout the 

distribution system. These sensors would provide the intelligent agents with the information they need to 

make rapid, correct decisions. 

Representative Technologies 

• Low-cost physical sensors will be used to measure voltage, current, temperature, phase angle, and for other 

electric distribution and grid system characterization applications. 

• The system architecture will be dependent on the ability of intelligent agents to diagnose and forecast local 

faults. This will involve placing a number of sensors, intelligent agents, and controllers at strategic 

locations. 

• The sensing, communication, and information analysis required for intelligent decision making must 

happen in real time or near real time (in seconds), sufficiently faster than the time required to affect 

coordination, control, and protection schemes.

• Communications must take place to advise the central controller of the local system status, perform critical 

nonrepudiating functions to manage the electricity commerce, and enable real-time markets for energy and 

ancillary services.

Technology Status/Applications

• The variety of transduction methods and the capability to fabricate small, rugged sensor devices has 

advanced tremendously during the past five years. Modern techniques for fabricating electronic devices 

allow unprecedented miniaturization of sensors and electronic controls. 

• Rapid analysis of sensor data and feedback control is also advancing, often enabled by microprocessor 

technology. 

• Rapid, low-cost communications methods are also undergoing fast-paced advancement in wireless and 

fiber-optic technologies. 

Current Research, Development, and Demonstration 

RD&D Goals

• The initial research program goals for sensors, controls, and communications will be to develop, validate, 

and test computer-simulation models of the distribution system to assess the alternative situations. Once the 

models have been validated on a sufficiently large scale, the functional requirements and architecture 

specifications can be completed. Then, more specific technology solutions can be explored that would 

conform to the established architecture. 

RD&D Challenges 

• A challenge will be the development of cost-effective fault detection and control systems that can be 

readily implemented in the nation’s power grid. The electricity market with an ever-increasing demand for 

highly reliable services is a key factor in the development of the new control system. 

• In response to market communications, distributed energy generation must be capable of supplying the 

highly reliable services presently provided by large turbine generators, such as spinning reserves, reactive 

power supply, and voltage and frequency regulation. The entire control scheme is now based on the 

response of the large generation stations to supply these services. Traditionally, it has been considered to be 

too difficult to use distributed energy generation to supply these services because there are simply too 

many units to control reliably and quickly. 

RD&D Activities

• Within DOE, sensor and control programs are being developed to focus on issues related to system

architecture, distributed intelligence, interconnection technologies and standards, simulation and modeling 

of the distribution system, load/demand management, and aggregation testing and control of a suite of 

distributed energy resources. 

• Workshops have been held with utilities; energy service companies; and providers of communications, 

sensor, control, and information technologies to plan strategies and develop roadmaps. 

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Recent Progress 

• A Grid-FriendlyTM appliance controller, based on the gate array chip, is being developed to monitor the 

power grid while controlling on-off operations of household appliances (refrigerators, air conditioners, 

water heaters, etc.) in response to power grid overload. This device has been tested in a laboratory

environment and will be tested in a demonstration in the Pacific Northwest, using 200 grid-connected 

household clothes washer/dryer pairs. 

• A wireless end-device controller is installed at more than 200 facilities in southwest Connecticut, with the 

goal of controlling 2-3 megawatts of electricity on a real-time dispatchable basis. The controller collects 

real-time energy-use information and controls end-use loads (lighting, vending machines, etc.) to manage 

system peak demand. 

Commercialization and Deployment Activities 

• There are more than 4,200 sensor and control companies in the United States. Commercialization of sensor 

technology depends on demonstrating economic viability at a level commensurate with the risks small 

businesses can assume. 

Market Context 

• The market for improved sensors and controls cuts across all industrial and transportation sectors. Nuclear, 

fossil, and end-use efficiency technologies would all benefit. 

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1.3.6 POWER ELECTRONICS

Technology Description 

Improved power electronics, as part of the nextgeneration electricity T&D system, could 

significantly increase the efficiency of 

electricity generation and delivery, thereby

reducing the greenhouse gas emissions intensity 

associated with the electric grid. Power 

electronics is the technology that is used to 

provide the interface between different types of 

electrical power, such as DC and 60-Hz AC. 

Power electronics equipment transforms

frequency, voltage, and power factor. Power 

levels and voltages from a few kilowatts and 

120 volts – all the way up to transmission-level 

powers and voltages – are now possible with 

today’s technology. Power electronics can 

enable the simple connection of various types of 

electrical infrastructure links like distributed 

energy resources. It can help to regulate voltage in the distribution system and transmission grid, and can solve 

power-quality and voltage-dip problems. Most important, power electronics can provide for an integrated 

approach to reliability, where all the components – energy conversion, energy storage, control, and power 

electronics – work together. 

About 60%-70% of the nation’s electrical power is used to drive motors and motors are reasonably efficient at 

their designed or rated speed and load. However, efficiencies can be tremendously improved by operating 

motors at variable speeds that match the system requirements. Motors driven by power electronics to achieve 

variable speed capability are increasing dramatically in numbers as the technologies become available. 

Continued development of power electronic devices with higher power-handling capability and reliability will 

offer an unprecedented opportunity for U.S. industry and utilities to reduce energy consumption and improve 

competitiveness. 

Power electronic structures have been developed to overcome shortcomings in solid-state switching device 

ratings so that they can be applied to high-voltage electrical systems. The unique structure of multilevel voltage 

source power electronics allows them to reach high voltages with low harmonics without the use of 

transformers. This makes these power electronics suitable for flexible AC transmission systems (FACTS) and 

custom power applications. The use of power electronics to control the frequency, voltage output (including 

phase angle), and real and reactive power flow at a DC/AC interface provides significant opportunities in the 

control of distributed power systems. 

As distributed power sources become increasingly prevalent in the near future, power electronics will be able to 

provide significant advantages in processing power from renewable energy sources using fast response and 

autonomous control. Additionally, power electronics can control real and reactive power flow from a utilityconnected renewable energy source. These power electronic topologies are attractive for continuous control of 

system dynamic behavior and to reduce problems such as voltage harmonics, voltage imbalance, or sags. 

System Concepts

• Advanced inverter topologies: Inverter circuitry that accommodates and takes advantage of advanced solidstate devices while further improving the overall efficiency, packaging, and performance of the inverter. 

Representative Technologies

• Megawatt-level inverters, fast semiconductor switches, sensors, and devices for Flexible AC Transmission 

Systems (FACTS). 

Technology Status/Applications

• Transportation: Displacement of internal combustion engines and enabling power electronic components 

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for alternate approaches to standard systems (traction drives, flywheels, auxiliary drives, alternators). 

• Industrial: Enabling components for more efficient motors and introduction of adjustable speed drives to 

match drives to loads for fans, pumps, and compressors. 

• Utilities: Power-quality systems, high-voltage DC power transmission systems. 

• Renewable energy: Inverters to convert DC power from photovoltaics and wind turbines to AC power. 

• Power supplies: Converters embedded in systems to alter the electrical power from one type to another. 

• Defense: Grid and equipment interfaces to allow for mobile and emergency backup of transmission and 

distribution infras. 

Current Research, Development, and Demonstration 

RD&D Goals

• The research program goal in this area is to build a power electronic system on a base of modules. Each 

module or block would be a subsystem containing several components, and each one has common power 

terminals and communication connections. 

• The figure represents a strategy in which the interface is partitioned into four basic blocks with each one 

performing a different system function: (1) DC-DC converter; (2) power electronics, (3) output interface 

and filtering; and (4) control, communication, and metering. Each of the power blocks will have their own 

control and communication interface such that a group of modules can coordinate their actions to act as an 

ideal interface to interconnect distributed energy resources to the utility system. Also, with each block 

having its own control and communication interface, these modules can be combined to form a multilevel 

configuration as well as other series/parallel connections as necessary to meet the voltage and current 

requirements for the particular installation. In addition, this approach will allow for future capacity

increases, enhancement to functionality, redundancy, and reconfiguration. 

RD&D Challenges 

• Smaller, lighter, more efficient, and lower-cost inverters. 

• Increase reliability and lower cost. 

• Improved materials and devices: Solders, capacitors, ferrite semiconductors, low-loss drivers, thermal 

management, passive devices, DC disconnects, connectors, and new semiconductor materials such as 

silicon carbide. 

• Increase modularity of power electronic components. 

• Present-day power electronics exhibit a number of serious problems and limitations. Some of the most 

Utility Line

Load

(customer)

Control, Communication, &

Metering

Communication I/O

Inverter Module

+ -

DC-DC Converter

Module

Output Interface Module

Control &

Communication

Module

Energy Source

Power electronics modular building

blocks. 

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significant of these are (1) the need for difficult-to-meet switching device ratings (and associated reliability 

issues), (2) the need for transformers (and associated design limitations), (3) high cost, (4) control 

limitations, (5) limitations on voltages that can be attained, (6) creation of high levels of harmonic 

distortion. 

• USCAR is pursuing the development of electric devices as an enabling technology. 

• Developing power electronic building blocks. 

• The Federal initiatives in transmission and distribution system long-range R&D were canceled. 

RD&D Activities

• The DOE Energy Storage Program supports research in power electronics for megawatt-level inverters, fast 

semiconductor switches, sensors, and devices for Flexible AC Transmission Systems (FACTS). Projects in 

these areas recently won two R&D 100 awards. 

• Office of Naval Research and DOE have a joint program to develop power electronic building blocks. 

• The military is developing more electricity-intensive aircraft, ships, and land vehicles, providing power 

electronic spin-offs for infrastructure applications. 

• The Superconductivity Technology Program funds R&D of more efficient motor technology under the 

Superconductivity Partnership Initiative.

Recent Progress 

• Soft-switching inverter topologies have been recently developed for improved inverter efficiency, 

reliability, and performance. 

• High-power solid-state inverters with improved efficiency and reduced cost and size have been developed. 

• A multilevel inverter has been developed, which when deployed will allow 26% more energy to be 

extracted from photovoltaic or other renewable energy sources. 

Commercialization and Deployment Activities 

• Major U.S. motor and drive manufacturers are beginning to expand their product lines to include improved 

power electronics. 

• U.S. power semiconductor manufacturers are expanding product lines and facilities to regain market 

position from foreign competitors. 

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1.4 INDUSTRY 

1.4.1 ENERGY CONVERSION AND UTILIZATION

Technology Description 

Energy conversion and use account for a large share of carbon emissions from the industrial sector. An 

integrated systems approach to energy conversion and utilization incorporating the best technologies could 

significantly reduce greenhouse gas (GHG) emissions and improve industrial competitiveness. Many

opportunities exist for improving the efficiency of energy generation, including advanced combustion 

technologies (burners, boilers), gasification technologies, and innovative energy delivery and conversion 

systems. Energy utilization gains can also be achieved through the increased adoption of existing technology for 

cogeneration of power and heat, referred to as combined heat and power (CHP), which provides higher thermal 

efficiency than purchased electricity. In addition, opportunities exist to reduce energy use and GHG emissions 

through economic recovery and use of both high- and low-level waste heat. 

System Concepts

• The industrial sector could significantly reduce GHG 

emissions by improving energy utilization efficiency; 

gasifying waste materials to create useful fuels and materials; 

and using high-efficiency cogeneration technologies with 

lower-associated GHG emissions. 

• Modern design techniques, advanced technology, and an 

integrated systems approach to mill or plant design could 

maximize the use of waste heat streams that are not currently 

recovered and reused. 

Representative Technologies

• Energy conversion technologies include high-efficiency

burners and boilers; advanced steam cycles; innovative

energy-conversion systems; and gasification of in-plant 

process streams, wastes, biomass, or combinations of these 

fuels. As an example of DOE-supported technology, ITP is 

working with the Gas Technology Institute and other industry

partners to develop a revolutionary super boiler that could 

save more than a hundred trillion Btu of energy annually and reduce emissions (see inset). 

• Energy utilization technologies include on-site combined heat and power systems, waste heat-recovery

systems, advanced heat-exchanger designs, and innovative furnace technology (e.g., isothermal melting). 

Technology Status/Applications 

• Technologies with higher efficiencies have been demonstrated in several applications, but have not been 

uniformly adopted by industry.

• Energy-generation technologies currently used by industry typically have thermal efficiencies ranging from 

25% to 55%; the next generation of energy-generation technologies promises substantially higher thermal 

efficiencies, perhaps ranging from 45% to 80%. This efficiency improvement would significantly reduce the 

amount of fuel required for industrial heat and power, thus reducing GHG emissions. Additionally, 

aggressive development and deployment of on-site generation technologies could reduce transmission and 

distribution losses, which average approximately 7%. 

• Use of in-plant wastes and residues from production processes to generate energy is a promising area for 

reducing energy intensity and GHG emissions. RD&D is needed to increase the use and cost-effectiveness 

of technologies such as gasification. 

A revolutionary super boiler now under 

development should substantially reduce 

energy use and carbon emissions throughout 

industry. 

U.S. Climate Change Technology Program – Technology Options for the Near and Long Term

August 2005 – 1.4-1
Current Research, Development, and Demonstration 

RD&D Goals

• The overall research program goal in this area is to contribute to a 20% reduction in the energy intensity

(energy per unit of industrial output, as compared to 2002) of energy-intensive industries by 2020. 

• By 2006, demonstrate a greater than 94 percent efficiency; and, by 2010, the packaged boilers will be 

commercially available with thermal efficiencies of 10%-12% higher than conventional technology.

• By 2008, in the pulp and paper industry, demonstrate high-efficiency pulping technology that redirects green 

liquor to pretreat pulp and reduce lime kiln load and digester energy intensity. 

• By 2011, demonstrate isothermal melting technology – which could improve efficiency significantly in

the aluminum, steel, glass, and metal-casting industries. 

RD&D Challenges 

• Entirely new technologies and increased understanding of thermal processes will be needed to facilitate 

development of advanced systems for improved energy recovery. 

• Technical advances are required in gasification technology to make it economical, particularly for gas 

clean-up, construction materials, and conversion to viable chemical products. 

RD&D Activities 

• DOE is developing and demonstrating advanced, high-efficiency combustion systems, advanced furnace 

designs, waste heat-utilization technologies, and gasification technologies. 

• RD&D activities related to this pathway are sponsored by DOE, the Environmental Protection Agency, 

and other Federal agencies. This pathway will work closely with these programs and also leverage past 

investments. 

Recent Progress 

• The UltraBlue burner was developed to maximize fired-heater efficiency and help the petroleum and 

chemical industries meet stringent environmental regulations. By 2020, advanced heaters incorporating

ultra-high efficiency and ultra-clean combustion burners have the potential to save more than 84 trillion 

Btu/year and reduce NOx emissions by 150,000 tons annually. By late 2003, more than 1,300 UltraBlue 

burners had already been sold to the petroleum industry alone. 

• Waste heat was tapped at two refineries to power absorption refrigeration units. The power generated was 

used to chill waste fuel streams that contained substantial amounts of propane or heavier hydrocarbons. 

With chilling, the refineries were able to condense and recover about half of the valuable hydrocarbons in 

the waste streams for increased profits; and, at the same time, reduce the amount of gas flared off as waste, 

reducing carbon dioxide emissions to the atmosphere. 

• A dilute oxygen combustion system was developed and is now operating in two steel mills. The system

increases the maximum production rate without additional capital investment, and significantly reduces fuel 

use. 

• A high-efficiency, high-capacity, low-NOx combustion system integrated with an innovative, low-cost, 

vacuum-swing-adsorption oxygen system has been developed and demonstrated. This system uses a novel 

air-oxygen-natural gas burner that provides 30% higher furnace productivity and 40% energy efficiency

improvements with low NOx emissions relative to air-fuel burners.

U.S. Climate Change Technology Program – Technology Options for the Near and Long Term

August 2005 – 1.4-2
Commercialization and Deployment Activities 

• Industry is already making substantial investments in commercializing and deploying economical 

technologies: combusting wastes and residues, employing oxy-fuel combustion, efficiently generating 

electricity and heat on-site, and energy cascading from high temperature to lower temperature uses within 

plants. Availability of capital and competition for R&D and demonstration funds will impact deployment 

of new technology. Cost competitiveness with existing technologies will be achieved when the newer 

technologies have completed their R&D cycles. 

Market Context 

• Markets include all manufacturing industries that use boilers or process heating. In 1998, process heating 

and boiler fuel accounted for about 10 quads of fossil energy consumption in the manufacturing sector 

alone. Significant potential also exists for additional or more efficient on-site generation of electricity in a 

number of industry sectors, including chemicals, petroleum refining, food processing, pulp and paper, 

cement, and equipment manufacture (transport, heavy machinery). 

U.S. Climate Change Technology Program – Technology Options for the Near and Long Term

August 2005 – 1.4-3
1.4.2 RESOURCE RECOVERY AND UTILIZATION 

Technology Description 

Resource recovery and utilization 

technologies help minimize waste 

from industrial processes, reducing 

energy and material requirements. 

Wastes include materials, process 

byproducts, chemical reactants, gases, 

solvents, diluents, wastepaper, plastics, 

cooling water, and more. These 

materials can be reprocessed for use as 

feedstocks, used to make different 

products, burned as fuels, or recycled. 

These practices mitigate greenhouse 

gas (GHG) emissions by improving 

plant efficiency and eliminating the 

energy required to treat wastes and to 

produce the displaced feedstocks. One 

example of recovery and reuse is a 

membrane separation process being 

developed to recover valuable chemicals 

from gas streams that are currently burned 

as low-value fuel. The process will efficiently and economically separate light hydrocarbons (ethane, 

methane, ethylene, propylene) and hydrogen for use as chemical feedstocks, which are two to three times 

more valuable than the fuel. 

System Concepts 

• Resource recovery and utilization involves cradle-to-grave stewardship over industrial products. In the 

example cited, the recovery of feedstock chemicals mitigates CO2 emissions because it increases product 

yield and displaces some of the fuel energy initially required to produce the feedstock, which is a 

petroleum fraction. 

• The approximate 30 million tons of iron-making and steelmaking byproducts generated each year – oxide 

dusts, sludges, scale, and slags – contain nearly 7 million tons of valuable iron units. Currently, about 50% 

of this volume is recovered and recycled. Research leading to increased internal recycling of these residues 

can increase the steel industry’s primary yield while reducing disposal costs and saving energy.

• Resource recovery and utilization can involve advanced separations, new chemistries, improved 

catalysts, advanced materials, optimal process and engineering design, sensors and controls, postconsumer processing, market sensitivity, and close coordination among producers, users, and postconsumer processors. 

• This pathway includes technologies that impact the other three industry technology pathways, 

particularly energy conversion and utilization and industrial process efficiency.

Representative Technologies 

• Recovery technologies include advanced separations, new and improved chemistries, sensors and 

controls, and the capture of carbon monoxide and NOx. 

• Reuse technologies include recycling; design-for-recycle or reuse; new and improved chemistries; and 

closed-loop, sustainable plant design. 

• Improved understanding of fundamental chemistry allows use of carbon dioxide and other recovered 

byproducts as feedstocks. Technologies include C1 chemistry (single carbon) to produce chemicals from

carbon dioxide, and chemistries to create fuels from plastics and rubber. 

• Component technologies include advanced separations, improved chemistry and catalysts, advanced 

materials, optimal process and engineering design, sensors and controls, and post-consumer processing. 

Recovery of olefins such as ethylene and propylene reduces the 

use of fuel and feedstocks. 

U.S. Climate Change Technology Program – Technology Options for the Near and Long Term

August 2005 – 1.4-4
Technology Status/Applications 

• Many industries make a concerted effort to reuse wastes to minimize the high cost of handling and 

disposal. Others, like the refining and pulp-making industries, rely heavily on byproduct fuels produced 

on site. However, there are still many opportunities to reuse wastes and byproducts that are not captured 

because technology does not exist, is currently not economical, or is not practical for other reasons. 

Current Research, Development, and Demonstration 

RD&D Goals

• Research program goals in this area target a range of improved recycling/recovery efficiencies. For 

example, in the chemicals industry, the goal is to improve recyclability of materials by as much as 30%. 

• Additional goals target new and improved processes to use wastes or byproducts; improve separations to 

capture and recycle materials, byproducts, solvents, and process water; identify new markets for recovered 

materials, including ash and other residuals such as scrubber sludges. 

RD&D Challenges

• Specifically target the energy-intensive U.S. industries and contribute to their goals of reducing energy, 

water use, and toxic and pollutant dispersion per unit of output. 

• Gaining a better understanding of the fundamentals behind separations and new chemical pathways; 

modeling capabilities for improved process and engineering design; and technology transfer. 

• Efficient and economical separation processes; demonstrating the viability of new markets; improving 

sensing and control capabilities; analyzing process and engineering design for optimized materials use and 

durable advanced materials. 

RD&D Activities

• Solicitations issued by the Industrial Technologies Program have funded projects to improve energy

efficiency and reduce waste; participants include industry, DOE laboratories, small businesses, and 

academia. 

• Ongoing activities include novel techniques for effective separation of materials in industrial streams for 

recovery and reuse, recycling of water and other liquid and solid-waste streams, recycling of wood 

byproducts and pulping waste into high-value products, and recycling of problematic wastes such as 

sludges, refractories, slag, and mill scale. 

• DOE is working with CQ Inc. and other partners to improve energy recovery and reduce waste in coal 

processing. By adding a binding agent into the process, mills can improve the physical characteristics of 

the coal to create a more acceptable fuel, improve processing efficiency, and reduce environmental impact.

Recent Progress 

• DOE supported Air Products in the development of an energy-efficient process employing pressure swing 

adsorption refrigeration (PSA) for the recovery of olefins from polyolefin plant vent gases. There already

are two commercial applications of the PSA technology. Widespread commercialization could yield a 

recovery rate of more than 17 million pounds of olefins per year, as well as energy and emission 

reductions. 

• Development is underway of advanced membrane technology that enables separation of hydrocarbons 

from various gaseous streams. The technology could enhance recovery and use of volatile compounds, 

carbon dioxide, and other chemicals in waste streams. 

U.S. Climate Change Technology Program – Technology Options for the Near and Long Term

August 2005 – 1.4-5
Commercialization and Deployment Activities 

• Technologies that compete with resource recovery and utilization include waste disposal in landfills, 

incinerators, and approved hazardous waste-disposal sites. 

• The economics of resource recovery and utilization technologies are an important factor in deployment. 

Markets and applications for recovered materials must be well-defined if commercialization is to be 

successful. 

Market Context 

• Markets for recovered materials are as diverse as the manufacturing industry and the products it creates. 

Significant commercial success already has been achieved in various markets, such as the use of recovered 

post-use steel, aluminum, paper, glass, and plastic. Several new market opportunities are available in these 

– as well as other – areas and are just now being explored. 

U.S. Climate Change Technology Program – Technology Options for the Near and Long Term

August 2005 – 1.4-6
1.4.3 INDUSTRIAL PROCESS EFFICIENCY 

Technology Description 

Industrial process efficiency is affected by a 

number of factors: technology design, age 

and sophistication of equipment, materials of 

construction, mechanical and chemical 

constraints, inadequate or overly complex 

designs, and external factors such as 

operating environment and maintenance and 

repair practices. Processes typically use a lot 

more energy than the practical minimum

energy that is required. In the chemical 

industry, for example, distillation columns 

operate at efficiencies as low as 20%-30%. In 

this case, thermodynamic and equipment

limitations (e.g., height of the column) 

directly impact efficiency and increase 

energy use. 

Technologies under development focus on 

removing or reducing process inefficiencies, 

lowering energy consumption for heat and 

power, and reducing the associated 

greenhouse gas emissions. One example is a revolutionary cokeless iron-making process that redesigns the 

steel supply chain by relocating iron making to the iron-ore mine. 

System Concepts 

• Process efficiency is improved by optimizing individual processes, eliminating process steps, or 

substituting processes within the principal manufacturing steps for primary conversion of raw materials, 

secondary or value-added processing, and product separation. Optimizing the overall manufacturing chain 

also improves process efficiency, including the material and energy balance. 

Representative Technologies 

• Process redesign can eliminate energy-intensive process steps, as demonstrated by the cokeless ironmaking process. Process intensification seeks to produce chemicals in one-two reaction steps rather than 

three-five, reducing feedstock and heat/power requirements. Technology options include developing a new 

route to the same product, or using innovative reactor designs and new process chemistry.

• Smaller changes to a process can also result in increased process efficiency. For example, DOE is 

supporting research to modify steel-casting methods that will reduce energy use and produce cleaner, 

lower-weight castings of improved quality.

• Advanced separation technologies include membrane separation and hybrid distillation systems, where 

novel separation technologies are combined to reduce energy demand. Advanced water removal 

technologies can also substantially reduce energy use in drying and concentration processes. 

• Advanced separation technologies include membrane separation and pressure swing adsorption, where 

separation is facilitated by novel materials and is energy-efficient. 

Technology Status/Applications 

• Components of more efficient processing technologies under development (e.g., membranes) are in limited 

use today, but many need stronger economics or demonstrated technical reliability in service to increase 

their attractiveness to industry. The biggest opportunities to reduce GHG emissions in industrial processing 

will come from introducing revolutionary technologies as replacements for conventional operations. 

Examples include next-generation steelmaking and the use of membranes in conjunction with 

A new one-step furnace operation could revolutionize iron

making and substantially reduce energy use and associated

emissions. 

U.S. Climate Change Technology Program – Technology Options for the Near and Long Term

August 2005 – 1.4-7
energy-intensive distillation. Other options include developing new processes that increase product yields, 

reduce byproducts and wastes, or use alternative manufacturing pathways.

Current Research, Development, and Demonstration 

RD&D Goals

• The overall research program goal in this area is to contribute, before 2020, a 20% improvement in energy

intensity by the energy-intensive industries through the development and implementation of new and 

improved processes, materials, and manufacturing practices. 

• Specific goals for the pulp and paper industry include, by 2010, to assist efforts to implement advanced 

water-removal technologies in papermaking resulting in an energy efficiency improvement of 10% in paper 

production. 

• For the iron and steel industry, by 2010, assist efforts to develop a commercially viable technology that 

will eliminate the use of blast furnaces and natural gas-driven, iron-making processes. 

• More generally in the separations area, demonstrate advanced hybrid separations technology, by 2016,

including separations combined with distillation (membranes, adsorption, and extraction), reactive 

separations, and separative reactors for use across various industries (chemicals, refining, pulp and paper). 

RD&D Challenges 

• Specific R&D needs are unique to each individual industry. In general, R&D challenges include economic 

and innovative separation techniques, improved understanding and prediction of chemical and material 

behavior, materials fabrication methods, demonstration of performance and reliability, in situ and/or rapid 

analytical protocols and process screening procedures, advanced computational tools, and more efficient 

process design.

RD&D Activities 

• RD&D activities relating to these technology areas are sponsored by DOE, the Department of Commerce, 

the Department of Defense, the National Science Foundation, and the Environmental Protection Agency. 

DOE has funded projects to improve process energy efficiency and promote clean manufacturing; 

participants include industry, DOE laboratories, small businesses, private research institutes, and academia. 

• Ongoing activities include development of technology to enable more efficient processes in the following 

industries: aluminum, chemicals, forest products, glass, steel, metal casting, mining, and supporting 

industries such as forging, welding, and others. The primary focus of R&D is the development of 

economic, energy-efficient, commercially viable, and environmentally sound manufacturing technology. 

Industrial partners are involved with R&D early on to facilitate deployment and commercialization. 

Specific selected activities include cokeless iron making, next-generation steelmaking, advanced water 

removal, hybrid distillation, microchannel reactors for process intensification, improved chemical reactors 

and synthesis pathways, and a metal-casting future plant initiative. 

U.S. Climate Change Technology Program – Technology Options for the Near and Long Term

August 2005 – 1.4-8
Recent Progress 

• A fiber-optic sensor for on-line measurement of paper basis weight has been developed and tested to 

improve wet-end control in papermaking and produce fine paper with more uniform basis weight. The 

sensor enables continuous measurements across the full paper sheet and will minimize raw material and 

energy requirements in the paper industry. 

• A revolutionary process was developed with DOE support that could completely revolutionize iron-making 

capabilities. The ITmk3 process uses low-grade ore to produce iron nuggets that are superior in quality to 

conventional nuggets, without the coke and agglomeration steps. The process achieves a 30% reduction in 

energy use over conventional integrated steel-making processes. 

Commercialization and Deployment Activities 

• Applications of many of the described technologies already have an impact in the marketplace. For 

example, catalytic processes are responsible for about 75% by value of all chemical and petroleum

processing products. Catalytic processes generate about $900B in products annually. The ready acceptance 

of certain applications of these technologies reduces barriers to implementation of process improvements 

or their application in new processes. Powerful drivers still exist for implementing advancements in these 

technologies for GHG reduction. The estimated total annual consumption of energy (fuels and electricity) 

by the U.S. chemical process industries is 5.8 quads; nearly 43% of that (2.5 quads) is required for 

separation processes, including distillation, extraction, adsorption, crystallization, and membrane-based 

technologies. Any process facilitating such separations will result in enormous savings of both energy and 

waste. Given the scale of many relevant industrial processes, the chief barriers to technology deployment 

are likely to be the capital expenditures required for any substantial process modifications. 

Market Context

• The markets for these technologies are industry-specific. Targets of opportunity are the basic industries, 

including aluminum, chemicals, forest products, glass, mining, steel, and crosscutting industries such as 

forging, metal-casting, and welding. 

U.S. Climate Change Technology Program – Technology Options for the Near and Long Term

August 2005 – 1.4-9
1.4.4 ENABLING TECHNOLOGIES FOR INDUSTRIAL PROCESSES 

Technology Description 

Improvements in the enabling technologies used broadly throughout industry can provide new operational 

capabilities, as well as significant energy and carbon savings. Greenhouse gases can be reduced by increasing 

the efficiency of industrial processes, reducing waste and rework of products, and achieving a longer and more 

controlled operating lifetime for industrial components. Enabling technologies will increase understanding of 

the processes and systems required to make products, facilitate improvements, and enable new manufacturing 

processes. The technologies range from advanced materials, sensors and controls systems, and chemical 

pathways, to systems and product-oriented design and processing that incorporate environmental and energy 

benefits in their initial and overall implementation. These 

types of activities will impact the reduction and more efficient 

use of energy in current and new industrial processes. 

System Concepts

• Enabling technologies will complement and be developed 

cooperatively with other technology pathways, 

particularly the energy conversion and utilization – as

well as the industrial process efficiency – pathways. 

Enabling technologies will have a positive impact in 

many industrial areas. 

• Increased understanding of processes, development of 

new materials and control methods, and innovative 

techniques for fabricating products will impact the entire 

industrial sector.

Representative Technologies 

• Advanced materials with attributes such as improved 

corrosion resistance and the ability to operate at higher 

temperatures and pressures enable more efficient industrial processes. New thermoelectric materials, for 

example, can enable recovery of high-temperature waste energy from industrial processes. Material 

categories under investigation include degradation-resistant materials, thin-film thermoelectric materials, 

materials for separations, metal alloys, ceramics, composites, polymers, and nano-materials.

• Sensors, controls, and automation enable more robust industrial process operations. Areas of emphasis 

include inferential controls; real-time, nondestructive sensing and monitoring; wireless technologies; and 

distributed intelligence to interpret and integrate data from various sensor types to aid in optimizing 

process control. 

• Other enabling technologies with potentially large industrial impacts include combinatorial methods; and 

predictive modeling and simulations, which complement development of control technology, as well as 

new product and process design. 

Technology Status/Applications 

• Advances are being made continuously in the development of new materials, including high-temperature 

materials, new coatings, smart materials, nano-materials, films, and materials with reactive or selfassembly properties. Abundant opportunities remain for developing new materials that can make a 

significant impact on industrial energy use and emissions (e.g., catalysts, inorganic-organic hybrids, thin

film composites, refractories, sensor materials). 

• Intelligent controls have been implemented in industry, but are still technically inadequate in a number of 

areas. Further impacts can be made in global and remote sensing, inferential sensor and control technology; 

and nondestructive on-line evaluation of process parameters and equipment. 

• New computational techniques are emerging every day, but have yet to keep pace with the phenomenal 

increase in computing power. Experimental methods based on combinatorial techniques – such as those 

used in drug discovery – could revolutionize the way new materials and products are developed, but are 

only slowly being adapted to industrial use. 

Advanced nickel aluminide materials used in

transfer rolls of steel reheat furnaces reduce 

product defects and reprocessing 

requirements. 

U.S. Climate Change Technology Program – Technology Options for the Near and Long Term

August 2005 – 1.4-10
• The use of model-based control systems and neural networks that can “learn” and improve process/energy

efficiency will lower emissions of GHG from manufacturing processes. 

Current Research, Development, and Demonstration 

RD&D Goals 

• Research program goals for this area target new enabling technologies that meet a range of cost goals 

depending on the technologies and on the applications where they are to be used. Cost targets when 

considered on a system basis are expected to range between 0.5 to 2 times those of typical technologies. 

• By 2010, demonstrate production and application for nano-structured diamond coatings and composites 

and other ultra-hard materials for use in wear-intensive industrial applications; and develop materials for 

use in a wide array of severe industrial environments (corrosive, high temperature, and pressure). 

• By 2012, demonstrate the generation of efficient power from high-temperature waste heat using systems 

with thermoelectric materials. 

• By 2017, develop and demonstrate integration of sensing technologies with information processing to 

control plant production. 

RD&D Challenges 

• Develop new, economic material compositions, measurement technologies, and inferential control and 

predictive maintenance systems. 

• Enable increased understanding of chemical, metallurgical, and related processes impacting efficiency

process design and control. 

• Develop functional and protective materials for sensors, actuators, and other devices deployed in industrial 

environments. 

• Develop materials property/engineering databases for materials used in industrial applications. 

• Validate mathematical models to enable improved and integrated process design and operations. 

• Scaling up of technologies from the laboratory to commercial application while achieving anticipated 

economies of scale, maintaining performance goals, and ensuring component integrity. 

• Assuring compatibility with real-world manufacturing environment to avoid degrading performance of 

existing processing and production systems. 

RD&D Activities 

• Development of industrial system components including high-temperature and corrosion-resistant materials 

used in melting, heat treating, or combustion systems; chemicals and pulp- and paper-processing systems; 

and boilers and gasifiers. 

• Ongoing R&D activities on enabling technologies include the Advanced Industrial Materials and Sensors 

and Automation projects in DOE. Modeling and simulation activities are supported by DOE throughout all 

program areas as appropriate. Additional applied research activities are in the Department of Commerce 

Advanced Technology Program and in the Environmental Protection Agency. Basic research activities are 

in DOE’s Office of Science and the National Science Foundation (NSF). 

Recent Progress 

• Laser Induced Breakdown Spectroscopy (LIBS) technology has been developed to effectively measure the 

composition of molten metal and glass in real time. The technology, which is now in commercial use, has 

the potential to reduce energy consumption by 5-10 trillion Btu annually. 

• Nickel aluminides have been developed for heat-treating furnace fixtures that last three-five times longer 

than high-performance steels, and improve production and energy efficiency in carburizing furnaces by as 

much as 33%. 

• Thin intermetallic alloys developed for coating the inside of reactor tubes used in production of ethylene 

will be used to reduce coke formation, increasing tube life and improving reaction conditions. Potential 

energy savings could be more than 400 trillion Btu per year. 

• A new distillation column flooding predictor has been developed, which will enable petroleum refineries to 

increase column throughout by 2%-5%, improving safety margins and increasing efficiency and gasoline 

production for the same amount of energy. 

U.S. Climate Change Technology Program – Technology Options for the Near and Long Term

August 2005 – 1.4-11
Commercialization and Deployment Activities 

• The industrial segment of the economy is substantial, and enabling technologies are impacting every

industrial sector. New materials are being introduced in the manufacturing of steel; new measurement 

systems and in situ temperature measurements in harsh environments have been developed and are being 

used in industry; and new capabilities in design and modeling methodologies are reducing the energy use 

and greenhouse gas emissions of production plants. 

• The introduction of new technologies is often sensitive to initial cost, and cost benefits must be evaluated 

based on life-cycle benefits. 

Market Context

• Applications for enabling technologies are many and encompass the various industrial segments of the 

economy. Every industry segment will benefit from the activities, and the efforts will be coordinated with 

other pathways.

U.S. Climate Change Technology Program – Technology Options for the Near and Long Term

August 2005 – 1.4-12
2. REDUCING EMISSIONS FROM ENERGY SUPPLY 

2.1 LOW EMISSIONS FOSSIL-BASED FUELS AND POWER 

2.1.1 COPRODUCTION/HYDROGEN 

Technology Description 

Coproduction technology focuses on developing plants that coproduce electricity and hydrogen for a 

transportation fuel from fossil and/or fossil/biomass blends with very large reductions in CO2 emissions 

compared to present technologies. Two approaches may be developed. Both approaches employ synthesis gas 

generated from natural gas reforming or coal gasification. Carbon emissions are reduced in the near-term

approach principally by improving process efficiency (e.g. warm gas cleanup, separation membranes); and in 

the longer term, via more advanced system components such as high-efficiency fuel cells. In both the near and 

long term, incorporating CO2 collection into the process, followed by permanent sequestration will be required 

to achieve zero emissions. 

System Concepts 

• Synthesis gas is used from a variety of feedstocks including coal, petroleum coke, biomass, opportunity

fuel, and natural gas. For solid feedstocks, the initial processing involves gasification followed by gas 

cleanup (particulate matter, sulfur, nitrogen compounds). For natural gas feed, the initial step is partial 

oxidation reforming. All new technologies to be developed for the long-term approach of coproduction will 

work equally well with solid or gas feedstocks. 

• The core approach is to employ water gas shifting of syngas to maximize production of hydrogen and 

carbon dioxide, which allows carbon capture prior to combustion. 

• Nominal carbon capture for the near-term approach (including both net power and fuel production) is 90%

of feedstock carbon used for conversion. For the long-term approach, carbon capture will be more than 

99%. 

• Power production is via combustion turbine/steam turbine combined cycle in the near-term approach. 

Power production is via solid-state fuel cell combined cycle in the long-term approach. 

• The near-term approach accomplishes carbon capture by absorption from shifted syngas into a physical 

solvent such as Selexol. Use of a physical solvent instead of chemical solvents such as amines yields 

energy savings in CO2 recovery. 

• The principal fuel product anticipated with the near-term approach is Fischer-Tropsch diesel fuel, a 

premium fuel or blending stock with ultra-low sulfur and aromatics. The principal fuel product with the 

long-term approach is high-purity hydrogen. 

• The long-term approach will employ ceramic membranes for oxygen separation and for hydrogen 

separation. 

FutureGen 

Power Plant

U.S. Climate Change Technology Program – Technology Options for the Near and Long Term

August 2005 – Page 2.1-1
Representative Technologies 

• Gasifiers for solid feedstocks. 

• Partial oxidation reformers for natural gas feedstock.

• Shift reactors (both approaches). 

• Hydrogen-fueled combustion turbines (near-term approach). 

• Steam turbines for combined cycle power generation (near-term approach). 

• Fischer-Tropsch reactors and product recovery train (near-term approach). 

• Physical solvent-based absorption system for CO2 recovery (near-term approach). 

• Cryogenic oxygen separation (near-term approach). 

• Ion transport membranes for oxygen separation and ceramic membranes for hydrogen recovery (long-term

approach). 

• Solid-oxide fuel cells (long-term approach). 

• CO2 compression and drying system (both approaches). 

Technology Status/Applications 

• The only technology module that needs to be developed for the near-term approach is the hydrogen 

combustion turbine. Major turbine manufacturers (e.g., GE, Siemens-Westinghouse) have performed 

design studies on the modifications that would be required on existing combustion turbines. Test results 

indicate the modifications are technically feasible. 

• Absorption of CO2 in a physical solvent has not been practiced commercially at the large scale that will be 

required at a central coproduction plant (about 5,000 tpd CO2 for a 250-MW plant). All aspects of the 

technology are proven, however, so scale-up should be straightforward. 

• Fischer-Tropsch conversion is a commercial process used in South Africa (Arge reactors) to convert both 

coal- and natural-gas-derived syngas to liquid fuels and chemicals. Fischer-Tropsch conversion is also used 

commercially by Shell in Malaysia to convert natural gas to diesel fuel, solvents, and wax products. In the 

United States, liquid-phase synthesis with unshifted coal-derived syngas has been practiced at the LaPorte, 

Texas, pilot facility, and at the Eastman Chemical Co. Clean Coal Technology demonstration project. 

• Ceramic membrane reactor development projects for both oxygen separation and hydrogen recovery are 

underway with industrial partners as part of the DOE Vision 21 program. The Vision 21 roadmap calls for 

both technologies to be ready for commercial use by 2015. 

• Compression, drying, and transport of CO2 at supercritical pressures already are practiced in recovery and 

use of CO2 from underground sources for tertiary oil recovery. 

Current Research, Development, and Demonstration 

RD&D Goals 

• By 2010, design a near-term coproduction plant, configured at a size of 275-MW, which would be suitable 

for commercial deployment. 

• By 2010, demonstrate pilot-scale reactors using ceramic membranes for oxygen separation and hydrogen 

recovery. 

• By 2010, demonstrate a $400/kW solid-oxide fuel cell. 

• By 2020, design a long-term coproduction plant at a scale of 275-MW or larger. 

RD&D Challenges

• Hydrogen combustion turbine design modifications. 

• CO2 absorber demonstration at full scale. 

• Plant integration issues for coproduction of Fischer-Tropsch liquids and power. 

• Integration of coproduction plant with sequestration site planning. 

• Ion transport membranes for oxygen separation. 

• Long-term membrane reactor for hydrogen recovery.

• Low-cost solid-oxide fuel cells. 

• Plant integration issues for coproduction of hydrogen and power. 

U.S. Climate Change Technology Program – Technology Options for the Near and Long Term

August 2005 – Page 2.1-2
RD&D Activities 

• Ion transport oxygen separation membranes

• Hydrogen separation membranes 

• Early-entrance coproduction plant designs 

Recent Progress 

• Air Products’ liquefied petroleum methanol pilot plant at LaPorte, Texas, was scaled up to Eastman 

Chemicals Clean Coal Technology Project. 

• Eastman Chemicals Clean Coal Technology Project successfully produced 80,000 gpd of 97% methanol, 

and was selected for scale-up in Global’s early-entrance coproduction plant design study for the Wabash 

River site. 

Commercialization and Deployment Activities 

• Early entrance coproduction plant projects begin with a Phase I plant design for eventual commercial scale 

demonstration in follow-up phases. 

Market Context

• Coproduction plants like those described here address both the power and transportation sectors, providing 

energy with very large reductions in carbon intensity from large point sources of CO2 (such as central 

generating stations) and could become the new world standard for providing environmentally responsible 

power and transportation. 

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August 2005 – Page 2.1-3
2.1.2 ADVANCED POWER SYSTEMS 

Technology Description 

Advanced coal-fired, power-generation technologies can achieve significant reductions in CO2 emissions while 

providing a reliable, efficient supply of electricity. Significant improvements in reducing CO2 and other 

emissions have been demonstrated via efficiency improvements and cofiring of coal and biomass. Achieving 

the efficiency improvements and reducing emissions must be accomplished in a cost-effective manner. While 

current power plant efficiencies are about 33%, increasing efficiencies ultimately to 60% or more will reduce 

CO2 emissions by more than 50% per unit of electricity. Future development of CO2 sequestration could reduce 

carbon emissions to near-zero levels. 

System Concepts 

• Gasification technology increases the coal power-generation cycle efficiency by combining two or more 

energy cycles, a high-temperature gas turbine, and a steam turbine. In a typical configuration, the gasifier 

converts coal into a low- or medium-BTU gas, which is burned in the combustion section of the gas turbine 

to produce electric power. The exhaust gases from the gas turbine are cooled in the heat-recovery steam

generator. The steam is routed to the steam turbine, producing additional electric power. Depending on the 

quality of the gas produced, the gas also may be used as the feedstock to coproduce a variety of chemicals 

and fuels. 

• Combustion technology, including chemical looping, may use oxygen separation coupled to a coal-fired 

power plant featuring oxygen combustion, carbon capture, and ultra-supercritical steam-cycle operation. 

Representative Technologies 

• FutureGen – the ultra-clean energy plant of the future. 

• Integrated gasification combined cycle (IGCC). 

• Advanced combustion systems. 

• Unconventional combustion (e.g., use of chemical cycling for CO2 enrichment). 

Technology Status/Applications 

• Current IGCC systems based on oxygen-blown, entrained-bed gasifiers are 40%-42% efficient. 

• IGCC systems with efficiencies of 40%-42% are available for commercial deployment. 

• Efficiencies of a portfolio of IGCC technologies are expected to average 48%-52% by 2010 and 60% by

2020. 

• The cost of electricity for these technologies is expected to be 3¢/kWh (in 2003$) by 2015. 

U.S. Climate Change Technology Program – Technology Options for the Near and Long Term

August 2005 – Page 2.1-4
• Gasifier capital costs are expected to decrease to 90% of current costs as these technologies mature around 

2012. 

• Supercritical coal-fired technologies without carbon sequestration are available now with efficiencies of 

42%. 

• Ultra-critical steam cycles using coal-fired technologies with efficiencies in the 45% range are expected by 

2010. 

• Coal-fired technologies with significant potential for carbon capture are expected by 2015. 

• Oxygen-fed, coal-fired power plants with near-zero CO2 emissions are expected by 2020. 

Current Research, Development, and Demonstration 

R&D Goals 

• The research program goal in the Advanced Power Systems area is to increase efficiency of new systems to 

levels ranging from 48% to 52% by 2010, and to more than 60% by 2020. 

• By 2020, achieve an overall electricity production cost that is between 75% and 90% of current pulverizedcoal-based power generation. 

RD&D Challenges 

• Long-term systems need to maintain relatively high temperatures between the combustion/gasification 

stage and the turbine stage to achieve efficiency goals. 

• High-temperature materials that are stable and resistant to corrosion, erosion, and decrepitation are a 

primary technology development need. 

• Advanced materials are needed for heat exchangers, turbine components, particulate filters, and SO2

removal. Other challenges include the use of alternate working fluids and heat-exchange cycles, CO2

capture methods, cycle optimization, environmental control technologies with low energy penalties, and 

solids handling. 

RD&D Activities

• The portfolio of high-efficiency coal power systems under development through DOE is comprised of 

IGCC, pressurized fluidized bed combustion, and Vision 21 plants. 

• DOE activities are supplemented by up to 50% cost share from the private sector. 

• Current development encompasses a broad range of activities including major efforts by Boeing, Alstom, 

Southern Company Services, and others to develop a new class of gasifiers. 

• Four IGCC clean coal demonstration projects are in various stages of completion. 

Recent Progress 

• Incorporating the results from technology studies and lessons learned at the Wabash River Integrated 

Gasification Combined Cycle (IGCC) power plant in Terre Haute, Indiana, Excelsior Energy Inc. and 

ConocoPhillips will construct and operate the 531-megawatt Mesaba Energy Project in Hoyt Lakes, 

Minnesota, to reduce costs and improve efficiency and availability for a next generation, oxygen-blown 

gasification plant using bituminous coal. Mesaba will advance such across-the-board performance to 

achieve criteria pollutant emission levels (SOx, NOx, mercury, and particulate) equal to or below the current 

LAER rates for coal-fired generation. Carbon dioxide emissions will be 15% to 20% less than most existing 

coal-fired power plants as well. 

• A Demonstration Plant will be built in Orange County, Florida, and co-owned by Orlando Utilities 

Commission and Southern Power Company. It will gasify sub-bituminous coal and generate 285 megawatts 

(MW) of electricity (net) at a heat rate of 8,400 Btu/kWh (40.6% efficiency – higher heating value basis). 

The transport gasifier offers a simpler and more robust method for generating power from coal than other 

alternatives. The Demonstration Plant will use state-of the-art emission controls and will be the cleanest, 

most efficient coal-fired power plant technology in the world. Future units based on the plant design will be 

600 MW-class units running at efficiencies near 41.5 %. This project is a continuation of successful work 

conducted at the Power Systems Development Facility (PSDF). 

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August 2005 – Page 2.1-5
Commercialization and Deployment Activities 

• The gasification technology is under development with several recent proof-of-concept greenfield and 

repowering installations. Existing plants may be repowered with higher-efficiency coal technologies at or 

below the price of the natural gas combined-cycle plants. Where natural gas is not available (a considerable 

portion of the United States and a major portion of the international market) or if gas costs stay above 

$4/mmbtu, high-efficiency coal plants will be the lowest-cost choice. 

• Internationally, where natural gas is not available, the market share for coal is expected to be much higher.

Market Context 

• The market for new or repowered capacity from now until 2020 is estimated to be as much as 400 GW in 

the United States and more than that internationally. Domestically, the primary competition for this 

technology profile is expected to be natural gas combined cycle.

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2.1.3 DISTRIBUTED GENERATION/FUEL CELLS 

Technology Description 

The ultimate goal of this technology is to develop fuel cell and/or hybrid systems that use natural gas or 

hydrogen (from coal, natural gas, or other sources) for highly efficient power generation. This also includes 

standalone applications of small to medium gas turbine systems, as well as advanced turbine systems for 

cogeneration application. Near-zero CO2 emissions could be achieved with the integration of CO2 capture. 

System Concepts 

• Hybrid systems that combine fuel cells and gas turbines to create a high-efficiency power module with 

near-zero emissions for central power or grid support applications. 

• Unique fuel cell turbine hybrid cycles that incorporate intercoolers, humidified air cycles, and highpressure ratios to achieve the highest efficiency. 

• High-efficiency coproduction (electricity and hydrogen) energy systems, utilizing waste heat for making 

hydrogen from natural gas. 

• Integration in the long term of CO2 capture technologies with all of the above systems. 

• Integration of fuel cells with other heat engines (reciprocating engines, Stirling engines, etc.) to create 

highly efficient and clean power modules. 

• Fuel cell systems, including high- and low-temperature units. 

Representative Technologies 

• Low- and high-temperature fuel cells. 

• Optimized gas turbines with higher-pressure ratios, intercoolers, oil-less bearings. 

• Smart control systems. 

• Hydrogen separation membranes. 

• Natural gas reforming. 

• CO2 capture. 

• Membrane separators for air, hydrogen, and CO2.

• Ultra-high temperature steam turbines. 

Technology Status/Applications 

• Two different fuel cell turbine hybrid power systems (300 kW) have been designed, built, and operated 

(Siemens Westinghouse and FuelCell Energy Inc.). Both prototype systems logged more than 6,000 hours 

of operation each and achieved efficiencies of approximately 52% with near-zero emissions. 

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August 2005 – Page 2.1-7
• The Solid State Energy Conversion Alliance (SECA) is in the fourth year of an eight-year program to 

develop low-cost (< $400 / kW) fuel cell modules for stand-alone and hybrid applications. 

• High-temperature fuel cells – such as molten carbonate and tubular solid oxide – are engaged in 

commercial-scale demonstration tests, but not yet competitively on the market. 

• Various elements of high-performance cycles need to be developed to integrate long-term CO2 capture, 

membrane separation, optimized turbines, low-cost high-performance SECA fuel cells, and ultra-high 

temperature steam turbines need extensive development.

Current Research, Development, and Demonstration 

RD&D Goals 

• By 2010, demonstrate a gas-aggregated FC module larger than 250 kW that can run on coal syngas, while 

also reducing the costs of the Solid-State Energy Conversion Alliance fuel cell power system to $400/kW. 

• By 2012-2015, the program aims to (1) demonstrate a megawatt-class hybrid system at FutureGen with an 

overall system efficiency of 50% on coal syngas, (2) demonstrate integrated fuel cell and turbine systems 

achieving efficiencies of 55% on coal; and (3) integrate optimized turbine systems into zero-emission 

power plants. 

RD&D Challenges

• Low-cost, high-performance materials. 

• Pressurization 

• Scale up 

• Aggregation 

• Simpler manufacturing process and materials in fuel cells to lower costs. 

• Grid interconnection. 

• Fuel cell turbine control system for steady-state and dynamic operation. 

• Developing new components required by long-term cycles integrating CO2 capture. 

RD&D Activities

• High-temperature fuel cell performance advancement for FCT hybrid application. 

• Systems integration and controls for hybrid FCT application. 

• Hybrid systems and component demonstration. 

• Low-cost fuel cell systems.

• Develop hydrogen separation, transport, and storage. 

• Develop methods for CO2 sequestration and/or capture. 

• Develop high-performance materials, catalysts, and processes for reforming methane. 

• Develop membranes for separation of air, hydrogen, and CO2.

Recent Progress 

• Siemens-Westinghouse has demonstrated a nominal 300 kW fuel cell turbine direct-cycle hybrid for more 

than 3,000 hours and achieved an electrical efficiency of 53%. 

• FuelCell Energy Inc. (FCE) has demonstrated a nominal 300 kW fuel cell turbine indirect cycle hybrid for 

more than 6,000 hours and achieved an electrical efficiency of 52%. FCE is currently building a fully

integrated version of their 300 kW hybrid. 

Commercialization and Deployment Activities 

• Fuel cells are becoming viable in niche applications, and increased production rates are expected to lower 

capital costs.

• About 300 fuel cell units (mostly 200-kW size) have been installed worldwide. 

• Currently, there are six industrial teams in the SECA program developing low-cost (< $400/kW) solid 

oxide fuel cell technology. The SECA program is supported by a significant core technology program to 

resolve technical issues. Three of the six SECA industry team have shown significant interest in developing 

fuel cell turbine hybrid products. 

• Energy losses and cost are expected to decline with system refinements. 

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2.2 HYDROGEN 

2.2.1 HYDROGEN PRODUCTION FROM NUCLEAR FISSION AND FUSION 

Technology Description 

Hydrogen is a carbon-free fuel that can be produced from hydrogen-containing compounds, such as fossil fuels 

or water, and used in vehicles, homes, businesses, and power plants, or as a chemical feedstock. When 

hydrogen is produced from fossil fuels, CO2 appears as a concentrated byproduct. However, advanced nuclear 

fission and fusion systems can be used to produce hydrogen without generating CO2. Very high-temperature, 

high-efficiency nuclear power plants can either produce electricity to electrolyze water vapor or supply hightemperature process heat to drive chemical cycles for hydrogen production. Implementing these hydrogenproduction technologies will reduce carbon emissions significantly below what is possible with nucleargenerated electricity alone. 

System Concepts

• Very high-temperature, high-efficiency nuclear systems can be used to produce hydrogen either by 

electrolysis of water vapor or chemical cycles for water decomposition. 

Representative Technologies

• Advanced, high-temperature fission reactors such as those being developed by the Generation IV Nuclear 

Energy Systems Initiative (including high-temperature gas-cooled reactors) 

• Fusion reactor using gas, liquid-metal, or molten-salt cooling. 

Technology Status/Applications

• Very high-temperature reactors cooled by gas or molten salts are being developed. 

• Fusion technology is in development and making steady progress. 

• Gas-cooled reactors operate in Japan at the temperatures of interest. 

• Chemical cycles for the decomposition of water to yield hydrogen are being developed. 

• Electrolysis of water vapor rather than liquid water is being developed. 

• Fuel-cell-powered vehicles using hydrogen are being developed and demonstrated by industry in 

partnership with the Department of Energy. 

Current Research, Development, and Demonstration 

RD&D Goals

• By 2030, reduce thermochemical facility costs by two-thirds by 2030 and high-temperature electrolysis 

facility costs by 85% in the same time frame. 

 

Water

Oxygen Hydrogen

Heat

O2

SO2

2H2O

H2

H2SO4

H20+SO2+1⁄2O2

H2SO4 HI

I

2 + SO2 + 2H2O

2HI + H2SO4

2HI H2 + I2

I

2

800-1,000oC

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August 2005 – Page 2.2-1
• By 2030, decrease operating costs by three-fourths for both technologies, while thermal efficiency would 

increases from levels as low as 30% to 40% to more than 50%. 

RD&D Challenges

• Develop reactor designs and materials that operate at temperatures high enough to achieve needed 

efficiencies. 

• Overcome barriers to economic hydrogen generation by electrolysis. 

• Develop chemical processes for water decomposition that operate efficiently and reliably.

• Demonstrate production and large-scale storage of hydrogen using a nuclear power plant. 

RD&D Activities 

• Development of high-temperature materials, separation membranes, advanced heat exchangers, and 

supporting systems relating to hydrogen production using the sulfur-iodine (S-I) thermochemical cycle and 

high-temperature electrolysis. 

• Design and development of gas-cooled and lead-bismuth-cooled reactors and hydrogen-production systems 

are underway, through the Generation IV Nuclear Energy Systems Initiative and the Nuclear Hydrogen 

Initiative. 

• Concept development for high-temperature blanket/cooling systems is underway as part of the fusion 

program. 

Recent Progress 

• Chemical cycles for hydrogen production are being developed, and the conceptual design is being prepared 

for a gas-cooled reactor to couple to the most promising cycles. 

• Japan’s gas-cooled, high-temperature test reactor operates at 850°C with periodic testing up to 950°C. 

• Recent analyses indicate that, because of low fuel costs, fission systems could provide cost-effective offpeak electricity for electrolysis at either onsite or offsite filling stations.

Commercialization and Deployment Activities 

• High-temperature, high-efficiency test reactors are being operated in China and Japan. 

• Fuel cell-powered vehicles will create demand for hydrogen in addition to existing demand of the process 

chemical and petrochemical industries. 

• High-temperature reactor designs are being developed through the Generation IV Nuclear Energy Systems

Initiative. High-temperature operation will make reactors competitive with other methods of electrical 

power generation. 

• Partnering with industry to demonstrate hydrogen production using electricity during off-peak demand 

periods has been proposed.

• Fusion plants could be commercialized late in the second quarter of this century. 

Market Context 

• The potential for carbon emissions reductions using these technologies is enormous, including 

consideration of the GHG reduction from the significant improvements in the efficiency of electrical power 

generation. 

• Hydrogen fuel cell vehicles will create a demand for hydrogen as a transportation fuel in addition to the 

demand by the process chemical industry. Petrochemical industry demand for hydrogen will grow as the 

use of lower-quality crude oils becomes more common in refining. 

• Extends the applicability of large fission energy resources and essentially unlimited fusion energy resources 

to the transportation sector. 

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2.2.2 HYDROGEN SYSTEMS TECHNOLOGY VALIDATION 

Technology Description 

Similar to electricity, hydrogen can be produced from 

many sources, including fossil fuels, renewable resources, 

and nuclear energy. Hydrogen and electricity can be 

converted from one to the other using electrolyzers 

(electricity to hydrogen) and fuel cells (hydrogen to 

electricity). Hydrogen is an effective energy-storage 

medium, particularly for distributed generation. 

Implementation of hydrogen energy systems could play a 

major role in addressing climate challenges and national 

security issues through 2030 and beyond. Today, hydrogen 

is produced primarily from natural gas using widely known 

commercial thermal processes. In the future, we can adapt 

current technologies to produce hydrogen with 

significantly reduced CO2 emissions, through carbon 

capture and sequestration processes, and by using renewable and nuclear electricity to produce hydrogen with 

no production-side CO2 emissions. Using hydrogen in combustion devices or fuel cells results in few, if any, 

harmful emissions. 

In the next 20-30 years, hydrogen systems used for stationary and vehicular applications could solve many of 

our energy and environmental security concerns. Hydrogen could be affordable, safe, domestically produced, 

and used in all sectors of the economy and in all regions of the country. 

System Concepts and Representative Technologies

• A hydrogen system is comprised of production, storage and distribution, and use. A systems approach is 

needed to demonstrate integrated hydrogen production, delivery, and storage, as well as refueling of 

hydrogen vehicles and use in stationary fuel cells. This could involve providing hydrogen in gaseous and 

liquid form. Technologies are in various stages of development across the system. Hydrogen made via 

electrolysis from excess nuclear or renewable energy can be used as a sustainable transportation fuel or 

stored to meet peak-power demand. It also can be used as a feedstock in chemical processes. 

• Hydrogen produced by decarbonization of fossil fuels followed by sequestration of the carbon can enable 

the continued use of fossil fuels in a clean manner during the transition to the ultimate carbon-free 

hydrogen energy system. 

• For hydrogen to become an important energy carrier – as electricity is now – an infrastructure must be 

developed. Although the ultimate transition to a hydrogen economy requires significant infrastructure 

investments, it is possible to develop the components of a hydrogen energy system in parallel with 

infrastructure. As hydrogen applications become more cost effective and ubiquitous, the infrastructure will 

also evolve. Beginning with fleets of buses and delivery vans, the transportation infrastructure will evolve 

to include sufficient refueling islands to enable consumers to consider hydrogen vehicles as attractive and 

convenient. The development of distributed power systems will begin with natural gas-reformer systems 

and evolve to provide hydrogen from a variety of resources (for all services), including hydrogen-to-fuel 

vehicles, reliable/affordable power, lighting, heating, cooling, and other services for buildings and homes. 

• The technology-validation effort also provides information in support of technical codes and standards 

development of infrastructure safety procedures. 

Technology Status/Applications

• Today, hydrogen is primarily used as a chemical feedstock in the petrochemical, fertilizer, electronics, and 

metallurgical processing industries. Hydrogen is receiving new capital investments for transportation and 

power-generation applications. 

• Nearly half of the worldwide production of hydrogen is via large-scale steam reforming of natural gas, a 

relatively low-carbon fuel/feedstock. In the United States, almost all of the hydrogen used as a chemical 

(i.e., for petroleum refining and upgrading, and ammonia production) is produced from natural gas. Today,

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we safely produce about 9 million metric tons of hydrogen annually. Although comparatively little 

hydrogen is currently used as fuel or as an energy carrier, there are emerging trends that will drive the 

future consumption of hydrogen. 

• The long-term goal of the DOE Hydrogen, Fuel Cell & Infrastructure Technologies (HFCIT) Program is to 

make a transition to a hydrogen-based energy system in which hydrogen will join electricity as a major 

energy carrier. Furthermore, the hydrogen will be derived from domestically plentiful resources, making 

the hydrogen economy an important foundation for sustainable development and energy security. 

• Requirements in California – especially the Los Angeles basin – are propelling the development of zeroemission vehicles, which in turn, provide incentives for the growth of fuel cell cars, trucks, and buses. 

Several bus fleets are currently incorporating hydrogen and fuel cell technologies into their fleets. Major 

car manufacturers are developing fuel cell vehicles in response to concerns about greenhouse gas and other 

emissions, and in response to policy drivers, especially for higher efficiencies and reduced oil consumption.

• Integrating the components of a hydrogen system in a variety of applications enables the continued 

development of infrastructure that is needed as we move from concept to reality. The development of the 

components of an integrated hydrogen system has begun: 

• Production: Hydrogen production from conventional fossil-fuel feedstocks is commercial, and results in 

significant CO2 emissions. Large-scale CO2 sequestration options have not been proven and require R&D. 

Current commercial electrolyzers are 60%-70% efficient, but the cost of hydrogen is strongly dependent on

the cost of the electricity used to split water into hydrogen and oxygen. Production processes using wastes 

and biomass are under development, with a number of engineering scale-up projects underway. Longerterm, direct hydrogen production processes (photoconversion) are largely in the research stage, with 

significant progress being made toward development of cost-effective, efficient, clean systems.

• Storage and Distribution: Liquid and compressed gas tanks are available and have been demonstrated in a 

small number of bus and automobile demonstration projects. Lightweight, fiber-wrapped tanks have been 

developed and tested for higher-pressure hydrogen storage. Experimental metal hydride tanks have been 

used in automobile demonstrations. Alternative solid-state storage systems using alanates and carbon 

nanotubes are under development. Current commercial practices for the distribution and delivery of 

hydrogen include cryogenic liquid and high-pressure trucks, and limited pipeline transmission. Longerterm, lower-cost delivery infrastructure and technologies will be needed. 

• Use: Significant demonstrations by domestic and foreign auto and bus companies have been undertaken in

Japan, Europe, and the United States. Small-scale power systems using fuel cells are being beta-tested. 

Small fuel cells for battery replacement applications have been developed.

Current Research, Development, and Demonstration 

RD&D Goals

• The overall goal in this area is to validate, by 2015, integrated hydrogen and fuel cell technologies for 

transportation, infrastructure, and electric generation in a systems context under real-world operating 

conditions. 

• By 2005, demonstrate that an energy station (coproduction of hydrogen as fuel for a stationary fuel cell and 

for a fuel-cell vehicle) can produce electricity for 8 cents/kWh and $3.60/gallon gasoline equivalent. 

• By 2008, demonstrate stationary fuel cells with a durability of 20,000 hours and 32% efficiency. 

• By 2009, demonstrate vehicles with greater than 250-mile range and 2,000-hour fuel cell durability.

• By 2009, establish hydrogen production at $3/gallon gasoline equivalent. 

• By 2015, provide critical statistical data that demonstrate that fuel cell vehicles can meet targets of 5,000-

hour fuel cell durability, storage systems can efficiently meet 300+ mile range requirements, and H2 fuel 

can cost less than $2.50/gallon gasoline equivalent. 

• The technology validation effort also will provide sufficient information in support of technical codes and 

standards development of infrastructure safety procedures. 

RD&D Challenges

• Low-cost and durable fuel cells need to be developed and demonstrated that can make significant market 

penetrations in the transportation and electric-generation sectors. 

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August 2005 – Page 2.2-4
• Low-cost, low-weight, and high energy-density storage systems need to be developed so that there is no 

compromise to vehicle costs and existing vehicle passenger or trunk compartments. 

• Hydrogen can be produced and delivered at a cost that is competitive on a cents/mile basis with current 

vehicles. 

• Codes and standards must be developed and implemented. 

RD&D Activities

• The overall strategy of the HFCIT Program is to conduct a comprehensive and balanced program that 

includes mid- and long-term research and development of hydrogen production, storage, and utilization 

technologies; integrated systems and technology validation using close collaboration with industry that 

develops, demonstrates, and deploys critical technologies emerging from research and development; and an 

analysis element that helps determine the performance and cost targets that technologies must meet to 

achieve goals of the HFCIT Program, as well as specific project objectives determined by peer review. 

• DOE’s HFCIT Program is carried out by national laboratories, universities, and the private sector, 

including cost-shared industry-led efforts, and CRADA collaborations between industry and the labs. 

Recent Progress 

• Hydrogen refueling equipment (liquid delivered to the facility) – to provide hydrogen to the small fleet of 

hydrogen fuel cell vehicles that are currently being tested in California – has been installed by the 

California Fuel Cell Partnership (Sacramento, California). 

• Three Power Park facilities that generate power from fuel cells and engines and hydrogen fuel for vehicles 

have been built and are being tested. Natural gas, biomass, wind, and solar energy are being used to 

generate the hydrogen fuel for both stationary power and for vehicles. 

• An Energy Station that coproduces hydrogen fuel from natural gas for both stationary and vehicles 

applications has been demonstrated. 

• Four awards have been made to major automobile and energy company teams to demonstrate up to 120 

vehicles and 28 stations that will validate program targets under real-world operating conditions.

Commercialization and Deployment Activities 

• Major industrial companies are pursuing R&D in fuel cells and hydrogen reformation technologies with a 

mid-term (5-10 years) time frame to deploy these technologies for both stationary and vehicular 

applications. These companies include ExxonMobil, Shell, Chevron Corporation, BP, General Motors, 

Ford, Daimler-Chrysler, Hyundai, Toyota, Honda, Nissan, BMW, United Technology Corporation Fuel 

Cells, Ballard, Air Products, and Praxair. 

• The National Vision of America’s Transition to a Hydrogen Economy, completed in November 2002, 

outlines a vision for America’s energy future – a more secure nation powered by clean, abundant hydrogen. 

This document was used as the foundation for formulating the elements of the National Hydrogen Energy

Roadmap. 

• The Fuel Cell Report to Congress, completed in February 2003, was a request from Congress that DOE 

report (within 12 months) to the House and Senate Committees on Appropriations, on the technical and 

economic barriers to the use of fuel cells in transportation, portable power, stationary, and distributed 

power generation applications. 

• In November 2002, the U.S. Department of Energy issued its National Hydrogen Energy Roadmap. The 

purpose of the roadmap was to identify the activities required to realize hydrogen’s potential to address 

U.S. energy security, diversity, and environmental needs. 

• The DOE Office of Energy Efficiency and Renewable Energy (EERE) – with support from the DOE 

Offices of Fossil Energy; Science; and Nuclear Energy, Science, and Technology – completed a Hydrogen 

Posture Plan in response to the President’s Hydrogen Fuel Initiative. This document outlines the activities, 

milestones, and deliverables that the Department plans to pursue to support America’s shift to a hydrogenbased energy system. 

• The DOE Hydrogen, Fuel Cells, and Infrastructure Technologies Program completed a Multiyear Research, 

Development, and Demonstration (RD&D) Plan in February 2005, detailing the goals, objectives, technical

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August 2005 – Page 2.2-5
targets, tasks, and schedule for EERE’s contribution to the DOE Hydrogen Program.

• The DOE Office of Fossil Energy (in June 2003) completed the FE Hydrogen Program Plan, focusing on

the research, development, and demonstration activities that are required to develop advanced hydrogen 

production, storage, and delivery technologies from fossil fuels. 

• The Basic Research Needs for the Hydrogen Economy, completed by the DOE Office of Basic Energy

Sciences in 2003, outlines the findings from the Basic Energy Sciences Workshop on Hydrogen 

Production, Storage, and Use. 

• The DOE Nuclear Energy, Science, and Technology Program completed the Nuclear Hydrogen R&D Plan 

in March 2004 to identify the candidate advanced hydrogen production technologies most suitable for 

nuclear energy, assess their viability, and prioritize the needed R&D to enable the demonstration of nuclear 

hydrogen production. The DOE Nuclear Energy, Science, and Technology Program also completed the 

Nuclear Hydrogen Initiative Ten-Year Program Plan in March 2005, identifying objectives and priorities to 

provide programmatic direction within the U.S. Department of Energy (DOE) and among the program

participants or collaborators, including national laboratories, industry, universities, and international 

participants. 

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2.2.3 HYDROGEN PRODUCTION AND DISTRIBUTION USING ELECTRICITY AND 

FOSSIL/ALTERNATIVE ENERGY

Technology Description 

Similar to electricity, hydrogen can be produced from many sources, including fossil fuels, renewable 

resources, and nuclear energy. Today, industrial hydrogen is produced primarily from natural gas using widely

known commercial thermal processes. In the future, we can adapt current technologies through advanced 

development to produce hydrogen with significantly reduced overall CO2 emissions, through carbon capture 

and sequestration – and by using renewable and nuclear electricity to produce hydrogen with no productionside CO2 emissions. 

System Concepts and Representative Technologies

• Natural gas can be delivered to refueling stations using existing pipelines and re-formed into hydrogen onsite. The infrastructure costs for small-scale, distributed production would be much lower than that required 

to pipe or truck mass-produced hydrogen from long distances. By making hydrogen from natural gas, we 

can also take advantage of existing natural gas infrastructure such as storage cylinders, pipelines, and 

compressors. 

• Hydrogen made via electrolysis from nuclear or renewable power can be used as a sustainable 

transportation fuel or stored to meet peak-power demand. Hydrogen as a storage medium enables 

intermittent renewable power systems to provide reliable power, even when the wind is not blowing or the 

sun is not shining. 

• Hydrogen produced from fossil fuels (followed by sequestration of the carbon) can enable the continued

use of fossil fuels in a clean manner during the transition to the ultimate carbon-free hydrogen energy

system. 

• Biomass can be used to produce hydrogen, electricity, and other value-added coproducts such as activated 

carbon, fuel additives, and adhesives, when it is thermally treated under relatively mild conditions. This is 

part of the biorefinery concept, wherein fuels, power, and products are produced from biomass resources in

an integrated process. 

• Hydrogen separation- and purification-process improvements offer cost-reduction and efficiency

improvement opportunities for current fossil-based systems. 

• An ultimate hydrogen economy vision includes hydrogen production from several processes, including 

high-temperature thermochemical water splitting cycles, direct photoelectrochemical semiconductor-based 

systems, and biological systems. 

• Transport and distribution concepts and technologies include evaluation of existing natural gas pipelines 

for use to transport hydrogen and natural gas mixtures or pure hydrogen, development of new pipeline 

materials to reduce costs and resolve hydrogen embrittlement issues, development of more reliable and 

lower-cost hydrogen-compression technologies, development of more energy-efficient and lower-cost 

hydrogen liquefaction technology,and the evaluation of novel solid or liquid carriers for hydrogen delivery.

Technology Status/Applications

• Nearly half of the worldwide production of hydrogen is via large-scale steam reforming of natural gas (a 

relatively low-carbon fuel/feedstock). In the United States, almost all of the hydrogen used as a chemical 

(i.e., for petroleum refining and upgrading, ammonia production) is produced from natural gas. Today, we 

produce and utilize 9 million metric tons of hydrogen annually in the United States. Although 

comparatively little hydrogen is currently used as fuel or as an energy carrier, there are emerging 

technologies such as fuel cells that will drive the future consumption of hydrogen into the transportation 

and electric-generation sectors. 

• Hydrogen production from conventional fossil-fuel feedstocks is commercial (on a large scale), but results 

in significant CO2 emissions. 

• Current commercial electrolyzers are 60%-70% efficient, but the cost of hydrogen is strongly dependent on

the cost of electricity. 

• Biomass feedstocks (such as agricultural and forest residues, switchgrass and willow trees, and municipal 

waste) are being evaluated and tested for dedicated hydrogen production and multiproduct biorefineries. 

U.S. Climate Change Technology Program – Technology Options for the Near and Long Term

August 2005 – Page 2.2-7
Current Research, Development, and Demonstration 

• Today, hydrogen is transported by cryogenic liquid truck 

and high-pressure tube trailers at a very high cost. Some is 

transported through a very limited hydrogen pipeline 

infrastructure. Research on lower-cost hydrogen distribution 

technologies is just now being initiated. 

RD&D Goals

• By 2006: (1) completion of research of small-scale steam

methane reformers with a projected cost of $3.00/kg 

hydrogen at the pump; (2) development of alternative 

reactors, including auto-thermal reactors; and (3) evaluation 

of whether renewable energy integrated hydrogen production 

by water electrolysis can achieve 64% net energy efficiency at 

a projected cost of $5.50/kg, delivered at 5,000 psi. 

• By 2010: At the pilot-plant scale, demonstrate (1) membrane separation and reactive membrane separation 

technology for hydrogen production from coal, and (2) distributed hydrogen production from natural gas 

with a projected cost of $2.50/kg hydrogen at the pump. 

• By 2015: At the laboratory-bench scale, demonstrate (1) a photo-electrochemical water-splitting system

and (2) a biological system for water-splitting (or other substrates) that both show potential to achieve longterm costs that are competitive with conventional fuels and reduce the cost of hydrogen distribution to

$1/kg. 

RD&D Challenges

• Key challenges to commercializing small-scale distributed production technology are: (1) reducing the 

capital equipment costs; (2) reducing the cost of operating and maintaining these systems; and (3) using 

components that can withstand wide temperature ranges under which these systems operate. 

• Electrolyzers operating at higher temperatures could provide more cost-effective hydrogen (higher 

efficiency/reduced electricity demand). Integration with intermittent renewable resources requires 

development of control strategies and/or design modifications. 

• Improved heat and process integration as well as improved catalyst and membrane technology is needed to 

reduce the cost and improve the energy efficiency for the production of hydrogen from biomass. 

• Hydrogen production via chemical cycles using high-temperature heat from nuclear power plants or solar 

collection facilities will need to be developed and then demonstrated. 

• Photoconversion R&D efforts – including photoelectrochemical and photobiological processes – are 

presently in the exploratory research stage. Biological production of hydrogen from other substrates is also 

in the exploratory research stage. To continue advancing these technologies, research must be supported.

• Pipeline development to reduce pipeline capital and installation costs while resolving hydrogen 

embrittlement issues.

RD&D Activities

• The overall strategy of the HFCIT Program is to conduct a comprehensive and balanced program that 

includes mid- and long-term research and development of hydrogen production, storage, and utilization 

technologies; integrated systems and technology validation using close collaboration with industry that 

develops, demonstrates, and deploys critical technologies emerging from research and development; and an 

analysis element that helps determine the performance and cost targets that technologies must meet to 

achieve goals of the HFCIT Program – as well as specific project objectives determined by peer review. 

• DOE’s HFCIT Program is carried out by national laboratories, universities, and the private sector, 

including cost-shared industry-led efforts, and CRADA collaborations between industry and the labs. 

Recent Progress 

• Air Products and Chemicals Inc. achieved a three times reduction in hydrogen purification cost compared 

with commercially available units 

Hydrogen production by photovoltaic 

hydrolysis.

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August 2005 – Page 2.2-8
• GE Global Research completed R&D for a highly efficient autothermal cyclic reformer for integration into 

the hydrogen generation system. 

• Gas Technology Institute (GTI) developed a second-generation fuel processor and a hydrogen filling 

station with a fast-fill dispensing system.

• These three efforts indicate that the technology is approaching $3/gge for dispensed hydrogen from natural 

gas (690 kg/day, >100 units annually, $4/MMBTU NG, 90% utilization). 

• An autothermal reformer was installed and operated at a transit agency in California to generate hydrogen

for buses and other vehicles. Also at this facility, a PV-electrolysis system is operated to provide renewable 

hydrogen to the same vehicles. 

• Increased photobiological efficiency of absorbed sunlight energy to ~15% (5% in 2003), found the first 

designer proton-channel gene, and designed the DNA sequence for the necessary proton channel to 

increase system efficiency

• Achieved 1,000 hours durability (100 hour in 2003) with new gallium nitride material for 

photoelectrochemical hydrogen production 

• Oak Ridge National Laboratory (ORNL) developed a new proton transport membrane that – when used in a 

less capital intensive, single-step reactor – could cost about a quarter less than conventional hydrogenpurification technologies. 

• Air Products and Chemicals Inc. fabricated a commercial-size ceramic membrane and operated a pilot scale 

prototype at 24 MSCFD of hydrogen. 

• The National Renewable Energy Laboratory (NREL) developed a new catalyst for biomass gasification 

with reduced coking and improved attrition characteristics. 

• More than 150 potential thermochemical cycles have been identified and have been screened for energy

efficiency and practicality for use with solar concentrators to produce hydrogen from water and sunlight. 

Four families of cycles have been selected and are being researched. 

Commercialization and Deployment Activities 

• In an industry-university-national lab partnership, agricultural residues are being used to produce hydrogen 

and valuable coproducts. Peanut shells represent both a waste-disposal issue and a valuable resource. 

Pyrolysis of the densified shells results in a valuable vapor stream that can be used to produce chemicals 

and hydrogen, and in a solid stream that is used to make activated carbon. This concept is currently being 

tested in a pilot plant, in preparation for operation at an industrial site in Georgia. 

• An industry-led project is installing a small-scale steam methane reformer to provide hydrogen for vehicles 

in the Las Vegas, Nevada, area. 

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2.2.4 HYDROGEN STORAGE

Technology Description 

Unlike electricity, hydrogen can be stored for long periods of 

time without significant losses. Today, hydrogen is stored as 

a cryogenic liquid or compressed gas, and transported by

cryogenic liquid or high-pressure trucks; and, to a limited 

extent, by gaseous pipelines. In the future, it could be stored 

and possibly transported in chemical and metal hydrides, 

carbon nanostructured materials, and high surface area 

adsorbents. In such forms, hydrogen would be more 

amenable to safe and efficient distribution and storage. In the 

meantime, current technologies can be adapted to store and 

distribute hydrogen to the emerging transportation and 

stationary markets for hydrogen. 

System Concepts and Representative Technologies

• There are four broad hydrogen storage approaches 

currently under development: (1) composite pressure 

vessels, which will contain the hydrogen as a 

compressed gas or cryogenic vapor; (2) physical 

absorption on high-surface-area 

lightweight carbon structures; (3) 

reversible metal hydrides; and 

(4) chemical hydrides. Improving

hydrogen compression and/or 

liquefaction equipment – as well as 

evaluating the compatibility of the 

existing natural gas pipeline 

infrastructure for hydrogen distribution – 

are also planned. 

• Materials-based approaches such as 

solid-state materials or liquids may offer 

increased safety for onboard vehicular 

storage of hydrogen, because tank 

punctures or ruptures would not result in

large energy releases. These approaches 

also require less volume than pressurized 

or liquid systems. Stationary applications

would also benefit from the successful development of such systems. 

Technology Status/Applications

• Most prototype vehicles store hydrogen in composite tanks at high pressures (5,000 or 10,000 psi), while 

some store liquid hydrogen at 20 K. There are limited demonstrations of vehicles with metal hydrides and 

chemical hydrides, such as sodium borohydride. Metal hydrides are used in limited stationary applications 

where weight is not a critical factor, and where waste heat is available at the appropriate temperature for 

hydrogen release. 

• Current R&D efforts are focused on improving performance (i.e., weight, volume, charging/discharging 

rates, cycle life, safety, etc.) and lowering cost. 

• Particularly notable are recent advances in storage energy densities, primarily focused on mobile 

applications. The composite tank development is a prime example of a successful technology partnership 

among the national labs, DOE, and industry.

• Industrial investment in chemical hydride development has recently been initiated 

High-pressure, all-composite gaseous hydrogen storage cylinders 

encourage commercialization of hydrogen gas-powered vehicles. 

Carbon nanotube structure and micrographs.

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August 2005 – Page 2.2-10
• Continued improvements are still required to meet perceived customer demands in vehicular applications, 

in particular with respect to convenience, safety, and cost.

Current Research, Development, and Demonstration 

RD&D Goals

• By 2010, develop and verify hydrogen storage systems with 6 weight-percent, 1,500 watt-hrs/liter energy

density, and at a cost of $4/kWh of stored energy. 

• By 2015, develop and verify hydrogen storage systems with 9 weight-percent, 2,700 watt-hrs/liter energy

density, and a cost of $2/kWh of stored energy – and develop the associated technology. 

RD&D Challenges

• Onboard hydrogen storage for transportation applications requires increased storage density, so that the 

volume and weight of storage systems can be reduced while providing range equal to that of a 

conventionally fueled vehicle, without compromising vehicle weight and performance. Technologies that 

meet performance (capacity, cycle life, charging/discharging kinetics, efficiency, etc.), safety and cost are 

required. 

• Fundamental understanding of chemical and metal hydrides and carbon nanostructured materials as 

hydrogen storage media is needed to enable the efficient and timely development of storage systems that 

are inherently safe and more efficient and convenient than current systems. 

• Research and development of advanced materials-based hydrogen storage systems – including chemical 

hydrides, metal hydrides, such as amides and complex metal hydrides, and carbon materials – needs to be 

broadened, with deployment of the resultant systems in prototype vehicles and/or at user sites. 

• Thermal management, particularly for metal hydride systems, is critical to meet required refueling times. 

Efficiency and energy requirements to release hydrogen from storage systems must also be addressed. 

• Production processes for materials-based technologies need to be developed and scaled-up with industry.

• Off-board regeneration efficiency for chemical hydrogen storage needs to be improved and life-cycle 

energy and environmental impact needs to be assessed. 

• For the interim approach of physical storage, low-cost tanks that meet safety and performance requirements 

for high-pressure or cryocompressed storage – as well as improved hydrogen compressors – are needed. 

• Improved liquefaction equipment that uses less energy to liquefy hydrogen compared to conventional 

processes (where 30%-35% of the energy contained in the hydrogen is required) could provide additional 

storage options for stationary applications and more energy-efficient and lower-cost transport of hydrogen 

by cryogenic liquid trucks.

• New hydrogen compression technology to improve reliability and reduce cost. 

RD&D Activities 

• The overall strategy of DOE’s Hydrogen Program is to conduct a comprehensive and balanced program

that includes mid- and long-term research and development of hydrogen production, storage, and utilization 

technologies; integrated systems and technology validation with close industry collaboration that develops, 

demonstrates, and deploys critical technologies emerging from research and development; and an analysis 

element that helps determine the performance and cost targets that technologies must meet to achieve the 

overall goals of the Hydrogen Program, as well as the specific project objectives determined by peer 

review. 

• RD&D for DOE’s Hydrogen Program is carried out by national laboratories, universities, and the private 

sector, including CRADA collaborations between industry and labs, and cost-shared industry-led efforts. 

Recent Progress 

• “Centers of Excellence” were established in FY 2005 with multiple Federal laboratory, industry, and 

university partners, focusing collaborative research in the three key areas of metal hydrides, chemical 

hydrogen storage, and carbon-based materials. 

• High-pressure, composite storage tanks have been developed through the combined efforts of industry,

national labs, and universities. Building on DOE-funded industry research, these tanks have been tested and 

certified, and are now being used in prototype hydrogen vehicles. 

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August 2005 – Page 2.2-11
• A prototype complex metal hydride system for 1 kg of hydrogen was developed using sodium alanate 

(NaAlH4) and provides a basis to investigate critical issues such as performance and thermal management. 

Sodium borohydride (NaBH4) was demonstrated in a prototype vehicle, and efforts are underway to 

investigate regeneration efficiency of the spent fuel. 

• A novel thermal hydrogen compressor is being developed in an industry-led project. This compressor 

operates in conjunction with advanced hydrogen production technologies and improves the efficiency and 

economics of the compression and hydrogen utilization process. The thermal compressor is an absorptionbased system that uses the properties of reversible metal hydride alloys to silently and 

cleanly compress hydrogen; hydrogen is absorbed into an alloy bed at ambient temperature; and, 

subsequently, is released at elevated pressure when the bed is heated with hot water. Compression energy

can be supplied by waste heat or solar hot water. 

Commercialization and Deployment Activities 

• High-pressure tanks (up to 10,000 psi) have been demonstrated in prototype vehicles, and more than 1,500 

have been built and tested. 

• Through a national laboratory and industry effort, a prototype cryocompressed tank was constructed and is 

being tested onboard a pickup. 

• An industry-led project is developing metal-hydride storage containers for use on scooters, wheelchairs, 

and other personal mobility products. 

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2.2.5 HYDROGEN USE 

Technology Description 

Almost all of the hydrogen produced in the United States each year (about 9 million tons) is currently used as 

an industrial feedstock, primarily in the fertilizer and petroleum-refining industries. During the next 20-30 

years, solutions for energy security and environmental concerns may be based on development of domestic 

hydrogen-based energy systems for vehicle and electric power applications. Hydrogen’s use as an energy

carrier is gaining worldwide interest with development of efficient, clean fuel cell systems that could 

potentially replace the internal combustion engine in vehicles and provide power in stationary and portable 

power applications. If pure hydrogen is used as a fuel, fuel cells emit only heat and water as byproducts. 

Hydrogen can also be used as a cleaner-burning fuel in 

internal combustion engines (after slight modifications) and 

in gas turbines or turbine/fuel cell hybrid systems to 

provide electric power. 

A fuel cell is a device that uses hydrogen (or a hydrogenrich fuel) and oxygen to create an electric current via an 

electrochemical reaction. This process is inherently much 

more efficient than combustion processes, which lose a 

significant amount of the embodied energy in the fuel to 

heat. A single fuel cell consists of an electrolyte and two 

catalyst-coated electrodes (a porous anode and cathode) 

and produces enough electricity for only the smallest 

applications. To provide the power needed for larger 

applications – such as powering a vehicle – individual fuel cells are 

combined in series into a fuel cell stack. A typical fuel cell stack 

may consist of hundreds of fuel cells. The fuel cell stack is the 

“heart” of the energy system, which also includes compressor 

systems, current converters, thermal and water management systems, 

some stationary applications, and fuel-processor systems. 

There are several types of fuel cells currently under development, 

classified primarily by the kind of electrolyte they employ. Each has 

its own advantages, limitations, and potential applications. This 

technology brief will focus on the fuel cells most suitable for transportation and distributed power generation 

applications – the polymer electrolyte membrane (PEM) fuel cell system. The PEM fuel cell is a lowtemperature fuel cell that offers high-power density, low weight and volume, and rapid-start capabilities. It 

requires a noble-metal catalyst (e.g., platinum) and operates on pure hydrogen. Other types of fuel cells, which 

are generally more suitable for larger power facilities (e.g., molten carbonate and solid oxide) are covered 

elsewhere in this report (see sections 2.1.1 and 2.1.3). Hydrogen’s use in gas turbines and internal combustion 

engines is also covered separately in this report (see sections 2.1.2 and 1.1.1). 

System Concepts and Representative Technologies

• Due to their fast start-up time, low sensitivity to orientation, and favorable power-to-weight ratio, polymer 

electrolyte membrane (PEM) fuel cells are the current focus for use in light-duty vehicles. Their ability to 

cycle on and off, provide higher durability due to low-temperature operations, and offer a relatively small 

footprint also makes them suitable for distributed power applications. 

• PEM fuel cell vehicles with electric power trains operating on pure hydrogen supplied to onboard storage 

systems. These hydrogen vehicles are fueled at distributed refueling stations. 

• PEM fuel cell systems for distributed stationary power applications, including backup power units, grid

management, power for remote locations, stand-alone power plants for cities or towns, distributed power 

generation for buildings and industrial facilities, and combined heat and power generation. 

• For fuel cells and fuel cell stacks: membrane electrode assemblies and high-temperature membranes, nonor low-platinum catalysts, and bipolar plates. 

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August 2005 – Page 2.2-13
• Compressor/expander technologies to enable pressurized operation of fuel cells 

• Thermal- and water-management technologies to recover and utilize waste heat and water 

• Physical and chemical sensors to detect hydrogen leaks and monitor hydrogen purity

• Fuel-flexible fuel processors for stationary applications. 

Technology Status/Applications

• Industrial participation in PEM system development is expanding, with all major automobile manufactures 

and several fuel cell-specific companies investing in development and demonstration activities for both 

vehicles and power generation. 

• Current PEM fuel cell systems do not offer the cost or performance required by end users. Researchers 

and technology developers are working to overcome a variety of technical barriers to make these systems 

commercially viable. 

• Residential PEM fuel cell units, typically 5-7kW in size, are being developed and demonstrated by several 

companies. PEM fuel cell-powered buses, taxis, and passenger vehicles are also being demonstrated in 

limited numbers around the world. For the most part, these demonstration units are essentially custombuilt by the manufacturers. Facilities to manufacture these systems in large quantities are still in 

development. 

Current Research, Development, and Demonstration 

RD&D Goals

• By 2010, develop a 60% peak-efficient, durable, PEM fuel cell power system for transportation at a cost 

of $45/kW, and a distributed generation (50-250 kW) PEM fuel cell system operating on natural gas or 

propane that achieves 40% electrical efficiency and 40,000 hours durability at $400-750/kW. 

• By 2015, reduce the cost of PEM fuel cell power systems to $30/kW for transportation systems. 

RD&D Challenges

Cost and durability are the major barriers to fuel cell commercialization. For transportation applications, which 

have the most stringent cost and durability requirements, fuel cell costs need to be decreased by a factor of 5,l 

and durability needs to be increased by a factor of 3 to be competitive with current vehicle technologies. R&D 

challenges include: 

• Durable electrodes with low precious-metal content 

• High-volume fabrication processes for membrane electrode 

assemblies and bipolar plates 

• Improved air electrode performance to raise cell voltage, increase fuel 

cell stack efficiency, and reduce number of cells per stack 

• Membranes that operate at higher temperatures (e.g., 120oC for 

transportation and 150oC for distributed power) and low humidity to

facilitate heat rejection and increase carbon monoxide tolerance of the 

anode 

• Compact, lightweight, efficient balance-of-plant components, such as 

air compressors, humidifiers, heat exchangers, and sensors 

• Durability studies and accelerated aging test methods 

• Systems analysis and analytical capability

RD&D Activities

• The overall strategy of the HFCIT Program is to conduct a comprehensive and balanced program that 

includes mid- and long-term research and development of hydrogen production, storage, and utilization 

technologies; integrated systems and technology validation using close collaboration with industry that 

develops, demonstrates, and deploys critical technologies emerging from research and development; and 

an analysis element that helps determine the performance and cost targets that technologies must meet to 

achieve goals of the HFCIT Program, as well as specific project objectives determined by peer review. 

• DOE’s HFCIT Program is carried out by national laboratories, universities, and the private sector, 

including cost-shared industry-led efforts; and CRADA collaborations between industry and the labs. 

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August 2005 – Page 2.2-14
Recent Progress 

• Reduced the high-volume cost of automotive fuel cells from $275/kW (2002) to $200/kW (2004) using 

innovative processes developed by national laboratories and fuel cell developers for depositing platinum

catalyst 

• Achieved 54% efficiency in a stationary fuel cell stack assembly – on target to meet overall system

electrical efficiency go/no-go target of 40% in 2010 

• 5 kW stationary fuel cell system stack assembly efficiency is on track to meet overall system efficiency

target of 32% in FY05 

• Achieved long-term, 8X mass specific activity improvement of low Pt-content (Pt-Pd BNL) cathode 

catalysts 

• Demonstrated a bipolar plate manufacturing process (at 20 parts per hour) that produces plates with target

properties and acceptable performance

Commercialization and Deployment Activities 

• Major industrial companies are pursuing R&D in PEM fuel cells with a mid-term (5-10 years) time frame 

for deployment of these technologies for both stationary and vehicular applications. These companies 

include General Motors, Ford, Daimler-Chrysler, Toyota, Honda, United Technology Corporation Fuel 

Cells, Xcellsis, and Ballard. 

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2.2.6 HYDROGEN INFRASTRUCTURE SAFETY 

Technology Description 

Similar to other commodities used as fuels in today’s energy and transportation systems, hydrogen is classified 

as a hazardous material. Direct transport and storage of hydrogen can be achieved via pipelines, compressed 

gas storage vessels/cylinders, cryogenic vessels, as a hydride, or contained in a nanostructured material. Other 

commodities, including natural gas and methanol, also can be used as hydrogen carriers that are later 

reformed. Extensive hydrogen infrastructure is already in place to meet the transport needs of the 

petrochemical, fertilizer, electronics, and food industries. The approach to safely expand the hydrogen 

infrastructure is expected to build on current delivery approaches. Federal agencies are working to test and 

refine existing hydrogen technologies in compliance with Federal standards while developing new 

technologies that can improve hydrogen distribution, as well as reduce or eliminate leaks or other risks. Codes 

and standards must be adopted that support the safe, commercialization and integration of these technologies

into the existing transportation and energy infrastructures of the United States. 

System Concepts and Representative Technologies

• There are currently three primary methods of hydrogen transport and storage: pipeline, vehicular 

commodity transport via tube-trailer/pressure vessels and cryogenic vessels, and stationary/fixed storage 

and fueling infrastructure. 

• Within the United States, each of the three primary methods of hydrogen transport and storage is governed 

by a different set of regulations established by The U.S. Department of Transportation (DOT)/Pipeline and 

Hazardous Materials Safety Administration (PHMSA) and local and state fire marshals. 

• The current system for transporting natural gas and hydrogen provides a reasonable foundation and model 

for expanding the hydrogen infrastructure. However, the current paradigm, with the exception of motor 

fuels and natural gas, is for hazardous materials (HAZMAT) transport to divert or restrict the transport of 

these materials into urban areas and through tunnels and other vulnerable transportation infrastructure. 

• Current technologies include: small diameter hydrogen pipelines; DOT-approved pressure vessels and 

cylinders; DOT-approved cryogenic vessels; and, for stationary applications, pressure vessels complying 

with the American Society of Mechanical Engineers (ASME) boiler and pressure vessel code.

• New technologies developed or being proposed include very high-pressure (13,000-15,000 psi), allcomposite pressure vessels meeting both DOT and ASME requirements; advanced pipeline materials that 

reduce and/or catalyze permeated or leaked hydrogen; hydrides; below-ground cryogenic vessels; and 

nanostructured materials. 

• These new technologies may be additions to or replace current transportation infrastructure, or may be 

integrated into the existing infrastructure. 

Technology Status/Applications

• Hydrogen has been transported and stored within the United States safely, securely, and reliably, for 

several decades using the current conventional (under 4,500 psi) technologies. 

• New technologies to increase the efficiency and reduce the cost of hydrogen transport, such as advanced 

carbon composite cylinders and storage, are being adapted. New technologies are being reviewed and 

evaluated within the framework of the appropriate and necessary Federal regulations and other codes and 

standards. 

• Other technologies, such as carbon nanotubes and advanced pipeline materials, are still in an early

research and development (R&D) phase and are not ready for commercialization. 

• The DOT/ Pipeline and Hazardous Materials Safety Administration (PHMSA) is currently reviewing 

applications for exemption for several technologies, including hydrides and high-pressure composite 

cylinder mobile fuelers, and is working with industry and the Department of Energy (DOE) to help guide 

safe and successful development and deployment of these technologies.

Current Research, Development, and Demonstration 

RD&D Goals

• Work within the Federal government to develop, test, and approve new hydrogen storage and monitoring 

technologies. 

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August 2005 – Page 2.2-16
• Conduct a thorough and comprehensive transportation and storage hydrogen infrastructure assessment to 

address capacity, safety, security, reliability, operations, and environmental compliance evaluating 

scenarios for near-term and long-term development and implementation of hydrogen infrastructure 

including a risk analysis for each technology and application. 

• Investigate future systems that offer improved safety, security, reliability, and functionality vs. the current 

transportation and storage systems. 

RD&D Challenges

• Gain a fundamental understanding of fatigue and failure modes of hydrogen materials including advanced 

composites and other storage media. 

• Establish effective monitoring, inspection, and recertification technologies and procedures for hydrogen 

transport and storage. 

• Adapt aging infrastructure to accommodate new demands. 

• Educate and train operators, regulators, and users effectively.

RD&D Activities

• The overall strategy of the HFCIT Program is to conduct a comprehensive and balanced program that 

includes mid- and long-term research and development of hydrogen production, storage, and utilization 

technologies; integrated systems and technology validation using close collaboration with industry that 

develops, demonstrates, and deploys critical technologies emerging from research and development; and 

an analysis element that helps determine the performance and cost targets that technologies must meet to 

achieve goals of the HFCIT Program, as well as specific project objectives determined by peer review. 

• DOE’s HFCIT Program is carried out by national laboratories, universities, and the private sector, 

including cost-shared industry-led efforts; d CRADA collaborations between industry and the labs.

 Recent Progress

• To address the key barrier of perceived safety, the DOE initiated a successful effort to have the 

International Code Council (ICC) form a special committee to develop provisions specific to hydrogen for 

incorporation into its model building, fire, and fuel gas codes, which the ICC will publish for adoption by 

local jurisdictions throughout the United States. The ICC model codes will incorporate standards for 

hydrogen components and equipment being developed by leading organizations, such as the Society of 

Automotive Engineers and the International Standards Organization. 

• Six chapters of a planned 15 chapters on hydrogen materials have been published on-line detailing 

properties of hydrogen materials and embrittlement. 

• Through a consensus workshop process, a path forward has been established to integrate risk assessment 

analysis into the codes and standards process. 

• Progress is being made in the development and revision of consensus codes and standards. Numerous draft 

standards are currently under review and adoption process. Excellent progress has been made in 

establishing an international hydrogen fuel-quality specification.

Commercialization and Deployment Activities 

• Through its regulatory authority, DOT supports deployment and demonstration of pipelines and vehicles. 

• The Operating Administrations of DOT, specifically the Pipeline and Hazardous Materials Safety

Administration (PHMSA) and the National Highway Traffic Safety Administration (NHTSA), are actively

engaged in domestic and international consensus codes and standards development.

• DOT staff support DOE R&D activities and the activities and committees of the various consensus codesand standards-setting organizations.

• DOT staff continues to work with the National Association of State Fire Marshals to educate and train 

personnel and to promote safe handling and storage practices. 

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2.3 RENEWABLE ENERGY AND FUELS 

2.3.1 WIND ENERGY

Technology Description 

Wind turbine technology converts the kinetic energy

in wind to electricity. Grid-connected wind power 

reduces greenhouse gas emissions by displacing the 

need for natural gas and coal-fired generation. 

Village and off-grid applications are important for 

displacing diesel generation and for improving

quality of life, especially in developing countries. 

System Concepts 

• Most modern wind turbines operate using 

aerodynamic lift generated by airfoil-type

blades, yielding much higher efficiency than 

traditional windmills that relied on wind 

“pushing” the blades. Lifting forces spin the 

blades, driving a generator that produces electric 

power in proportion to wind speed. Turbines 

either rotate at constant speed and directly link 

to the grid, or at variable speed for better 

performance, using a power electronics system

for grid connection. Utility-scale turbines for 

wind plants range in size up to several megawatts, and smaller turbines (under 100 kilowatts) serve a range 

of distributed, remote, and stand-alone power applications.

Representative Technologies 

• The most common machine configuration is a three-bladed wind turbine, which operates “upwind” of the 

tower, with the blades facing into the wind. To improve the cost-effectiveness of wind turbines, technology 

advances are being made for rotors and controls, drive trains, towers, manufacturing methods, site-tailored 

designs, and offshore and onshore foundations. 

Technology Status/Applications 

• In the United States, the wind energy capacity tripled from 1,600 MW in 1994 to more than 6,700 MW by

the end of 2004 – enough to serve more than 1.6 million households. 

• Current performance is characterized by levelized costs of 4-6¢/kWh (depending on resource quality and 

financing terms), capacity factors of 30%-50%, availability of 95-98%, total installed costs of 

approximately $800-$1,100/kW, and efficiencies of 65%-75% of theoretical (Betz limit) maximum.

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Current Research, Development, and Demonstration 

RD&D Goals

• By 2007: For distributed wind turbines under 100 kw, achieve a power production cost of 10-15¢/kWh in 

Class 3 winds. 

• By 2012: For larger systems greater than 100 kw, the goal is to achieve a power production cost of 3¢/kWh 

for onshore at sites with average wind speeds of 13 mph (wind Class 4), and 5¢/kWh at offshore sites with 

average wind speeds of 13 mph (wind Class 4). 

RD&D Challenges

• Developing wind technology that will be economically competitive at low (13 mph) wind-speed sites 

requires optimizing increasingly large turbine designs in a fatigue-driven environment with minimal or no 

component replacements, requiring improved knowledge of wind inflow, aerodynamics, structural 

dynamics and materials, and optimal control of turbines and wind farms. 

• Developing information and strategies to facilitate and optimize integration of wind power into electric 

grid systems.

• Developing offshore wind technology to take advantage of the immense wind resources in shallow and 

deep waters of U.S. coastal areas and the Great Lakes near large energy markets.

• Conducting analysis and R&D to explore the role of wind power in the production of hydrogen, in both 

large-scale and distributed systems. 

RD&D Activities 

• Core and university research: wind characteristics and forecasting, aerodynamics, structural dynamics and 

fatigue, and control systems for turbines and wind farms. 

• Turbine research: cost-shared design and testing of next-generation utility-grade technology for low windspeed sites, performance verification of onshore and offshore prototypes, development of advanced small 

turbines for distributed power applications, and component and system testing at the National Wind 

Technology Center (NWTC). 

• Cooperative research and testing: collection of wind turbine-performance data, power-systems integration, 

resource assessment, industry technical support, participation in international standards development, wind 

turbine-certification assistance, and regionally targeted outreach. 

Recent Progress 

• In 1989, the wind program set a goal of 5¢/kWh by 1995 and 4¢/kWh by 2000 for sites with average wind

speeds of 16 mph. The program and the wind industry met the goals as part of dramatic cost reductions 

from 25¢-50¢/kWh in the early 1980s to 4¢-6¢/kWh today

• Wind power is the world’s fastest-growing energy source. In the past decade, the global wind energy 

capacity has increased ten fold from 3,500 MW in 1994 to almost 50,000 MW by the end of 2004. During 

2004, nearly 8,000 MW of new capacity was added worldwide. 

• Domestic public interest in environmentally responsible electric generation technology is reflected by new 

state energy policies and in the success of “green marketing” of wind power throughout the country. 

• The National Wind Technology Center (operated by the National Renewable Energy Laboratory in 

Golden, Colorado) is recognized as a world-class center for wind energy R&D and has many facilities – 

such as blade structural test stands and a large gearbox test stand – not otherwise available to the domestic 

industry. 

Commercialization and Deployment Activities 

• Installed wind capacity in the United States expanded from 2,554 MW to 6,740 MW during the period of 

2000 to 2004.

• California has the greatest installed wind capacity, followed by Texas, Iowa, Minnesota, Oregon, 

Washington, Wyoming, New Mexico, Colorado, and Oklahoma. 

• Wind technology is competitive today in bulk power markets with support from the production tax credit – 

and in high-value niche applications or markets that recognize non-cost attributes. Its competitiveness is 

affected by policies regarding ancillary services and transmission and distribution regulations. Continued

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August 2005 – Page 2.3-2
cost reductions from low wind-speed technologies will increase the resource areas available for wind 

development by 20-fold and move wind generation five times closer to major load centers. 

• The principal markets for wind energy are substitution for new natural gas combined-cycle plants or 

displacement of fuel from existing plants, and replacement of coal-generated power plants. Emerging 

markets for wind energy include providing energy for water purification, irrigation, and hydrogen 

production.

• Utility restructuring is a critical challenge to 

increased deployment in the near term

because it emphasizes short-term, lowcapital-cost alternatives and lacks public 

policy to support deployment of sustainable 

technologies such as wind energy. 

• In the United States, the wind industry is

thinly capitalized, except for General Electric 

Wind Energy, which recently acquired wind 

technology and manufacturing assets in April 

2002. About six manufacturers and six to 10 

developers characterize the U.S. industry. 

• In Europe, there are about 10 turbine 

manufacturers and about 20 to 30 project 

developers. European manufacturers have 

established North American manufacturing 

facilities and are actively participating in the 

U.S. market. 

• Initial lower levels of wind deployment (up to 15%-20% of the total U.S. electric system capacity) are not 

expected to introduce significant grid reliability issues. Since the wind resource is variable, intensive use of 

this technology at larger penetrations may require modification to system operations or ancillary services. 

Transmission infrastructure upgrades and expansion will be required for large penetrations of onshore wind 

turbines. However, offshore resources are located close to major load centers. 

• Small wind turbines (100 kW and smaller) for distributed and residential grid-connected applications are 

being used to harness the Nation’s abundant wind resources and defer impacts to the long-distance 

transmission market. Key market drivers include state renewable portfolio standards, incentive programs, 

and demand for community-owned wind applications. 

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2.3.2 SOLAR PHOTOVOLTAIC POWER 

Technology Description 

Solar photovoltaic (PV) arrays use semiconductor devices called solar cells to convert sunlight to electricity 

without moving parts and without producing fuel wastes, air pollution, or greenhouse gases. Using solar PV for 

electricity – and eventually using solar PV to produce hydrogen for fuel cells for electric vehicles or by

producing hydrogen from water – will help reduce carbon dioxide emissions worldwide. 

System Concepts

• Flat-plate PV arrays use global sunlight; concentrators use direct sunlight. Modules are mounted on a 

stationary array or on single- or dual-axis sun trackers. Arrays can be ground-mounted or on all types of 

buildings and structures (e.g., see semi-transparent solar canopy, right). The DC output from PV can be 

conditioned into grid-quality AC electricity, or DC can be used to charge batteries or to split water to 

produce hydrogen (electrolysis of water). 

• PV systems are expected to be used in the United States for residential and commercial buildings, peak 

power shaving, and intermediate daytime load following. With energy storage, PV can provide 

dispatchable electricity and/or produce hydrogen. 

• Almost all locations in the United States and worldwide have enough sunlight for cost-effective PV. For 

example, U.S. sunlight in the contiguous states varies by only about 25% from an average in Kansas. Land 

area is not a problem for PV. Not only can PV be more easily sited in a distributed fashion than almost all 

alternatives (for example, on roofs or above parking lots), a PV-generating station 140 km by 140 km sited 

at a high solar insolation location in the United States (such as the desert Southwest) could generate all of 

the electricity needed in the country (2.5 × 106 GWh/year, assuming a system efficiency of 10% and an 

area packing factor of 50% to avoid self-shading). 

Representative Technologies and Status

• Wafers of single-crystal or polycrystalline silicon – best cells: 25% efficiency; commercial modules: 13%-

17%. Silicon modules dominate the PV market and currently cost about $2/Wp to manufacture. 

• Thin-film semiconductors (e.g., amorphous silicon, copper indium diselenide, cadmium telluride, and dyesensitized cells) – best cells: 12%-19%; commercial modules: 6%-11%. A new generation of thin-film PV 

modules is going through the high-risk transition to first-time and large-scale manufacturing. If successful, 

market share could increase rapidly.

• High-efficiency, single-crystal silicon and multijunction gallium-arsenide-alloy cells for concentrators – 

best cells: 25%-37% efficient; commercial modules: 15%-24%; prototype systems are being tested in high

solar areas in the southwest United States. 

• Grid-connected PV systems currently sell for about $6-$7/Wp (17¢-22¢/kWh), including support structures, 

power conditioning, and land. 

Semi-transparent PV canopy PV solar arrays for larger-scale electricity. PV panels on rooftop. 

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Current Research, Development, and Demonstration

RD&D Goals 

• Overall research goals include scaling up laboratory-sized PV cells to much larger sizes suitable for 

product markets; validation of new module technologies for outdoors use to achieve 30-year outdoor

warrantable lifetimes; and addressing of substantial technical issues associated with high-yield, first-time, 

and large-scale (greater than 100 MW/yr) manufacturing for advanced technologies. 

• The long-term cost goal for electricity from PV cells for residential PV applications is $0.06/kWh, 

compared to costs ranging from $0.18 to $0.23/kWh in 2004. 

• The interim cost goal is to reduce the 30-year user cost for PV electric energy to a range of $0.14 to 

$0.19/kWh by 2010. 

RD&D Challenges

• Improve fundamental understanding of materials, processes, and devices to provide a technology base for 

advanced PV options. 

• Improve and invent new low-cost processes and technologies; reduce module and balance-of-systems 

manufacturing costs. 

• Develop and validate new, lower-cost systems hardware and integrated applications. 

RD&D Activities

• Capabilities at national labs and university centers of excellence have been developed, both in expertise 

and unique facilities. Funding is split 50-50 between national labs and external subcontracts with 

universities and industry. Public/private R&D partnerships, including extensive national R&D teams, have 

been the favored approach. All subcontracts have been awarded via competitive solicitations to select the 

best and most committed research partners. 

• DOE and the National Center for Photovoltaics have worked with state regulatory agencies and influenced 

the direction of state programs. 

• The Department of Defense (DOD) has some funding through special programs in which PV has a role 

supplying power for military systems. 

• The National Aeronautics and Space Administration (NASA) has some research funds for PV. Though this 

effort has decreased during the past decade, advanced PV has become very important for space missions 

(e.g., the high-performance cells on the Sojourner probe on Mars). 

• Japan and Europe have significant funding for PV research. 

• States have individual subsidy and utility portfolio programs related to PV; for example, California has a 

buy-down program for residential and commercial PV systems. 

• U.S. PV businesses are marginally or not yet profitable and are unable to fund their own advanced research 

for low-cost PV. 

Recent Progress

• Because of public/private partnerships, such as the Thin-Film Partnership with its national research teams, 

U.S. PV technology leads the world in measurable results such as record efficiencies for cells and modules. 

Another partnership, the PV Advanced Manufacturing R&D program, has resulted in industry cost 

reductions of more than 60% and facilitated a sixteen-fold increase of manufacturing capacity during the 

past 12 years. 

• A new generation of potentially lower-cost technologies (thin films) is entering the marketplace. A 25-

megawatt amorphous silicon thin-film plant by United Solar is reaching full production in 2005. Two 

plants (First Solar and Shell Solar) using even newer thin films (cadmium telluride and copper indium

diselenide alloys) are in first-time manufacturing at the MW-scale. Thin-film PV has been a focus of the 

Federal R&D efforts of the past decade because it holds considerable promise for module cost reductions. 

• During the past two years, record sunlight-to-electricity conversion efficiencies for solar cells were set by

Federally funded universities, national labs, or industry in copper indium gallium diselenide (19%-efficient 

cells and 13%-efficient modules) and cadmium telluride (16%-efficient cells and 11%-efficient modules). 

Cell and module efficiencies for these technologies have increased more than 50% in the past decade. 

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August 2005 – Page 2.3-5
• A unique multijunction gallium-arsenide-alloy cell was spun off to the space power industry, leading to a 

record cell efficiency (35%) and an R&D 100 Award in 2001. This device configuration is expected to 

dominate future space power for commercial and military satellites. Recent champion cell efficiency has 

reached 37% under concentrated sunlight. DOE is interested in this technology (III-V multijunctions), as an 

insertion candidate for high efficiency terrestrial PV concentrator systems. 

Commercialization and Deployment Activities 

• Worldwide, approximately 1,200 MW of PV were sold in 2004, with systems valued at more than $7 

billion; total installed PV is more than 2 GW. The U.S. world market share fell to about 12% in 2004. 

• Worldwide, market growth for PV has averaged 25%/year for the past decade as a result of reduced prices 

and successful global marketing. Worldwide sales grew 36% in 2001, 44% in 2002, 33% in 2003, and 60% 

in 2004. 

• Hundreds of applications are cost effective for off-grid needs. However, the fastest growing segment of the 

market is grid-connected PV, such as roof-mounted arrays on homes and commercial buildings in the 

United States. California is subsidizing PV systems to reduce their dependence on natural gas, especially

for peak daytime loads which match PV output, such as air-conditioning. 

Market Context

• Electricity for remote locations, especially for billions of people worldwide who do not have electricity. 

• U.S. markets: retail electricity for residential and commercial buildings; distributed utility systems for grid 

support, peak-shaving, and other daytime uses. 

• Future electricity and hydrogen storage for dispatchable electricity, electric car-charging stations, and 

hydrogen production for portable fuel. 

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2.3.3 SOLAR HEATING AND LIGHTING

Technology Description 

Solar heating and lighting technologies being developed for buildings applications include solar water heating 

and hybrid solar lighting. 

System Concepts

• In solar heating systems, solar-thermal collectors convert solar energy into heat, usually for domestic hot 

water, pools, and space heating. 

• In solar lighting systems, sunlight is transmitted into the interior of buildings using glazed apertures, light 

pipes, and/or optical fibers. 

Representative Technologies

• Active solar heating systems use pumps and controls to circulate a heat-transfer fluid between the solar 

collector(s) and storage. System sizes can range from 1 to 100 kW. 

• Passive solar heating systems do not use pumps and controls but rather rely on natural circulation to 

transfer heat into storage. System sizes can range from 1 to 10 kW. 

• Transpired solar collectors heat ventilation air for industrial and commercial building applications. A 

transpired collector is a thin sheet of perforated metal that absorbs solar radiation and heats fresh air drawn 

through its perforations. 

• Hybrid solar lighting systems focus concentrated sunlight on optical fibers and, with a controller, combine 

natural daylight with conventional illumination, depending on sunlight availability. 

Technology Status/Applications

• Typical residential solar systems use glazed flat-plate collectors combined with storage tanks to provide 

40%-70% of residential water heating requirements. Typical systems generate hot water equivalent to 

supplying 2,500 kWh/year at a cost of about 8¢/kWh.

• Typical solar pool heating systems use unglazed polymer collectors to provide 50%-100% of residential 

pool heating requirements. Typical systems generate 1,600 therms or 46,000 kWh/year and have 25% of 

the market. 

Current Research, Development, and Demonstration 

RD&D Goals

• Near-term solar water-heating research goals include use of polymer materials and manufacturing 

enhancements to reduce the cost of solar water heating systems to 4.5¢/kWh from their current cost of 

8¢/kWh. 

• Near-term solar-lighting research goals include demonstrating the second generation of the lighting system, 

coupled with an enhanced control system – and determining the market potential of the technology. 

RD&D Challenges 

• Solar heating RD&D efforts are targeted to reduce manufacturing and installation costs, improve durability 

and lifetime, and provide advanced designs for system integration. One key R&D issue is durability.

Polymer materials in solar heating systems must survive harsh service environments that include exposure 

to elevated temperatures, moisture, and ultraviolet radiation. 

• Demonstration of hybrid lighting-system performance and reliability in the field are critical to the success 

of solar lighting. 

RD&D Activities 

• Key DOE program activities are targeted to demonstrate lower cost and improved reliability of components 

and systems, develop advanced systems and applications, and support the next commercial opportunities 

for these technologies. 

• DOE support of RD&D has been required because solar manufacturers are generally small businesses with 

limited resources and expertise. These manufacturers are constantly facing manufacturing and system

design issues that affect the reliability, lifetime systems costs, and overall cost effectiveness of their 

products, yet they do not have the resources to conduct reliability and cost-reduction R&D. DOE and its 

national laboratories, however, have extensive expertise and facilities that can be critical to the long-term

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success of these manufacturers. 

Recent Progress 

• More than 1,000 MW of solar buildings PV systems are operating successfully in the United States, 

generating more than 3 million MWh/year. 

• The energy costs of solar-thermal systems have been reduced through technology improvements by more 

than 50%, saving more than 5 million MWh/yr in U.S. primary energy consumption. 

Commercialization and Deployment Activities 

• About 1.2 million solar water-heating systems have been installed in the United States. However, due to 

relatively low energy prices, there are currently only approximately 8,000 installations per year. 

• Several hundred transpired solar collector systems have been installed, including installations for Ford 

Motor Company, General Motors, Federal Express, the U.S. Army, and the Bureau of Reclamation. 

Market Context

• Retrofit markets: There are 73 million existing single-family homes in the United States. A potential 

replacement market of 29 million solar water-heating systems is based on the assumption that only 40% of 

the homes have been built with suitable orientation and absence of shading needed for solar water-heating 

systems. 

• New construction markets: In 2000, 1.2 million new single-family homes were built in the United States. 

Assuming 70% of these homes could be sited to enable proper orientation of solar water-heating systems, 

new construction represents another 840,000 possible system installations each year. 

• Solar building technologies will reduce daytime peak electricity requirements.

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2.3.4 CONCENTRATING SOLAR POWER 

Technology Description 

Concentrating Solar Power (CSP) systems 

concentrate solar energy 50 to 5,000 times to 

produce high-temperature thermal energy, 

which is used to produce electricity for 

distributed or bulk generation process 

applications. 

System Concepts

• In CSP systems, highly reflective suntracking mirrors produce temperatures of 

400°C to 800°C in the working fluid of a 

receiver; this heat is used in conventional 

heat engines (steam or gas turbines or 

Stirling engines) to produce electricity at

solar-to-electric efficiencies for the system

of up to 30%.

• CSP technologies provide firm, 

nonintermittent electricity generation (peaking or intermediate load capacity) when coupled with storage. 

• Because solar-thermal technologies can yield extremely high temperatures, the technologies could some

day be used for direct conversion (rather than indirect conversion through electrochemical reactions) of 

natural gas or water into hydrogen for future hydrogen-based economies. 

Representative Technologies

• A parabolic trough system focuses solar energy on a linear oil-filled receiver to collect heat to generate 

steam to power a steam turbine. When the sun is not shining, steam can be generated with a fossil fuel to 

meet utility needs. Plant sizes can range from 1.0 to 100 MWe. 

• A power tower system uses many large heliostats to focus the solar energy onto a tower-mounted central 

receiver filled with a molten-salt working fluid that produces steam. The hot salt can be stored extremely

efficiently to allow power production to match utility demand, even when the sun is not shining. Plant size 

can range from 30 to 200 MWe. 

• A dish/engine system uses a dish-shaped reflector to power a small Stirling or Brayton engine/generator or 

a high-concentrator PV module mounted at the focus of the dish. Dishes are 2-25 kW in size and can be 

used individually or in small groups for distributed, remote, or village power; or in clusters (1-10 MWe) for 

utility-scale applications, including end-of-line support. They are easily hybridized with fossil fuel. 

Technology Status/Applications

• Nine parabolic trough plants, with a rated capacity of 354 MWe, have been operating in California since 

the 1980s. Trough system electricity costs of about 12¢-14¢/kWh have been demonstrated commercially. 

• Solar Two, a 10-MWe pilot power tower with three hours of storage, provided all the information needed 

to scale up to a 30-100 MW commercial plant, the first of which is now being planned in Spain. 

• A number of prototype dish/Stirling systems are currently operating in Nevada, Arizona, Colorado, and 

Spain. High levels of performance have been established; durability remains to be proven, although some

systems have operated for more than 10,000 hours. 

Current Research, Development, and Deployment

RD&D Goals

• The long-term goal is to achieve a power cost of between $0.035/kWh and $0.062/kWh, compared to the 

cost of between $0.12-$0.14/kWh in 2004. 

• The interim goal is to reduce the cost of large-scale CSP power plants in the Southwest United States, 

where solar conditions are most favorable, to $0.09-$0.11/kWh by 2010. 

RD&D Challenges

• RD&D efforts are targeted to improve performance and lifetime, reduce manufacturing costs with 

Luz Trough Power Plant 

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August 2005 – Page 2.3-9
improved designs, provide advanced designs for long-term competitiveness, and address barriers to market 

entry.

• Improved manufacturing technologies are needed to reduce the cost of key components, especially for 

first-plant applications where economies of scale are not yet available. 

• Demonstration of Stirling engine performance and reliability in the field are critical to the success of 

dish/engine systems. 

RD&D Activities

• Key DOE program activities are targeted to support the next commercial opportunities for these 

technologies, demonstrate improved performance and reliability of components and systems, reduce 

energy costs, and develop advanced systems and applications. 

• Several European countries and Israel have programs comparable in size to the United States. 

• DOE support of RD&D has been required because of the specialized technology development and the need 

for reducing costs and for reducing barriers to market penetration. The Federal CSP program provides 

expert technical support, as well as serving as a catalyst and facilitator for participation of utilities and 

manufacturers to assist in driving down system costs. 

Recent Progress 

• New commercial plants are being considered for California, Nevada, and Arizona. 

• The 10-MW Solar Two pilot power tower plant operated successfully near Barstow, California, leading to 

the first commercial plant being planned in Spain.

• Operations and maintenance costs have been reduced through technology improvements at the commercial 

parabolic trough plants in California by 40%, saving plant operators $50 million. 

Commercialization and Deployment Activities 

• Parabolic troughs have been commercialized and nine plants (354 MW total) have operated in California 

since the 1980s. 

• The state of Nevada announced plans to build a 50-MW parabolic trough plant near Boulder City. Nevada 

Power and Sierra Pacific Power will purchase the power to comply with the solar portion of Nevada’s

renewable portfolio standard. 

• Successful operation of Solar Two has provided the basis for a partnership to provide the first 30-100 MW 

power tower plant. 

• The World Bank’s Solar Initiative is pursuing CSP technologies for less-developed countries. The World 

Bank considers CSP to be a primary candidate for Global Environment Facility funding, which could total 

$1-$2 billion for projects during the next two years.

Market Context 

• There is currently 350 MW of CSP generation in the United States, all of it in Southern California's 

Mojave Desert. 

• Power purchase agreements have been signed for 150 MW of new CSP capacity (50 MW in Nevada and 

100 MW in Spain). The plants are anticipated to come on-line within the next two to three years. 

Significant domestic and international interest will likely result in additional projects. 

• According to a recent study commissioned by the Department of Energy, CSP technologies can achieve 

significantly lower costs (below 4¢/kWh) at modest production volumes. 

• Congress asked DOE to scope out what would be required to deploy 1,000MW of CSP in the Southwest 

United States. DOE is actively engaged with the western Governors to map a strategy to deploy 1-5 GW of

CSP in the Southwest by 2015.

• A near-term to mid-term opportunity exists to build production capacity in the United States for both 

domestic use and international exports.

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2.3.5 BIOCHEMICAL CONVERSION OF BIOMASS

Technology Description

Biomass resources are agricultural crops and 

residues, wood residues, grasses, and trees. 

Biomass absorbs CO2 as it grows, offsetting the 

CO2 emissions from harvesting and processing, 

and can be a substitute for fossil resources in the 

production of power, fuels, and chemicals. 

Biomass feedstocks currently supply about 3 

quadrillion Btus (Quads) to the nation’s energy 

supply, based primarily on the use of wood. The 

potential exists for increasing the total biomass 

contribution up to 10 Quads nationwide, which 

would have a positive impact on the farm 

economy. Cost, sustainable supply availability,

biomass variability, and transportation systems are 

key challenges for biomass utilization. The use of 

biomass as an alternative to fossil resources reduces most emissions, including emissions of greenhouse gases 

(GHGs). Through the use of biomass materials that would otherwise go to waste, biomass systems can represent 

a net sink for GHG emissions because methane emissions that would result from landfilling the unused biomass 

would be avoided. 

Sugars are important platform intermediates for producing fuels, products, and power from biomass. 

Technologies in manufacturing platforms – such as the sugars platform – can provide the basis for a biorefinery

or be combined with those from other platforms. The sugars platform is used to break down biomass, cellulose, 

and hemicellulose polymers into their building blocks. The building blocks are sugars that can be converted to 

many products including liquid fuels (e.g., ethanol), monomeric components for the polymer market (e.g., lactic 

acid), and hydrogen. In addition to using sugar as a feedstock for fuel and chemical production, biomass rich in 

oils (such as soybean) can be converted to esters that are combusted like petroleum-based diesel. These oils have 

potential for the production of chemicals and other products, such as lubricants or polymers. 

The biorefinery is analogous to an oil refinery. Multiple feedstocks are converted to a slate of products via 

multiple technology routes. Fuel production provides a large-volume product to achieve economies of scale, 

while lower-volume biobased coproducts and power can improve the economic competitiveness of biomass as a 

sustainable source of energy. Integrated biorefinery systems are being evaluated for their feasibility in producing 

fuels and products for potentially large commercial markets. A major challenge is to develop the ability to 

convert the fractionated biomass components into value-added products as efficiently as the current 

petrochemical business. 

System Concepts

• The most common sugar-platform process consists of pretreating a biomass feedstock to release sugars from

the fibrous cellulose and hemicellulose fractions. These sugars can be converted biologically into products 

such as ethanol or lactic acid, and can also be converted catalytically into products such as sorbitol. The 

products are then purified and sold as liquid fuels, sold into commodity chemical markets, or further 

converted and sold into other markets. The residue remaining from the sugar process can be burned to

produce steam and electricity or further processed into other products such as animal feed.

• Oil technologies under development include conversion of glycerol to higher-value chemicals, including 1,3

propanediol. 

Representative Technologies 

• Sugar platform: hydrolysis of fibrous biomass that utilizes enzymes or acid catalysts, followed by microbial 

or catalytic conversion of the sugars to products. 

• Glyceride platform: thermochemical transesterification of triglycerides. 

• Fractionating biomass materials from grain and oil seeds, agricultural and forestry residues, or dedicated 

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August 2005 – Page 2.3-11
biomass feedstocks (such as grasses and woody crops) into component parts allows further development of 

value-added products such as chemical intermediates, wood products, biodiesel fuel, and composite 

materials. 

Technology Status/Applications 

• Enzymatic hydrolysis: A major barrier of this sugar-platform technology has been development of low-cost 

cellulase enzyme cocktails. DOE has recently completed cost-shared subcontracts with Genencor 

International and Novozyme Biotech to reduce the cost of enzymes to improve the economics of the process. 

Process options using those enzymes will lead to the first large-scale, sugar-platform biorefineries. 

• R&D advances have been identified to lower the cost of sugars for products including biofuels. As 

production costs for biofuels are reduced commensurately, larger fuel markets will become accessible. The 

technical challenge is to advance biomass processing to a level of maturity comparable to that of the existing 

petroleum industry. 

• Biobased products will be key elements in the development of integrated processes for producing fuels, 

chemicals, and power. 

Current Research, Development, and Demonstration 

RD&D Goals 

• By 2010, finalize a process flow diagram with material and energy balances for an integrated biorefinery

with the potential for three bio-based chemicals or materials. 

• By 2012, complete a system-level demonstration with corn kernels’ fiber and recalcitrant starch aiming at 

5% to 20% increase in ethanol yield from ethanol plants.

• By 2012, reduce the estimated cost for producing a mixed, dilute sugar stream suitable for fermentation to 

ethanol to $0.10/lb, compared to the cost of $0.15/lb in 2003. If successful, this cost goal would correspond 

to $1.75 per gallon of ethanol, assuming a cost of $45 per dry ton of corn stover.

RD&D Challenges 

• Low-cost enzymatic hydrolysis process technologies need to be developed. 

• Pretreatment cost, yield, and equipment reliability need to be improved. 

• Process integration and optimization needs to be developed. 

• Fermentation organisms need to be developed and improved. 

RD&D Activities

• Evaluation of pretreatment options and advanced R&D to understand biomass feedstock mechanisms. 

• Industrial partnerships for demonstrating biochemical conversion technology on corn stover. 

• Joint DOE and USDA solicitations targeting key enabling technologies to meet the RD&D challenges.

Recent Progress 

• Cargill-Dow, a corporate partner, has built a facility that can produce almost 300 million pounds of lactic 

acid annually from corn starch. The facility also converts lactic acid into PLA for the polymers markets. 

• Genencor International has announced that it met the target of a 10X reduction in the cellulase portion of the 

production cost of ethanol from biomass. Novozyme Biotech has announced that it expects to achieve the 

same goal by the end of its subcontract in 2004 (goal achieved). 

• Breakthroughs in genetically engineered microorganisms capable of fermenting the broad range of sugars 

found in biomass. These advances have led to an R&D 100 award and a number of patents. 

• A conceptual design and cost estimate of a cellulosic ethanol facility has been completed and updated by

DOE and engineering and construction firms. The report outlines the process necessary to meet cost targets. 

Commercialization and Deployment Activities 

• Conversion of cellulosic biomass to sugars and products from those sugars is not yet commercial. The U.S. 

capacity to produce ethanol from corn is 3 billion gallons annually. Ethanol is used as a fuel extender and, 

increasingly, as an oxygenating additive for reformulated gasoline wherever MTBE is phased down. 

• Starch crops play a transitional role, but large-scale displacement of petroleum will rely on cellulose. 

• About 15-21 million gallons of biodiesel is produced annually in the United States. 

• Biobased products can replace 1:1 their chemically derived counterpart if the cost is competitive. This 

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August 2005 – Page 2.3-12
approach is of interest to the existing biomass-processing community; their infrastructure is already in place.

• Oil-based products or fuels have essentially a 1:1 displacement of petroleum-based products or fuels; this is 

attractive in efforts to reduce dependence on imported oil.

• Biobased products can bring new properties and functions to materials and chemical intermediates. This 

characteristic can enable biorefinery operations and the development of small businesses. Here, the market is

not fully defined, capital risk is high, and time to commercialize may be long. Investments by the Federal 

government can lower some of these barriers.

Market Context

• For ethanol: 

1 Quad of biomass: 1% of projected petroleum imports for 2020 

5 Quads of biomass: 6% of projected petroleum imports for 2020 

• For fuels and chemicals (depending on the mix of products): 

1 Quad of biomass: 0.5-1% of projected petroleum imports for 2020 

 5 Quads of biomass: 5-10% of projected petroleum imports for 2020

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2.3.6 THERMOCHEMICAL CONVERSION OF BIOMASS 

Syngas Platform

Sugar Platform

Fuels

Chemicals & Biomass Materials

Combined 

Heat & 

Power

Residues

Clean Gas

Conditioned Gas

Sugar Feedstocks

Syngas Platform

Sugar Platform

Fuels

Chemicals &

Materials

Fuels

Chemicals & Biomass Materials

Combined 

Heat & 

Power

Residues

Clean Gas

Conditioned Gas

Sugar Feedstocks

Technology Description 

Biomass resources are agricultural crops and residues, 

wood residues, grasses, and trees. Biomass absorbs CO2

as it grows, offsetting the CO2 emissions from

harvesting and processing, and can be a substitute for 

fossil resources in production of power, fuels, and 

chemicals. Biomass feedstocks currently supply about 3 

quadrillion Btus (Quads) to the nation’s energy supply 

based primarily on wood resources. The potential exists 

for increasing total biomass contribution to 10 Quads 

nationwide, which would create positive impacts on 

farming and forest products industries. Cost, sustainable 

supply availability, biomass variability, and delivery systems are key challenges for biomass utilization. Use of 

biomass resources as an alternative to fossil resources reduces most emissions, including emissions of 

greenhouse gases (GHGs). Through use of materials that would normally be waste, biomass systems bring 

about a net sink for GHG emissions, because methane emissions that would result from landfilling are avoided. 

Thermal conversion of biomass is a manufacturing platform comprised of many technology routes and involves 

use of heat to break down biomass feed into an oil-rich vapor in pyrolysis and/or synthesis gas in gasification, 

which is used for generation of heat, power, liquid fuels, and chemicals. Technologies in this platform can 

provide the basis for a biorefinery, or be combined with other platform technologies. One advantage of thermal 

conversion processes is that they can convert nearly all biomass feedstocks into synthesis gas, including some 

feedstock components that are difficult to process by chemical or biological means. 

The biorefinery is analogous to an oil refinery. Multiple feedstocks are thermally converted to a slate of 

products via multiple technology routes. Fuel production provides a large-volume product to achieve 

economies of scale, while lower volume biobased coproducts and power can improve the economic 

competitiveness of biomass as a sustainable source of energy. Integrated biorefinery systems are being 

evaluated for their feasibility in producing fuels and products for potentially large commercial markets. A 

major challenge is to develop the ability to convert the fractionated biomass components into value-added 

products as efficiently as the current petrochemical business of today. 

Biomass combustion is a thermal process that converts biomass entirely to carbon dioxide and water vapor; 

and, thus, precludes conversion to intermediate fuels or chemicals. The existing biomass power industry

primarily uses combustion to produce steam for heat and electricity generation. Co-combustion of biomass with 

coal, or “cofiring” has received recent interest as a way to reduce fossil carbon emissions from coal power 

plants. There are few significant technical barriers to increase use of these technologies. 

System Concepts and Representative Technologies 

Thermal conversion technology is important and has several key roles in an emerging bioeconomy: 

• Most current biomass conversion is for heat and power generation and is based on direct combustion in 

small, biomass-only plants with relatively low electric efficiency of about 20%. Technology exists so that 

total system efficiencies can approach 90% if combined heat and power systems are applied. Most biomass 

direct combustion generation facilities use the basic Rankine steam cycle for electric power generation, 

which is made up of a steam boiler, an electric turbine, a condenser, and a pump. Evolution of combined 

cycles that integrate the use of gas and steam turbines can increase generation efficiency by up to two 

times. Cofiring of biomass with coal also can increase overall biomass-to-electricity conversion efficiency. 

• A source of syngas for catalytic production of fuels, chemicals, and hydrogen is important. Once a clean 

synthesis gas is obtained, it is possible to access and leverage mature process technologies developed in the 

petroleum and chemicals industry for the production of a wide range of liquid fuels and chemicals. 

• A source of heat and power for biorefinery operation. Virtually all other conversion processes – whether 

physical or biological – produce residue that cannot be directly converted to the primary product(s). In 

order to mitigate waste streams and to maximize the efficiency of the biorefinery, these residues can and 

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August 2005 – Page 2.3-14
should be used for heat and power production. In existing biorefineries, residues are combusted in a steam

boiler. There is a technological opportunity however, to use a gasifier coupled to a gas turbine combined 

cycle that can double conversion efficiency to electricity, while still producing steam from the gas turbine 

waste heat. Use of a biomass gasifier in a gasifier combined-cycle system can leverage on public and 

private investments in development of advanced- and next-generation gas turbine systems (more than $1 

billion). 

• Thermal conversion is a way to derive additional value from process residues. Within a biorefinery,

thermal conversion and gasification can push many residues "up the value chain" through production of 

hydrogen or other higher-value products via thermal conversion to syngas followed by separation or 

synthesis steps. 

• Gasification converts biomass to a syngas that can be substituted for natural gas in combustion turbines, 

shifted into hydrogen for fuel cell or other applications, or used in existing commercial catalytic processes 

for production of liquid fuels and chemicals. Several technologies exist in various stages of development 

for production of a suitable syngas, including indirect gasification, steam reforming of biomass, and 

gasification with oxygen or enriched air. 

• Pyrolysis of biomass produces an oil-rich vapor that can be condensed for direct use as a fuel or as a 

hydrogen carrier, or refined for producing a variety of higher-value chemical products.

Technology Status/Applications 

• The existing biopower sector, nearly 1,000 plants, is mainly comprised of direct combustion plants, with an 

additional small amount of cofiring (approximately 400 MWe). Plant size averages 20 MWe, and the 

biomass-to-electricity conversion efficiency is about 20%. Grid-connected electrical capacity was 9,700 

MWe in 2001; more than 75% of this power is generated in the forest products industry’s combined heat 

and power applications for process heat. Combined utility and industrial generation in 2001 was more than 

60 billion kilowatt-hours (about 75% of nonhydro renewable generation). Recent studies estimate that on a 

life-cycle basis, existing biopower plants represent a net carbon sink of 4 MMTC/yr. Biopower electricity

prices generally range from 8¢−12¢/kWh.

• U.S. investment in equipment is $300-$500 M/year. At least six major engineering procurement and 

construction companies and several multinational boiler manufacturers are active. 

• Biomass cofiring with coal ($50−$250/kW of biomass capacity) is the most near-term option for largescale use of biomass for power-only electricity generation. Cofiring also reduces sulfur dioxide and 

nitrogen oxide emissions. In addition, when cofiring crop and forest product residues, GHG emissions are 

reduced by a greater percentage (e.g. 23% GHG emissions reduction with 15% cofiring). 

• Small biopower and biodiesel systems have been used for many years in the developing world for 

electricity generation. OE is developing systems for village power applications for distributed generation 

that are more efficient, reliable, and clean for the developed world. These systems range in size from 3 kW 

to 5 MW, with field verification completed by the end of 2003. 

Current Research, Development, and Demonstration 

RD&D Goals 

• Goals are being developed. 

RD&D Challenges 

• Feed Preparation/Gasification – Improved feed processing for operational reliability need to be developed. 

• Gas Cleanup – Improved methods of removing contaminants from syngas and modifying gas composition 

are needed. 

• Synthesis gas utilization – The feasibility and optimization of syngas use in fuels, chemicals, and 

heat/power applications needs to be demonstrated on both a laboratory and industrial pilot scale. 

• System Integration – Careful integration of the entire conversion system to maximize efficiency and reduce 

costs is needed. 

• Development of enabling technologies is needed so that industry can reduce their risk of development and 

reduce development-cycle time. 

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• Verification and quantification of environmental and other benefits of themochemically derived fuels and 

chemicals is needed. 

RD&D Activities 

• Core research in feed preparation and handling, gasification, gas cleanup and conditioning, syngas 

utilization, and sensors and controls. 

• Solicitation(s) for industry and university core research in targeted areas addressing specific barriers, e.g., 

high-pressure feeder development, novel gasification concepts, gas cleanup, hydrogen production, and 

sensors and controls. 

• Solicitation(s) for precommercial validation of integrated processes for distributed fuels, chemicals, and 

hydrogen; and for integrated biorefinery applications. 

• Joint DOE and USDA solicitations targeted to key enabling technologies can have an impact on meeting 

RD&D challenges. 

• USDA has extensive research in crop production and is beginning to fund community-based, small-system

demonstrations in collaboration with DOE.

Recent Progress 

• R&D 100 award for the Burlington, 

Vermont, gasifier (Future Energy

Resources Corporation, Battelle, and DOE 

Labs). 

• Successfully demonstrated NOx

reductions from cofiring in excess of 

cofired percentage. 

• Completed life-cycle assessments 

verifying and quantifying environmental 

benefits of biopower systems. 

• Successful energy crop (switchgrass and 

willow) harvesting and cofiring in Iowa, 

Louisiana, and New York. 

• Public release of modeling software 

(BIOCOST) that allows evaluation of 

energy crop production cost scenarios. 

• Annual switchgrass yields of more than 10 t/acre obtained from best test plots in three southern states. 

• Successful collaboration between private industry, DOE, and the USDA-Forest Service to demonstrate the 

small-scale modular production of heat and power in community settings (schools, small businesses). 

• Demonstration at commercial prototype scales the use of biomass-derived resins from bark for engineered 

wood products.

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2.3.7 BIOMASS RESIDUES 

Technology Description 

Biomass residues are the organic byproducts of green plants used for food, fiber, and forest production and 

processing. Major sources of residues include grain crops such as corn, wheat, and rice; animal waste; forest 

harvest; fuel-reduction treatments, and processing. These residues can be used as an alternative fuel source and 

for other purposes. This profile addresses the issues of harvesting, storing, and transporting biomass residues. 

System Concepts 

• The sustainable use of biomass residues for energy requires understanding when and where residues can be 

removed from agricultural and forest soils without reducing long-term productivity. 

• Under certain circumstances, residues may have greater economic and ecological value when left on the 

land to restore nutrients, reduce erosion, and stabilize soil structure than if harvested for fuel. Biomass 

residue energy production may be most effective in locations where crop yields and soil organic levels are 

high, and erosion is not a major concern. 

Representative Technologies 

• Agricultural residues (corn stover, straws from wheat, rice, and other grain crops). 

• Wood residues resulting from lumber, furniture, and fiber production. 

• Forest residues (tops and limbs from harvest for wood products, material from fuel reduction treatments). 

• Black liquors from pulp production.

• Animal wastes from confined production of chickens, pigs, and cows. 

• Clean wood from urban yard trimmings and construction/demolition. 

Technology Status/Applications 

• Sustainable and recoverable amounts of corn stover, wheat straw, rice straw, and cotton stalks are 

estimated at about 150 MdT/year (less than 50% of the amount actually produced). Some corn stover is 

being removed presently for production of chemicals and animal bedding. Straws are being used in Europe 

as a bioenergy resource. 

• More than 2.1 quadrillion Btu of primary biomass energy is consumed by industry, and it generates 56 

million MWh of electricity plus heat. Nearly two-thirds of this electricity is derived from wood and wood 

wastes (including spent pulping liquors, wood residues, byproducts from mill processing, and forest 

residues). About one-third of the electricity and heat is derived from municipal solid waste and landfill gas. 

• Some technologies are available to combust or gasify animal wastes. The most widely known option is to

capture methane gas, a byproduct of anaerobic digestion. 

Current Research, Development, and Demonstration 

RD&D Goals 

• By 2006, establish measurable cost reductions in corn-stover supply systems with modifications of current 

technology. 

• By 2007, develop whole-crop harvest systems for supplying biorefineries of multiple products. 

• By 2010, develop enhancements to the whole-crop harvest systems that include fractionation for maximum 

economic return, including returns to soil for maximum productivity and conservation practices. 

• By 2015, develop an integrated system for pretreatment of residues near harvest locations and a means of 

collecting and transporting partially treated substrates to a central processing operation. 

• By 2020, develop fully integrated crop and residue harvesting, storage, and transportation systems for food, 

feed, energy, and industrial applications. 

RD&D Challenges 

• Develop environmental data to make decisions on residue removal from agricultural and forest lands. 

• Assemble better information on the characteristics of residue feedstock to assist in cost-effective 

harvest/handling and storage systems, and to assist potential users in optimizing their systems to handle 

residue feedstock. 

• Develop cost-effective drying, densification, and transportation techniques to create more “standard” 

feedstock from residues. 

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• Develop efficient and environmentally sound infrastructure for residue supply systems (collection, 

handling, storage, transport). 

• Gain public acceptance for the removal of agricultural and forest residues where shown to be sustainable. 

• Develop methods for estimating residue availability based on published or easily accessible information 

sources. 

• Develop effective and publicly acceptable ways of using animal wastes. 

RD&D Activities 

• Reduce feedstock costs and enhance feedstock quality through improving and adapting the existing 

collection, densification, storage, transportation, and information technologies (precision agriculture and 

forestry) to bioenergy supply systems. 

• Enhance the sustainability of feedstock supply enterprises (production and handling) by developing and 

servicing robust machines for multiple applications and extended use. 

• Research the engineering properties of novel aqueous and nonaqueous multiphase bioenergy feedstocks. 

Recent Progress 

• Critical operations contributing to the cost of residue harvest have been identified. It is now clear that a 

reduction in the number of operations is the key to reduction in feedstock costs. 

• Farm-equipment manufacturers in the United States are becoming increasingly aware of opportunities in 

biomass harvesting and handling systems. Large and small companies are building alliances with research 

institutions to develop equipment for handling large quantities of biomass. 

• Green power producers are making greater use of landfill gas as a resource for electricity production. 

Commercialization and Deployment Activities 

• Use of biomass residues for bioenergy and bioproducts is already commercial where those materials are 

captured internally by an industry or where disposal fees are high enough to encourage delivery of these 

materials to an energy end user for little to no cost. 

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 2.3.8 ENERGY CROPS 

Technology Description 

Energy crops are fast-growing, genetically improved trees and grasses grown under sustainable conditions for 

harvest at 1 to 10 years of age. End uses of energy crops include biomass power (combustion and gasification), 

biofuels (ethanol), and new bioproducts such as plastics and many types of chemicals. 

System Concepts 

• Biomass feedstock supply systems are widely available throughout the United States but locally optimized 

for climate and soil conditions and end-use requirements. 

• Quantities must be sufficient to support large-scale processing facilities. 

• In the future, some crops will likely be genetically tailored in a way that facilitates separations and 

conversion processes for selected end uses. 

Representative Technologies 

• Short rotation woody crops – selected tree varieties grown as single-stem trees under sustainable conditions 

for year-round harvest within 4-10 years with replanting assumed. 

• Woody coppice crops – selected tree varieties grown as multistemmed “bushes” under sustainable 

conditions for year-round harvest. 

• Perennial grass crops – selected high-yield varieties of grasses grown under agronomic conditions for fall 

and winter harvest with stand regrowth assumed for up to 10 years, involving some modification to 

standard forage harvest systems. 

• Genetic improvement, pest and disease management, sustainability optimization, and harvest equipment 

development R&D ongoing for all of the above. 

Technology Status/Applications 

• Short-rotation woody crops are produced commercially in the Pacific Northwest and North Central regions 

of the United States and many parts of the world (Brazil, Australia, Spain, etc.) for combined fiber and 

energy use. 

• Woody coppice crops are produced commercially in Northern Europe and are being adapted to and tested 

at an operational scale in New York. 

• Perennial grass crops have high yield potential and have been demonstrated in south, southeastern, midwest, and north-central parts of the United States. Technology is being tested as a biomass feedstock 

supply system for biomass power in Iowa. 

Current Research, Development, and Demonstration 

RD&D Goals 

• By 2006, develop feedstock crops with experimentally demonstrated yield potential of 6-8 dry 

ton/acre/year and accompanying cost-effective, energy-efficient, environmentally sound harvest methods. 

• By 2010, identify genes that control growth and characteristics important to conversion processes in few 

model energy crops – and achieve low-cost, “no-touch” harvest/processing/transport of biomass to process

facility. 

• By 2020, advance the concept of energy crops contributing strongly to meet biomass power and biofuels 

production goals – and increase yield of useful biomass per acre by a factor of 2 or more compared with 

yields in 2000. 

RD&D Challenges 

• Transfer genomics information gained from arabidopsis, rice, and corn to acceleration of domestication of 

poplars and switchgrass. 

• Develop gene maps and increased functional genomics understanding for model crops. 

• Develop an efficient infrastructure for energy crop supply and utilization systems. 

• Scale up seed to large-scale commercial deployment. 

• Demonstrate that energy crop production is sustainable and environmentally beneficial. 

• Gain acceptance by the public for the use of genetic engineering of energy crops. 

• Develop expertise on machinery and logistics aspects of agricultural and forest engineering. 

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RD&D Activities 

• Crop yield improvement research on two model woody crops (poplars and willow) and one herbaceous 

species (switchgrass) is being conducted by researchers in academic and USDA research organizations in 

many locations throughout the country. 

• Genetic maps have been developed for poplars and are in process for switchgrass; work has been initiated 

to identify genes important to accelerated domestication of poplars and switchgrass. 

• Cost-supply relationships are being generated for energy crop supplies in different regions of the country. 

• Environmental research to optimize energy crop sustainable production techniques is being conducted in a 

few locations. 

• Research on control of diseases and pests through genetics and/or cultural management. 

Recent Progress 

• Yields of up to 10 dry tons/acre/year have been observed in small experimental plantings of poplars, 

willows, and switchgrass in selected locations with genetically superior material. 

• Yields of 5-7 dry tons/acre/year have been measured in small pilot-scale regional field trials of energy 

crops in some locations. 

• Two major industrial enzyme companies are developing a new generation of cellulase enzymes to support

an enzyme sugar platform.

• Farmers are engaged in energy crop R&D in several regions of the country through federally supported

demonstrations. 

• An economic model for energy crop production costs has been released for public use. 

• Joint USDA/DOE analysis on the economic impacts of bioenergy crop production on U.S. agriculture has 

shown the potential for net farm income to increase from $2.8 billion to $6 billion depending on production 

scenarios and feedstock prices. 

• A nutrient cycling spreadsheet model applicable to forestry and short rotation woody crop applications has 

recently been completed and made available to industry and the public on the Web. 

Commercialization and Deployment Activities 

• Between 1983 and 1998, 70,000 acres of poplars were established commercially in the Pacific Northwest 

with significant utilization of new hybrid materials generated by the DOE-funded research programs. 

Opportunistic market conditions, together with short-rotation crop technology readiness and technology 

transfer activities, were all critical to the commercialization success in the Pacific Northwest. 

• Other types of short-rotation crops – including eucalyptus, sweetgum, sycamore, and willow, and 

established in other parts of the country – contribute to an approximate total level of commercialization of 

short-rotation woody crops of about 120,000 acres. Willow contributes a partial wood supply to a cofiring 

biomass power demonstration project. Switchgrass is already a crop planted on many Conservation 

Reserve Program acres, and it is the feedstock supply for two biomass power cofiring demonstrations. 

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2.3.9 PHOTOCONVERSION 

Technology Description 

Photoconversion technology encompasses sunlightdriven quantum-conversion processes (other than 

solid-state photovoltaics) that lead to the direct and 

potentially highly efficient production of electrical 

power or fuels, materials, and chemicals from simple 

renewable substrates such as water, carbon dioxide 

(CO2) and nitrogen. This technology has the 

potential to eliminate the need for fossil fuels by 

substituting renewable sources and conversion 

processes that are either carbon neutral (any carbon 

generated is reused during plant growth) or carbon 

free (e.g., hydrogen from water). These technologies 

also can convert CO2 into liquid and gaseous fuels 

via processes that are often termed biomimetic, or 

bio-inspired. 

System Concepts

• Photoconversion processes use solar photons 

directly to drive biological, chemical, or 

electrochemical reactions to generate electricity, 

fuels, materials, or chemicals. 

• System components include biological 

organisms or enzymes, semiconductor structures 

(photoelectrochemical cells, colloids, 

nanocrystals, certain plastics or polymers,

quantum dots or nanoparticles, or superlattices), 

biomimetic molecules, dye molecules, synthetic 

catalysts, or combinations of the above. 

Representative Technologies 

• Elements of this future solar technology include photobiological, photochemical, photoelectrochemical, 

photocatalytic, and dark catalytic processes for energy production. 

• Photoconversion technologies can produce electrical power, hydrogen, biodiesel, organic acids, methane, 

methanol, and plastics. These technologies also can remove CO2 from the atmosphere through 

photoreduction of CO2 to fuels, materials, and chemicals. Moreover, they can achieve atmospheric nitrogen 

fixation (independent of natural gas) and convert biomass to fuels, materials, or chemicals. 

• Most of these technologies are at early stages of research, but some are at the development level, and some

that produce high-value products are commercial. 

Technology Status/Applications

• Power production: dye-sensitized, nanocrystalline, titanium dioxide semiconductor solar cells are 8%-11% 

efficient and are potentially very cheap. In contrast to solid-state PV solar cells, light is absorbed by dye 

molecules in contact with an electrolyte rather than solid-state semiconductor materials. Novel 

photoelectrochemical cells with integrated fuel cells and in situ storage for 24-h solar power have been 

demonstrated at 6%-7% efficiency in 4-by-8-foot panels using a system developed by Texas Instruments, 

and photochargeable batteries that include electrochemical storage have been demonstrated with 24-h 

power output. Hot-carrier photoconversion technology for increasing solar-conversion efficiencies (with 

theoretical efficiency limits of 65%-86%, depending on the solar photon concentration) is making progress. 

The term “hot carrier” refers to the utilization of highly energetic electrons (called hot electrons and created 

upon absorption of photons with energies larger than the semiconductor bandgap) for useful chemical 

production or electrical power, rather than converting the excess electron energy to heat by photon 

A photoconversion process to produce hydrogen 

from metabolically engineered algae. 

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emission. In present photoconversion and photovoltaic devices, the hot electrons cool, and their excess 

energy is lost as heat in a picosecond (1E-12 sec) or less. Semiconductor nanostructures have been found to 

slow the cooling time of hot electrons by up to two orders of magnitude, thus enhancing the probability for 

hot electron conversion. 

• Fuels production: Photoelectrochemical and photobiological processes that will lead to hydrogen 

production from water or gasified biomass are at the early stages of research, and important advances have 

been made recently; biodiesel, methane, and methanol production from water, waste, and CO2 are at 

various stages of R&D; and fuels, such as methanol – produced by the direct electrocatalytic or 

photocatalytic reduction of CO2 – are at the early fundamental research stage. Electrocatalytic 

concentration of CO2 from the atmosphere is being studied as well; it is of interest to people involved in 

atmospheric control in small spaces (i.e., submarines and the space station) and has potential for removing 

CO2 from the atmosphere in the future. 

• Materials and chemicals production: Producing materials and chemicals from CO2 and/or biomass, as well 

as producing fertilizer from atmospheric nitrogen and renewable hydrogen, will reduce CO2 emissions 

compared with the fossil fuels used currently. 

• Photobiological production of pigments (e.g., astaxanthin), health foods, nutritional supplements (e.g., 

omega-3 fatty acids), protein, and fish food is commercial. Production of biopesticides and pharmaceuticals 

is under development. Production of commodity chemicals such as, but not limited to, glycerol, hydrogen

peroxide, and bioemulsifiers is possible. Photocatalytic production of specialty or high-value chemicals has 

been demonstrated. 

Current Research, Development, and Demonstration 

RD&D Goals

• In the near-term, research will focus on applications related to electrical power and high-value fuels and 

chemicals, where commercial potential may be expected during the next 5 to 10 years. If successful, largerscale applications of photoconversion technologies may follow in the period from 2010 to 2015, with 

materials and fuels production beginning in the period 2015 to 2020, and commodity chemicals production 

in the period from 2020 to 2030. 

RD&D Challenges

• Develop the fundamental sciences in multidisciplinary areas involving theory, mechanisms, kinetics, 

biological pathways and molecular genetics, natural photosynthesis, materials (semiconductor particles and 

structures), catalysts and catalytic cycles, and biomimetic components. Progress in fundamental science is 

needed to underpin the new photoconversion technologies. 

• Maintain critical mass research groups in vital areas long enough for sustained progress to be made. 

RD&D Activities

• A significant level of basic research activities in solar photoconversion is currently being performed by the 

DOE Office of Science; some exploratory R&D is being performed by DOE Office of Energy Efficiency

and Renewable Energy/Office of Solar Technologies. 

• Some basic research support by the National Science Foundation and the U.S. Department of Agriculture is 

complementary.

Recent Progress 

• Prototype dye-sensitized nanocrystalline semiconductor solar cells have been demonstrated as power 

sources in small niche markets. Commercial interest is very high because they also can be configured to 

produce hydrogen. 

• Scientific breakthroughs during the past seven years have been made in microbial and enzymatic R&D; 

natural photosynthesis; semiconductors, nanostructures, quantum dots, and superlattices; CO2 catalysis; and 

energy and electron transfer in artificial donor/acceptor molecules. 

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Commercialization and Deployment Activities 

• Astaxanthin, a pigment synthesized from petroleum, is used as a coloring agent in the poultry and salmon 

industries. Algal production of the pigment just started in Hawaii and is replacing the fossil version for 

health and environmental reasons. Large-scale algal ponds are producing high-value chemicals on a 

commercial basis using photobiological processes. As an example, the current astaxanthin market is $180 

M/year and is expected to rise to $1 B/year in five years. 

• European and Japanese companies are beginning to commercialize dye-sensitized, nanocrystalline cellpowered watches. The market is estimated to be 100 million units. 

Market Context

• Besides the applications discussed above, many spin-off technologies are possible. These include 

optoelectronics, biosensors, biocomputers, bioelectronics, and nanoscale devices.

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2.3.10 ADVANCED HYDROPOWER

Technology Description 

Hydroelectric power generates no greenhouse gas. To the 

extent that existing hydropower can be maintained or 

expanded through advances in technology, it can continue to 

be an important part of a greenhouse gas emissions-free 

energy portfolio. Advanced hydropower is technology that 

produces hydroelectricity both efficiently and with improved 

environmental performance. Traditional hydropower may

have environmental effects, such as fish mortality and 

changes to downstream water quality and quantity. The goal 

of advanced hydropower is to maximize the use of water for 

generation while improving environmental performance. 

System Concepts

• Conventional hydropower projects use either impulse or 

reaction turbines to convert kinetic energy in flowing or 

falling water into turbine torque and power. Source water 

may be from free-flowing rivers, streams, or canals, or 

water released from upstream storage reservoirs. 

• New environmental and biological criteria for turbine 

design and operation are being developed to help sustain 

hydropower’s role as a clean, renewable energy source – 

and to enable upgrades of existing facilities and retrofits at existing dams. 

Representative Technologies

• New turbine designs that improve survivability of fish that pass through the power plant. 

• Autoventing turbines to increase dissolved oxygen in discharges downstream of dams. 

• Reregulating and aerating weirs used to stabilize tailwater discharges and improve water quality. 

• Adjustable-speed generators producing hydroelectricity over a wider range of heads and providing more 

uniform instream-flow releases without sacrificing generation opportunities. 

• New assessment methods to balance instream-flow needs of fish with water for energy production and to

optimize operation of reservoir systems.

• Advanced instrumentation and control systems that modify turbine operation to maximize environmental 

benefits and energy production. 

Technology Status/Applications

• Hydropower provides about 78,000 MW of the nation’s electrical-generating capability. This is about 80 

percent of the electricity generated from renewable energy sources. 

• Existing hydropower generation faces a combination of real and perceived environmental effects, regulatory 

pressures, and changes in energy economics (deregulation, etc.); potential hydropower resources are not 

being developed for similar reasons. 

• Some new environmentally friendly technologies are being implemented 

• DOE's Advanced Hydropower Turbine System (AHTS) program will be completing public-private 

partnerships with industry to demonstrate the feasibility of new turbine designs (e.g., aerating turbines at the 

Osage Dam, and a Minimum Gap Runner turbine at the Wanapum Dam).

Current Research, Development, and Demonstration 

RD&D Goals

• By 2006, the completion of testing of hydroelectric turbine technology capable of reducing the rate of fish 

mortality to 2%, which would equal or better other methods of fish passage (e.g., spillways or fishways). 

• Also in the near term, the goal is to complete the development of the Advanced Hydro Turbine Technology 

in support of maintaining hydroelectric generation capacity due for relicensing between 2010 and 2020. 

ALDEN/NREC 

Advanced 

Turbine

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RD&D Challenges 

• Biological design criteria for new technology are limited by poor understanding of how fish respond to

turbulent flows and other physical stresses inside turbines and downstream of dams. 

• To affect public perception, field-testing will be needed to provide the evidence that fish survival through 

turbines is equal to or greater than survival in other passage routes around dams. Regulatory trends are 

shifting power plant operation from peaking to baseload, effectively reducing the energy value of 

hydroelectricity and reducing plant capacity factors; higher instream-flow requirements are reducing total 

energy production to protect downstream ecosystems, but scientific justification is weak. 

RD&D Activities

• DOE’s AHTS program constructed a test facility for pilot-scale testing of a new turbine design to evaluate 

hydraulic and biological performance; testing at this facility was completed in FY 2003. 

• New biological design criteria to protect fish from shear and pressure have been developed in controlled 

laboratory experiments; computational fluid dynamics modeling and new sensor systems are producing new 

understanding of turbulence in turbines and draft tubes. 

• Regional efforts by the Army Corps of Engineers and Bonneville Power Administration are producing 

solutions to some site-specific problems, especially in the Columbia River basin; but they are not addressing 

the national situation that is driven by market pressures and environmental regulation. 

• Resource assessments of low-head and low-power resources were completed and analyzed. 

Recent Progress

• TVA has demonstrated that improved turbine designs, equipment upgrades, and systems optimization can 

lead to significant economic and environmental benefits – energy production was increased approximately

12% while downstream fish resources were significantly improved. 

• Field-testing of the Kaplan turbine Minimum Gap Runner design indicates that fish survival can be 

significantly increased, if conventional turbines are modified. The full complement of Minimum Gap 

Runner design features will be tested at the Wanapum Dam in FY 2005.

Commercialization and Deployment Activities 

• Voith Siemens Hydro Power and the TVA have established a partnership to market environmentally

friendly technology at hydropower facilities. Their products were developed in part by funding provided by

DOE and the Corps of Engineers, as well as private sources. 

• In a competitive solicitation, DOE accepted proposals for advanced turbine designs from Voith Siemens, 

Alstom, American Hydro, and General Electric Co., field verification and testing is underway with some of 

these designs to demonstrate improved environmental performance.

• Flash Technology is developing strobe lighting systems to force fish away from hydropower intakes and to

avoid entrainment mortality in turbines. Implementation at more sites may allow improved environmental 

performance with reduced spillage. 

Market Context

• Advanced hydropower products can be applied at more than 80% of existing hydropower projects (installed

conventional capacity is now 78 GW); the potential market also includes 15-20 GW at existing dams (i.e., 

no new dams required for development) and more than 30 GW of undeveloped hydropower. 

• Retrofitting advanced technology and optimizing system operations at existing facilities would lead to at 

least a 6% increase in energy output – if fully implemented, this would equate to 5 GW and 18,600 GWh of 

new, clean energy production. 

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2.3.11 GEOTHERMAL ENERGY

Technology Description 

Geothermal energy is heat from within 

the Earth. Hot water or steam are used 

to produce electricity or applied directly

for space heating and industrial 

processes. This energy can offset the 

emission of carbon dioxide from

conventional fossil-powered electricity

generation, industrial processes, 

building thermal systems, and other 

applications. 

System Concepts 

• Geophysical, geochemical, and 

geological exploration locates 

resources to drill, including highly 

permeable hot reservoirs, shallow 

warm groundwater, hot 

impermeable rock masses, and 

highly pressured hot fluids. 

• Well fields and distribution systems 

allow the hot fluids to move to the 

point of use, and afterward, back to 

the earth. 

• Utilization systems may apply the heat directly or convert it to another form of energy such as electricity. 

Representative Technologies 

• Exploration technologies identify geothermal reservoirs and their fracture systems; drilling, reservoir 

testing, modeling optimize production, and predict useful lifetime; steam turbines use natural steam or hot 

water flashed to steam to produce electricity; binary conversion systems produce electricity from water not 

hot enough to flash. 

• Direct applications use the heat from geothermal fluids without conversion to electricity. 

• Geothermal heat pumps use the shallow earth as a heat source and heat sink for heating and cooling 

applications. 

• Coproduction, the recovery of minerals and metals from geothermal brine, is being pursued. Zinc is 

recovered at the Salton Sea geothermal field in California. 

Technology Status/Applications 

• With improved technology, the United States has a resource base capable of producing up to 100 GW of 

electricity at less than 5¢/kWh. 

• Hydrothermal reservoirs are being used to produce electricity with an online availability of up to 97%; 

advanced energy-conversion technologies are being implemented to improve plant thermal efficiency. 

• Direct-use applications are successful throughout the western United States and provide heat for space 

heating, aquaculture, greenhouses, spas, and other applications. 

• Geothermal heat pumps continue to penetrate markets for heating/cooling (HVAC) services.

Current Research, Development, and Demonstration 

RD&D Goals

• By 2010, for “flash” power systems, reduce the levelized cost of power generated by conventional 

(hydrothermal) geothermal resources from 6.1 cents per kWh in 2000 to 4.3 cents per kWh. 

• By 2010, for “binary” power systems, reduce the cost from 8.7 cents per kWh in 2000, to 6.1 cents per 

kWh. 

Condensers and cooling towers, The Geysers.

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August 2005 – Page 2.3-26
RD&D Challenges 

• Develop improved methodologies for predicting reservoir performance and lifetime. 

• Find and characterize underground fracture permeability and develop low-cost, innovative drilling 

technologies.

• Reduce capital and operating costs and improve the efficiency of geothermal conversion systems. 

• Develop and demonstrate technology for enhanced geothermal systems that will allow the use of 

geothermal areas that are deeper, less permeable, or dryer than those currently considered as reserves. 

RD&D Activities

• DOE Office of Energy Efficiency and Renewable Energy promotes collaborations among laboratories, 

universities, states, and industry. Industry provides access to operating fields and well data, equipment and 

geothermal materials, and matching funds. Related activities are supported by DOE Office of Fossil 

Energy and Office of Science. 

Recent Progress 

• The DOE Geothermal Program sponsored research that won two R&D 100 Awards in 2003: Acoustic 

Telemetry Technology, which provides a high speed data link between the surface and the drill bit; and 

Low Emission Atmospheric Monitoring Separator, which safely contains and cleans vented steam during 

drilling, well testing, and plant start-up. 

• A second pipeline to carry replacement water has been completed through the joint efforts of industry and

Federal, state, and local agencies. This will increase production and extend the lifetime of The Geysers 

Geothermal Field in California. The second pipeline adds 85 MW of capacity. 

Commercialization and Deployment Activities 

• Costs at the best sites are competitive at today’s energy prices – and investment is limited by uncertainty in 

prices; lack of new, confirmed resources; high front-end costs; and lag time between investment and 

return. 

• Improvements in cost and accuracy of resource exploration and characterization can lower the electricity

cost; demonstration of new resource concepts, such as enhanced geothermal systems, would allow a large 

expansion of the U.S. use of hydrothermal when economics become favorable. 

Market Context 

• Hydrothermal reservoirs have an installed capacity of about 2,400 MW electric in the United States and 

about 8,000 MW worldwide. Direct-use applications have an installed capacity of about 600 MW thermal 

in the United States. About 300 MW electric are being developed in California, Nevada, and Idaho.

• Geothermal will continue production at existing plants (2.2 GW) with future construction potential (100 

GW by 2040). Direct heat will replace existing systems in markets in 19 western states. 

• By 2015, geothermal should provide about 10 GW, enough heat and electricity for 7 million homes; by

2020, an installed electricity capacity of 20,000 MW from hydrothermal plants and 20,000 MW from

enhanced geothermal systems. 

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2.4 NUCLEAR FISSION 

2.4.1 RESEARCH UNDER THE GENERATION IV NUCLEAR ENERGY 

SYSTEMS INITIATIVE 

Technology Description 

Electricity from nuclear power generates no greenhouse 

gas emissions. To the extent that next-generation nuclear 

fission energy systems can address prevailing concerns, 

nuclear power can continue to be an important part of a 

greenhouse gas emissions-free energy portfolio. Although

evolutionary light water reactors of standardized design are now available – and have received Nuclear 

Regulatory Commission design certification and been constructed on schedule in Japan and South Korea – 

newer nuclear energy systems in the long term need to offer significant advances in the areas of sustainability, 

proliferation resistance and physical protection, safety, and economics. These newer nuclear energy systems are 

required to replace or add to existing light water reactor capacity and can be available starting in 2020. 

To develop these next-generation systems, DOE has initiated the Generation IV Nuclear Energy Systems 

Initiative. Generation IV is an international effort, with participation by Argentina, Brazil, Canada, France, 

Japan, Republic of Korea, Republic of South Africa, Switzerland, the United Kingdom, and the United States. 

The Generation IV Nuclear Energy Systems Technology Roadmap was completed in December 2002. The 

completed roadmap has identified the six most promising fission energy systems for potential further 

development. In FY 2003, DOE and its international partners initiated preconceptual design studies, fuel and 

materials development, and energy conversion development on promising systems of interest, which will lead to 

demonstration and eventual deployment (with industry and international participation) of one or more systems. 

System Concepts

• Advanced fission reactors and fuel cycles that will reduce the potential for proliferation of nuclear materials, 

provide economical electricity generation, and contribute to hydrogen generation, with minimal waste 

products. 

Representative Technologies 

• Gas-Cooled Fast Reactor (GFR). 

• Lead-Cooled Fast Reactor (LFR). 

• Molten Salt Reactor (MSR). 

• Sodium-Cooled Fast Reactor (SFR). 

• Supercritical-Water-Cooled Reactor (SCWR). 

• Very-High-Temperature Reactor (VHTR). 

Technology Status/Applications

• Advanced fission reactors and fuel cycles: development is at advanced stage; demonstration is incomplete. 

• High-temperature gas-cooled reactor development is focused on high-conversion efficiency through direct 

use of the high-temperature gaseous reactor coolant to power a gas turbine driving a generator (i.e., direct 

conversion), also capable of high-efficiency hydrogen production through electrolysis or chemical 

processes. 

• Liquid metal-cooled reactors (both sodium and lead) have been successfully operated worldwide. Safety

performance has been demonstrated, but economic performance needs improvement. 

• Technologies for advanced fuel recycle and remote fuel refabrication have been developed in the laboratory,

and some elements have advanced to pilot scale. 

• Nuclear-assisted hydrogen production by means of thermochemical cracking of water is at the preconceptual 

design stage, requiring extensive development. 

• Other advanced fission systems are at a preconceptual stage, requiring extensive development and 

irradiation testing of new fuel forms and high-temperature materials. 

• Direct-cycle turbine technology requires development and demonstration. 

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Current Research, Development, and Demonstration 

RD&D Goals

• Goals for next-generation fission energy systems (Generation IV) research are focused on the design of 

reactors and fuel cycles that are safer, more economically competitive, more resistant to proliferation, 

produce less waste, and make better use of the energy content in uranium.

RD&D Challenges

• Demonstrate technology for advanced concepts. 

• Develop proliferation-resistant fuel-cycle concepts. 

• Develop safety, waste, and proliferation aspects of advanced fission reactors. 

• Conduct comprehensive R&D on advanced fission reactor concepts, relying heavily on international 

collaboration.

RD&D Activities

• Federally funded development of advanced reactors and fuel cycles has been resumed in the United States, 

through the Nuclear Energy Research Initiative, the Generation IV Nuclear Energy Systems Initiative, and 

the Advanced Fuel Cycle Initiative. 

• Advanced used fuel treatment technologies are under development through the Advanced Fuel Cycle 

Initiative. 

Recent Progress 

• Advanced light water reactors have received design certification from the Nuclear Regulatory Commission. 

• An advanced boiling water reactor, which was built in less than five years, is operating in Japan. 

Commercialization and Deployment Activities 

• Generation IV Nuclear Energy Systems are projected to be ready for commercial deployment in the 

timeframe of 2020 to 2030.

Market Context 

• Indeterminate at this time. Potentially large international and domestic markets. 

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2.4.2 RESEARCH ON NUCLEAR POWER PLANT TECHNOLOGIES 

FOR NEAR-TERM DEPLOYMENT 

Technology Description 

Electricity from nuclear power generates no 

greenhouse gas emissions. To the extent that 

deployment of near-term nuclear power plants 

can address prevailing concerns, nuclear power 

can continue to be an important part of a 

greenhouse gas emissions-free energy portfolio. 

In order to enable the deployment of new, 

advanced nuclear power plants in the United 

States in the relatively near-term – within a 

decade – it is essential to demonstrate the 

untested federal regulatory and licensing

processes for the siting, construction, and 

operation of new nuclear plants. In addition, 

other major obstacles (including the initial high 

capital costs of the first few plants and the 

business risks resulting from this and the 

regulatory uncertainty) must be addressed. 

Technology development on near-term advanced 

reactor concepts that offer enhancements to 

safety and economics is needed to enable these 

new technologies to be competitive in the 

deregulated electricity market, and support energy supply diversity and security. 

The Near-Term Deployment Roadmap was issued in October 2001 and advises DOE on actions and resource 

requirements needed to support deployment of new nuclear power plants. The primary focus of the roadmap is 

to identify the generic and design-specific gaps to near-term deployment, to identify those designs that best 

promise to meet the needs of the marketplace, and to propose recommended actions that would close gaps and 

otherwise support deployment. This includes, but is not limited to, actions to achieve economic competitiveness 

and timely regulatory approvals.

System Concepts

• Advanced fission reactor designs that are currently available or could be made available with limited 

additional work to complete design development and deployment in the 2010 timeframe. 

Representative Technologies 

• Certified Advanced Light Water Reactor designs: ABWR, AP600, System 80+. 

• Enhancements to certified designs with some engineering work already completed: AP1000, ESBWR. (An 

NRC design certification rulemaking is scheduled for the AP-1000 in December 2005.) 

• Proposed light water reactor designs from overseas with potential for near-term deployment in the United 

States: ACR-700, EPR.

Technology Status/Applications 

• All near-term deployment designs are well-defined concepts in varying stages of development. Most still 

need significant detailed engineering development and/or regulatory approval. 

Current Research, Development, and Demonstration 

RD&D Goals 

• Research goals are focused on successfully demonstrating the untested regulatory processes for Early Site 

Permit (ESP) and combined Construction and Operating License (COL) processes and on the regulatory

acceptance (certification) and completion of first-of-a-kind engineering and design. 

• Specific goals include an industry decision to order a new nuclear power plant by 2008 and deployment of 

one or more new nuclear power plants in the 2010 time frame. 

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RD&D Challenges 

• Support resolution of the technical, institutional, and regulatory barriers to the deployment of new nuclear 

power plants in the 2010 time frame, consistent with recommendations in Near-Term Deployment Roadmap.

• In cooperation with the nuclear industry, demonstrate the untested regulatory processes for Early Site Permit 

and combined Construction and Operating Licenses to reduce licensing uncertainties and attendant financial 

risk to the licensees. 

• Provide for technology development to enable finalization and NRC certification of those advanced nuclear 

power plant designs that the U.S. power generation companies are willing to build. 

• Provide for development and demonstration of advanced technologies to reduce construction time for new 

nuclear power plants and to minimize schedule uncertainties and associated costs for construction. 

RD&D Activities 

• Demonstration of regulatory processes for Early Site Permit and combined Construction and Operating 

Licenses. 

• Development and NRC certification of advanced nuclear plant designs. 

Recent Progress 

• Three near-term deployment designs have been certified by the Nuclear Regulatory Commission. 

• Reactor vendors are exploring NRC certification of advanced reactor concepts. 

• The three cost-shared Early Site Permit (ESP) demonstration projects initiated with industry in FY 2002; 

power companies submitted ESP applications to the NRC for review and approval. Issuance of NRC 

approved ESPs is anticipated in calendar year 2006. 

• Two cost-shared Construction and Operating License (COL) demonstrations projects were initiated with 

power companies in FY2005, with activities leading to a decision to submit a COL application to the NRC 

in 2007. 

• A nuclear power plant cost and construction assessment to independently evaluate the cost, schedule, and 

construction methods of the Advanced Boiling Water Reactor design by GE, as well as identify promising 

improvements to the construction methods and techniques to support new nuclear power plant deployment 

in the 2010 timeframe will complete in FY 2005. 

• The Advanced Boiling Water Reactor has been deployed successfully in Japan; Advanced Boiling Water 

Reactors are under construction in Taiwan. 

Commercialization and Deployment Activities 

• At least two designs and perhaps more can be commercialized in the United States within the next decade. 

Achieving this goal will require a major effort by industry and DOE to work together to resolve open issues 

and to share the one-time costs of closing both generic and design-specific gaps. 

Market Context

• The focus of the market is in the United States. Due to the uncertainty regarding the impacts of deregulation,

designs in the 100-300 MWe range and the 1,000 MWe-plus range are both required. 

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2.4.3 ADVANCED FUEL CYCLE INITIATIVE 

Technology Description 

The Advanced Fuel Cycle Initiative (AFCI), under the leadership of DOE, is focused on developing advanced 

fuel cycle technologies, which include spent fuel treatment, advanced fuels, and transmutation technologies, for 

application to current operating commercial reactors and next-generation reactors and to inform a 

recommendation by the Secretary of Energy in the 2007-2010 time frame on the need for a second geologic 

repository. The AFCI program will develop technologies to address intermediate and long-term issues associated 

with spent nuclear fuel. The intermediate-term issues are the reduction of the volume and heat generation of 

material requiring geologic disposal. The program will develop proliferation-resistant processes and fuels for 

application to current light water reactor systems and Generation IV reactor systems to enable the energy value of 

these materials to be recovered, while destroying significant quantities of plutonium. This work provides the 

opportunity to optimize use of the nation’s first repository and reduce the technical need for an additional 

repository. The longer-term issues to be addressed by the AFCI program are the development of fuel cycle 

technologies to destroy minor actinides, greatly reducing the long-term radiotoxicity and heat load of high-level 

waste sent to a geologic repository. This will be accomplished through the development of Gen IV fast reactor 

fuel cycle technologies and possibly accelerator-driven systems 

System Concepts

• Advanced nuclear systems (fission reactors and accelerator-driven systems) that aim to reduce the lifetime of 

the waste from current-generation fission reactors to short times. 

• Advanced nuclear systems that aim to extract the full energy potential of the spent nuclear fuel from current

fission reactors, while reducing or eliminating the potential for proliferation of nuclear materials and 

technologies, and reducing the amount of waste produced. 

Representative Technologies

• Spent-fuel treatment technologies that are proliferation resistant. 

• Advanced fuel types for waste transmutation. 

• Advanced fuel types for sustained nuclear energy. 

• Accelerator-driven systems for rapid waste transmutation. 

• Advanced reactors for sustained nuclear energy. 

Technology Status/Applications

Advanced Separations

(UREX+)

Pu/Np

Reactor

(LWR/HTGR)

Gen IV Fast Reactor

(Transmuter)

Trace Pu

Trace Actinides

Fission Products

Repository

Uranium

Spent

Fuel

Recycle

Uranium

Chemical Processing & LWR/HTGR Fast Reactor Recycle

• Pu consumption and toxicity reduction

• Significant reduction in number of waste packages

• Permits significant expansion to existing repository

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• Advanced fuel-cycle development has reached the laboratory scale-demonstration stage in some cases. 

• Transmutation fuels are in early R&D stages. 

• Development of accelerator-driven systems is at the early R&D stage. 

Current Research, Development, and Demonstration

RD&D Goals

• Proving design principles of spent-fuel treatment and transmutation technologies.

• Demonstrating the fuel and separation technologies for waste transmutation. 

• Deploying Generation IV advanced fast spectrum reactors that can transmute nuclear waste. 

RD&D Challenges

• Demonstrate performance of advanced fuel cycles. 

• Demonstrate performance of advanced transmutation fuels. 

• Demonstrate technology for advanced fission reactor concepts. 

• Demonstrate feasibility and technology for accelerator-driven systems. 

RD&D Activities

• Continued development and demonstration of aqueous and electrometallurgical spent-fuel treatment 

technologies.

• Development of transmutation fuels for Generation IV reactor systems. 

• Development of technologies for accelerator-driven systems. 

Recent Progress

• Hot demonstration of several parts of the UREX+ (Uranium Extraction Plus) aqueous spent fuel-treatment 

process, including separation of high-purity uranium, cesium/strontium, plutonium/neptunium, and 

americium/curium products. 

• Irradiation tests of several transmutation fuels containing transuranic elements 

Commercialization and Deployment Activities 

• Disposal of spent nuclear fuel is a government activity in the United States. Similar spent-fuel treatment and 

transmutation technology development programs exist in France, Japan, and the United States. Development 

of treatment and transmutation technologies for use with advanced Generation IV fuel cycles will increase 

the acceptability of nuclear energy. 

• Advanced Fuel Cycle Initiative has the potential to decrease the quantity and toxicity of nuclear waste, 

possibly eliminating the need for a second geologic repository. 

Market Context 

• Technologies to improve spent-fuel disposition increase the value of keeping existing nuclear power plants 

online as well as increase the likelihood for expanded new nuclear power capacity. 

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2.5 FUSION 

2.5.1 FUSION ENERGY

Technology Description 

Fusion can be achieved using either magnetic forces to confine the hot plasma fuel or intense laser/particle

beams, which rapidly compress a pellet of fuel. Both methods use deuterium/tritium fuel. Deuterium is 

abundantly available from water, and tritium can be produced from lithium within the fusion plant. The energy

of the fusion reactions could be used to generate electricity and/or hydrogen at central power plants with no 

greenhouse gas emissions. Due to anticipated low fuel costs, electricity produced from fusion at off-peak hours 

could also be used to generate hydrogen at offsite fueling stations. 

System Concepts

• Strong magnetic fields produced by

superconducting coils confine plasmas 

with temperatures of several hundred 

million degrees Celsius. Approximately

20% of the heat from the fusion reactions 

remains in the fuel to sustain its high 

temperatures; the rest is carried out by 

neutrons and is absorbed in a surrounding

blanket that serves both as a heat source to 

produce power and as a medium for 

producing the tritium. 

• Compressed fuel pellets ignite and burn,

producing repetitive pulses of heat and 

neutrons in a reaction chamber. Like its 

magnetic counterpart, inertial fusion uses 

a blanket, which surrounds the fusion 

chamber to produce power and breed 

tritium.

Representative Technologies

• Large, high-current-density 

superconducting magnets; deuterium ion beams (energies of 100–1000 keV); plasma-facing components: 

millimeter-wave high-power microwaves; high-power, radio-frequency sources and launchers; and tritium

fueling apparatus are required for magnetic fusion. 

• Heavy ion beam accelerators; diode-pumped solid-state lasers, krypton-fluoride gas lasers, or fast Z-pinches;

and target design and fabrication technologies are required for inertial fusion. 

• Structural materials with low-activation properties will be required to fulfill the ultimate potential of fusion 

devices. Tritium generation and heat-recovery systems are other common nuclear system technologies 

required for all fusion concepts. 

Technology Status/Applications

• Moderate-sized magnetic confinement fusion experiments, with plasmas at temperatures needed for power 

plants, have produced more than 16 MW of fusion power, and more than 22 MJ per pulse. 

• A facility has been designed through an international project called ITER; which, if built, will support

scientific experiments and engineering tests for magnetic fusion burning plasma that is near commercial 

power plant scale (500 MW of fusion power, 500-2500 sec pulse length). 

• The target physics of ignition and high gain, using glass lasers, are objectives of the National Ignition 

Facility, now under construction. 

• Candidate high-efficiency, high-repetition gas and solid-state laser driver technologies for inertial fusion 

energy have been developed and demonstrated in a National Nuclear Security Administration (NNSA)-

funded program. 

Pictured above is the fusion-specific portion of a 1,000 MWe 

power plant, the result of a conceptual design study done to 

explore the scientific and technological issues associated with 

the possible reactor embodiments of fusion. 

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• Dramatic advances have been made in the diagnosis, understanding, computer simulation, and control of

magnetically confined plasmas, allowing improved designs of confinement systems and increased 

confidence in extrapolations to power plant scale. 

Current Research, Development, and Demonstration 

RD&D Goals

• Accelerate the advance of scientific understanding of fusion plasmas. 

• Determine the approaches and configurations that will take the best advantage of the newest scientific 

insights. 

• Qualify low-activation materials that meet structural and compatibility criteria. 

RD&D Challenges

• Create a self-sustaining burning plasma. 

• Develop magnetic geometries optimal for heat containment that at the same time (1) minimize technical 

complexity, (2) maximize fusion power density for good economics, and (3) operate in a continuous mode. 

• Understand target requirements for high gain; reduce the development cost of candidate drivers; and develop

long-life chambers and low-cost pellet targets. 

• Develop low-activation materials that also meet structural and compatibility criteria. 

RD&D Activities

• Coordinated worldwide magnetic fusion experimental and theoretical efforts center on understanding plasma 

behavior in toroidal magnetic fields. Fusion technology and materials development is also being pursued 

internationally. 

• The United States has joined Europe, Japan, South Korea, China, and Russia to negotiate an agreement for 

construction of ITER, a magnetic fusion-burning plasma science and engineering test facility, which is to be 

capable of operation for 500–2,500 sec with a fusion power level of 500 MW. 

• The National Ignition Facility project, funded by the National Nuclear Security Administration, will provide 

information on high-gain, single-shot pellet burn experiments for inertial fusion energy. 

Recent Progress 

• More than 10 MW of fusion power was produced in magnetically confined plasma for about 1 second, using 

deuterium-tritium fuel. 

• Improved understanding of plasma stability and turbulence has led to improved plasma performance in 

existing facilities and improved configuration designs for the future. 

• Ferritic steels show promise as a low-activation structural material for use in fusion devices. 

• The potential improvement in the efficiency in the heating of an inertial fusion pellet by the use of a second 

laser pulse at the petawatt level in a scenario called Fast Ignition has been demonstrated experimentally. 

Commercialization and Deployment Activities 

• Large central-station, electrical-generating plants based on fusion could be commercialized late in the second 

quarter of the 21st century; the timescale depends on a sustained international effort and success in that R&D.

• These fusion power plants would replace aging and polluting power generators and fill a potential 

multibillion-dollar per year market sector; they could also be used to produce hydrogen. 

• Fusion also may find use in transmutation of fissile waste products. 

• Many technologies developed for fusion are used in the commercial sector. Prominent are plasma processing 

for etching semiconductor chips, hardening of metals, thin-film deposition, and plasma spraying and lighting 

applications. Other applications from this research include medical imaging, heat-removal technologies, 

destruction of toxic waste, X-ray lithography and microscopy, micro-impulse radar, precision laser cutting, 

large-scale production of precision optics, and high-power microwave and accelerator technologies. 

• Emphasize fusion science, concept improvement and alternative approaches, and development of materials. 

• Recognize increasing importance of international cooperation as a means of building major facilities.

Market Context

• Large potential market in the United States and throughout the world.

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3.0 CAPTURING AND SEQUESTERING CARBON DIOXIDE 

3.1. GEOLOGIC SEQUESTRATION 

3.1.1 CO2 CAPTURE AND SEPARATION

Technology Description 

Fossil- and biomass-based energy conversion processes convert hydrocarbon materials (i.e., substances 

consisting mostly of carbon and hydrogen) into carbon dioxide and water while releasing energy. The goal of 

CO2 capture and separation is to produce relatively pure CO2 from these processes, preferably at pressures 

suitable for transport, storage, or reuse. 

System Concepts 

• Post-combustion capture. A chemical or physical separation process extracts CO2 from the flue gas of a 

conventional air-fired combustion process. CO2 is present in concentrations ranging from 3% to 12%. The 

focus is on technology for retrofitting or repowering existing power plants and industrial processes. 

• Oxy-fuel combustion. Pure oxygen rather than air is charged to the combustion chamber, producing a flue 

gas of CO2 and water. A portion of the CO2 is recycled and mixed with the oxygen to absorb heat and 

control the reaction temperature. 

• Precombustion decarbonization. The hydrocarbon feedstock is gasified to produce a synthesis gas made up 

primarily of hydrogen and carbon dioxide. The CO2 is separated from the hydrogen before it is combusted 

or charged to a fuel cell. 

• There are other advanced-system concepts in which fuel processing and CO2 capture are integrated into a 

single stage using, for example, membranes or reduction-oxidation agents. 

Representative Technologies 

• The conventional technology for post-combustion capture (removing CO2 from flue gas) is amine 

scrubbing. A solution of amine and water is contacted with flue gas. The amine and the CO2 undergo a 

chemical reaction forming a rich amine that is soluble in the water. The rich amine solution is pumped to a 

desorber where it is heated, reversing the reaction and releasing pure CO2 gas. The recovered amine is

recycled to the flue-gas contactor. 

• Other technologies for post-combustion capture include cryogenic distillation, membranes (polymer, 

ceramic, palladium, mine, or ionic liquid coated), carbon absorbents, sodium absorbents, hydrides, and 

lithium silicate. 

Oxyfuel Technology 

Integrates air separation, using O2 Transport 

Membrane (OTM) and oxygen combustion 

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August 2005 – Page 3.1-2 

Technology Status/Applications 

• Amine systems are used in numerous industrial applications to capture CO2 from flue gas for use as a 

commodity chemical. Cryogenic and carbon absorbent systems have been built commercially. 

• Other post-combustion capture technologies are being developed at the laboratory and pilot scale. 

Current Research, Development, and Demonstration 

RD&D Goals 

• The metrics and goals for CO2 capture research are focused on reducing the cost and energy penalty, 

because analysis shows that CO2 capture drives the cost of sequestration systems. Similarly, the goals and 

metrics for carbon storage and measurement, monitoring, and mitigation (MM&V) are focused on 

permanence and safety. All three research areas work toward the overarching program goal of 90% CO2 

capture, with 99% storage permanence at less than 20% increase in the cost of energy services by 2007, 

and less than 10% by 2012. 

RD&D Challenges 

• CO2 exists in air-combustion flue gas at low concentration, 3-12 volume percent, which makes postcombustion removal very expensive using current approaches. 

• Flue gas contains reactive impurities that can adversely affect CO2 capture systems. 

• Transport and/or storage systems may require highly pure CO2 product, which would increase cost. 

• Loss of CO2 temperature and pressure across the capture system. 

• Wide-scale application of any one capture technology will be difficult, due to real estate constraints, 

availability of pollutant-control equipment, resource limitations, and economic and load demographics. 

• Significant cost associated with compressing CO2 for transportation and storage. 

RD&D Activities 

• Laboratory-scale experiments with advanced amines, ceramic membranes, high-temperature polymer 

membranes, vortex gas/liquid separator, ammonium and sodium bicarbonate, carbon absorbents, ionic 

liquids, aqueous ammonia, and electrochemical pumps. 

• Pilot-scale tests with a novel oxy-fuel boiler, a CO2/water hydrate process, a sodium-based CO2 sorbent, 

aqueous K2CO2 promoted by piperazine, an oxygen-fired circulating fluidized bed, and a metal reductionoxidation power generation process. 

Recent Progress 

• During a short three-year period, a strong portfolio of research projects for the existing and future powergeneration fleet has been developed by DOE with more than 40% private-sector cost-share. 

• The international community has been successfully engaged through participation in the International 

Energy Association Greenhouse Gas Programme, the CO2 Capture Project with the European Commission 

and other international participants, and other collaborations with Canada, Australia, and Japan. 

• Analysis by the Carbon Sequestration Regional Partnership on the likely and probable application of 

various technologies to different point sources has been conducted and will continue in Phase II (utility and 

nonutility). 

Commercialization and Deployment Activities

• Roughly 15 Mt/yr of CO2 is captured from anthropogenic emissions sources in the United States and used 

as a commodity chemical.

Market Context 

• Development of approaches for economically decarbonizing fossil fuels will allow the carbon-free 

production of electricity and hydrogen, and will take advantage of an existing fossil fuel infrastructure that 

accounts for more than 80% of the energy consumed in the United States and internationally.
3.1.2 CO2 STORAGE IN GEOLOGIC FORMATIONS

Technology Description 

Sleipner North Sea Project 

Large amounts of CO2 (about a billion tons per year) may need to be stored as a part of a future global atmospheric 

stabilization strategy. CO2 can be injected into depleting oil fields, gas fields, and unmineable coal-bearing 

formations to enhance resource recovery. A portion of the CO2 remains underground, although current industry 

practices are geared strongly toward minimizing the CO2 left underground – and little or no attention is paid to the 

CO2 that is not recovered. R&D is focused on revamping conventional enhanced oil recovery, gas recovery, and 

enhanced coalbed methane processes so that they can serve a dual purpose: resource recovery and CO2 storage. 

Other high permeability formations filled with brine, organic-rich shale beds, and other nonconventional geologic 

structures have potentially enormous CO2 storage capacities. Research is focused on learning more about these 

formations and developing the capabilities needed to use them as CO2 repositories. 

System Concepts 

• CO2 is captured from a large anthropogenic point source, and transported and injected into a depleting oil field, 

unmineable coal seam, saline formation, depleting gas field, shale, or other geologic structure amenable to CO2

storage. There are five different mechanisms that can trap CO2 in geologic formations: 

y Structural trapping: A layer or “cap” of impermeable rock that overlies the formation of porous rock 

into which the CO2 is injected prevents upward flow of CO2. This is the mechanism that caused 

natural deposits of crude oil, natural gas, and CO2. 

y Capillary trapping: The surface of sandstone and other rocks preferentially adheres to saline water 

versus CO2. If there is enough saline water within a pore (75-90% of the pore volume), it will form

a capillary plug that traps the residual CO2 within the pore space.

y Dissolution in saline water: CO2 is soluble in saline water, and will dissolve in solution on contact. 

y Mineralization: Over longer periods of time, dissolved CO2 can react with minerals in the formation 

to form solid carbonates. There may be ways to enhance this reaction. 

y Adsorption: Coal and other organically rich formations will preferentially absorb CO2 onto carbon 

surface as a function of reservoir pressure. In some cases, such as coal beds, CO2 displaces methane,

which can be recovered to enhance economics. 

• In an oil field, the CO2 displaces the oil in place and also dissolves in the oil, decreasing the oil viscosity and 

enabling more of it to be recovered. A portion of the injected CO2 remains stored in a reservoir as a free gas, in 

brine or oil solution, or in carbonate minerals. 

• Leakage of sequestered CO2 back to the surface may occur through faults, active or abandoned wells, and 

microseepage. 

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August 2005 – Page 3.1-4 

Representative Technologies 

• Natural gas storage fields provide experience of injecting significant quantities of gas into geologic formations. 

• Technologies will borrow extensively from the petroleum industry in the areas of drilling simulation; 

completion of injection wells; processing, compression, and pipeline transport of gases, including acid gases; 

operational experience of CO2 injection for enhanced oil recovery and natural gas storage; and subsurface 

reservoir engineering and characterization. 

• Enhanced coal bed methane recovery using nitrogen. 

Technology Status/Applications 

• The Mount Simon reservoir underlying Illinois, Indiana, Michigan, Kentucky, and Pennsylvania has been 

approved for industrial waste disposal and underlies a region with numerous fossil energy power plants. 

• Industry has experience with more than 400 wells for injecting industrial wastes into saline formations. 

• The petroleum technology is readily adaptable to subsurface CO2 storage. 

Current Research, Development, and Demonstration 

RD&D Goals 

• Develop domestic CO2 underground storage repositories capable of accepting around a billion tons of CO2 per 

year. 

• Demonstrate that CO2 storage underground is safe and environmentally acceptable, and an acceptable GHG 

mitigation approach. 

• Demonstrate an effective business model for CO2 enhanced oil recovery and enhanced coalbed methane, where 

significantly more CO2 is permanently stored than under current practices. 

• Develop cost-effective methods to survey large land areas and locate zones of potential CO2 leakage. 

• Provide monitoring techniques that can reliably evaluate the stability, capacity, rate of leakage, and permanence 

of carbon dioxide stored in geologic formations. 

• Develop publicly accepted monitoring protocols. 

RD&D Challenges 

• Develop the capability to inject CO2 into saline formations with low permeability. 

• Harness geochemical reactions to enhance containment. 

• Develop injection practices that preserve cap integrity. 

• Develop an understanding of the properties of shales and other unconventional hydrocarbon-bearing formations 

that determine how they will react to CO2 injection. 

• Develop the ability to track CO2 transport. 

• Develop field practices that optimize CO2 storage and resource recovery. 

• Develop the ability to predict the CO2 storage capacity and potential resource recovery of a particular formation.

• Develop models that are able to simulate the fate and transport of CO2 in geologic formations and along 

potential migration pathways. 

• Develop the ability to track the fate and transport of injected CO2.

• Develop methods to locate well bores, with and without casing, that might potentially leak. 

• Develop surface and near-surface monitoring technologies that will allow public demonstration of the safety of 

CO2 storage. 

• Develop a better understanding of the chemistry of coal and CO2, and conduct comprehensive R&D program on 

all physical and chemical aspects of CO2 interactions with reservoir phases. 

RD&D Activities 

• Study geochemical reactions involving CO2 in a laboratory. 

• Study the natural analogs of geochemical CO2 conversion. Study rock samples from CO2 bearing geologic 

formations to better understand in situ geochemical/geobiological reactions. 

• Develop CO2 tracking technology, e.g., sonic, chemical tracers. 

• Study CO2 transport in the Sleipner Vest gas field, via the International Energy Agency’s Greenhouse Gas 

Programme. 
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August 2005 – Page 3.1-5 

• Assessment of techniques for finding abandoned wells near a potential sequestration site. 

• Develop models to simulate migration of CO2 through multiple subsurface formations. 

• Novel injection techniques to increase CO2 storage in saline formations. 

• CO2 storage in coal beds. Laboratory measurements of CO2/CH4 sorption and coal swelling under confined and 

unconfined conditions, ARI and industry consortium, commercial-scale field demonstration in the San Juan 

Basin; Consol – horizontal drilling, Alabama geologic survey, screening model for Black Warrior. 

• Apply surface and near-surface monitoring techniques such as surface CO2 flux, injection tracers in soil-gas, and 

changes in shallow aquifer chemistry for CO2 leakage. 

• Study chemical reactions involving CO2 and cement from new or existing wells as a possible source of leakage. 

• CO2 storage in oil reservoirs. Weyburn, reservoir mapping, West Pearl Queen, CO2 monitoring and simulation.

• Airborne reconnaissance of a 38,000-acre EOR/sequestration site to locate wells, faults, and other potential CO2

leakage zones. 

• Other RD&D activities in DOE, Australia, the European Union, Japan, etc. 

Recent Progress 

• Major saline formations underlying the United States have been identified. 

• Initiated a pilot-scale test of CO2 storage in a depleted oil reservoir. 

• Completed pilot-scale injection of CO2 into the Frio deep saline aquifer and field tested near-surface monitoring 

techniques. 

• Initiated several field tests with key industrial companies participating and providing cost-share: Consol Inc. 

CBM,-Appalachia ARI, CBM-San Juan Basin; Strata Production C. – Permian Basin; Pan Canadian Resources 

EOR-Canada. 

Commercialization and Deployment Activities 

• Since 1999, Statoil has been injecting CO2 at a rate of 1 Mt/yr into the Sleipner Vest gas field in a sandstone 

aquifer 1,000m beneath the North Sea. 

• About 70 oil fields worldwide use CO2 for enhanced oil recovery. 

• Another project uses CO2 from Dakota Gasification for enhanced oil recovery in the Weyburn field in Canada. 

CO2 is transported via pipeline. 

• The pipeline enables extensive use of CO2 for enhanced coal bed methane recovery in the San Juan basin. 

• There are plans for using CO2 for enhanced oil recovery in Kansas, using CO2 from ethanol production. 

• Planned test in Kansas using landfill gas for enhanced coal bed methane recovery.

Market Context

• Development of approaches for economically decarbonizing fossil fuels will allow the carbon-free production 

of electricity and hydrogen, and will take advantage of an existing fossil fuel infrastructure that accounts for 

more than 80% of the energy consumed in the United States and internationally.
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3.1.3 NOVEL SEQUESTRATION SYSTEMS

Technology Description 

In the long term, CO2 capture can be integrated with geologic storage and/or conversion. Many CO2 conversion 

reactions are attractive but too slow for economic chemical processes. 

System Concepts 

• Using impurities in captured CO2 (e.g., SOx, NOx) or additives enhances geologic storage. This is a 

possible opportunity to combine CO2 emissions reduction and criteria pollutant-emissions reduction. 

• Conducting reactions on CO2 while it is being stored underground can alleviate the problem with slow 

kinetics. 

• In situ mineralization is an important trapping mechanism, that there may be ways to enhance it. 

• Rejected heat from electricity generation and CO2 compression can help drive CO2 conversion process. 

• Air capture of CO2.

Representative Technologies 

• Capture of CO2 from flue gas and algal conversion to biomass. 

• Capture of CO2, storage in a geologic formation, and in situ biological conversion to methane. 

Technology Status/Applications 

• Conceptual. 

Current Research, Development, and Demonstration 

RD&D Goals 

• Demonstrate viable chemical or biological conversion approaches at the laboratory scale. 

• Develop robust conceptual designs for integrated capture, storage, and conversion systems. 

RD&D Challenges 

• CO2 conversion reaction kinetics are slow, energy requirements are high. 

• For biological in situ CO2 conversion, must provide food and remove waste. 

• Truly novel concepts may be required to meet the ultimate “stretch” goals of the program. Technology 

breakthroughs could come from concepts associated with areas not normally related to traditional energy 

technologies (e.g., nanotechnology). Tapping areas where current researchers do not have an energy 

mindset will require new approaches for soliciting proposals for R&D projects. 

RD&D Activities 

• Laboratory and pilot-scale experiments with biological and chemical conversion. 

• Conceptual studies of integrated systems and in situ CO2 conversion. 

Recent Success 

• Several cost-shared research projects have been initiated. 

Commercialization and Deployment Activities 

• None. 
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3.2. TERRESTRIAL SEQUESTRATION 

3.2.1 LAND MANAGEMENT 

3.2.1.1 CROPLAND MANAGEMENT AND PRECISION AGRICULTURE 

Technology Description 

Cropland management practices can increase the amount of carbon stored in agricultural soils by increasing 

plant biomass inputs or reducing the rate of loss of soil organic matter to the atmosphere as CO2. Precision 

agriculture is a form of site-specific management used to increase productivity. This approach can be adapted 

for improving soil carbon sequestration through a customized carbon sequestering management plan. 

System Concepts 

• Each production system will have its own particular set of practices that optimize carbon sequestration 

while maintaining profitable crop production. 

• Precision agriculture can be used to develop the most appropriate suite of technologies for specific sites. 

• Most agricultural soil management practices that promote carbon sequestration provide additional 

environmental and yield benefits. 

• Use of genetically modified crops to enhance yields and reduce fertilizer use. 

• Use of genetically modified microorganisms to enhance carbon uptake. 

Representative Technologies 

• Conservation tillage, especially no-till. 

• Residue management. 

• Reducing fallow. 

• Cover crops. 

• Nutrient management. 

• Manure and organic matter additions. 

• Water management. 

• Erosion control. 

• Apply advanced information technologies (e.g., global positioning systems, remote sensing, computer 

modeling) for efficient application of management treatments. 

• Herbicide-tolerant crops that advance conservation tillage. 

• Genetically modified crops that increase utilization of soil nutrients and/or fertilizer. 

• Technologies that increase agricultural productivity (e.g. by increasing yields, minimizing crop losses, 

minimizing spoilage and increasing shelf life, because each would minimize area under cultivation). 

Technology Status/Applications 

• Each of these technologies and management practices has been researched and implemented for purposes 

other than carbon sequestration (for soil conservation, erosion control, and crop yield increases). 

• Soil carbon data has been collected from hundreds of long-term field studies and used to estimate the soil 

carbon sequestration potential of different management practices. 

• Additional studies are underway to explicitly investigate the potential of various management practices to 

sequester soil carbon. 

• Technical support is available on how to implement these technologies for conservation and yieldenhancing purposes. 

• Specialized equipment for implementing management practices (no-till drills, global positioning systems, 

etc.) is commercially available. 

Current Research, Development, and Demonstration 

RD&D Goals 

• Quantify the carbon sequestration potential of each technology and management practice for various crop 

production systems, climates, and soils. 

• Develop the combinations of practices that optimize soil carbon sequestration, crop production, and profits 

for various crop production systems; soil types; and geographical areas. 
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• Determine the applicability of precision agriculture for enhancing carbon sequestration. 

• Develop decision support tools for farmers, other land managers, and policy makers that provide guidance 

for land-management decisions. For example, create databases that answer questions about how changing 

from one land-use practice to another will affect carbon sequestration, production, and profits. 

RD&D Challenges 

• Measuring and monitoring procedures need to be improved for accurate, low-cost, more-efficient 

determination of cropland soil carbon status. 

• Increasing cropland soil carbon without increasing emissions of other greenhouse gases, especially nitrous 

oxide and methane. 

• Research on the effect on carbon sequestration of specific management practices, climate and weather 

factors, soil properties, and cropping systems is needed to develop recommendations and improve models 

and decision support tools. 

Recent Progress 

• Research programs have been established in the USDA (Carbon Cycle Component of Agriculture Research 

Service’s Global Change National Program), Consortium for Agricultural Soils Mitigation of Greenhouse 

Gases, DOE Office of Science (Carbon Sequestration in Terrestrial Ecosystems project - CSiTE), DOE 

Office of Fossil Energy, and U.S. Geological Survey to conduct research on soil carbon sequestration. 

• More data are becoming available to improve the quantification of the cropland carbon sequestration. 

• Preliminary models and decision support systems have been developed. 

• Research on precision agriculture has been initiated. 

Commercialization and Deployment Activities 

• Carbon sequestration markets are being developed. 

Market Context 

• Ranges from 10%-80 % of cropland acreage. 
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3.2.1.2 CONVERTING CROPLANDS TO RESERVES AND BUFFERS 

Technology Description 

Converting croplands to other less-intensive land uses such as conservation reserve and buffer areas increases 

soil carbon because soils are not subjected to tillage and other disturbances that lead to soil carbon losses. 

System Concepts 

• Conversion of croplands to reserves and buffers provides environmental benefits by removing potentially 

degradable land from production, but competes with crop production needs and markets. 

• Reserves receive minimal long-term management and may be converted back to cultivation. 

• Soil carbon can be rapidly lost if reserves or buffers are converted back to cultivation. 

• Reduce land under cultivation, which then would directly or indirectly free up land for conservation 

purposes. 

Representative Technologies 

• Conservation Reserve Program. Converts cropland in environmentally sensitive areas to grass or forest 

land for a contractual time period (e.g. 5-15 years). 

• Riparian Buffers. Land adjacent to streams is converted from cropland into grass and forest land. 

• Technologies that increase agricultural productivity (e.g. by increasing yields or minimizing spoilage and 

increasing shelf life, because each would minimize area under cultivation. 

Technology Status/Applications

• Almost 34 million acres of land have been entered into the Conservation Reserve Program as of 2002. 

Current Research, Development, and Demonstration 

RD&D Goals 

• Quantify the carbon sequestration potential of buffer and reserve programs for various climates and soils. 

• Develop the combination of practices (e.g., plant species, siting, establishment practices) that optimize 

carbon sequestration and minimize production losses for various types of reserves and buffers. 

• Develop decision support tools for farmers, other land managers, and policy makers to inform which areas 

to put into reserves and the relative costs and benefits of different land conservation approaches, both in 

terms of carbon sequestration and production. 

RD&D Challenges 

• Improve measuring and monitoring procedures for accurate, low-cost, efficient carbon inventories. 

• Determine the effects of conservation reserves on non-CO2 greenhouse gases. 

• Develop the optimal combination of practices for each system for each area of the country and soil type. 

• Develop better models and decision support systems. 

Recent Progress 

• Estimates of the potential for reserve and buffer area soils to sequester soil carbon have been published and 

provide a baseline for future activities. 

• DOE’s Carbon Sequestration in Terrestrial Ecosystems project is investigating carbon sequestration in 

prairie restoration. 

• Ongoing programs have been established in USDA to promote and assist in buffer and conservation 

reserve programs. 

• Preliminary models and decision support systems have been developed. 

Commercialization and Deployment Activities 

• USDA has an established Conservation Reserve Program and riparian buffer program. 

• Technical support is available from USDA on how to implement technologies and practices. 

Market Context 

• The market for implementing land conservation through reserves and buffers will be driven by other 

conservation priorities such as erosion control and water quality, and crop commodity prices. 

• Possible synergies with developing markets for ecosystem services. 
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3.2.1.3 ADVANCED FOREST AND WOOD PRODUCTS MANAGEMENT 

Technology Description 

Advanced forest and wood products management represent large carbon sequestration opportunities that can 

also produce other environmental benefits, such as improved water quality and habitat. The application of 

advanced technology can improve forest and wood product management in these areas: (1) data collection, 

assimilation, and analysis, (2) design, development, and management of forest systems, and (3) deployment of 

acceptable operations. Potential technologies include information systems for collecting and using increasingly 

detailed site-specific data. Traditional silvicultural tools are integrated with newer technologies to better design 

and manage forest production. In addition, these systems provide for improved understanding, control, and 

manipulation of woody tree growth, resource requirements and acquisition, and microbial processes that 

control carbon, water, and nutrient flows. Energy-efficient, low-impact systems can be used to apply treatments 

optimized to achieve specific resource outcomes. Durable wood products in use and wood disposed of in 

landfills can provide a mechanism to allow forestlands to continually add to and increase the amount of 

sequestered carbon. Advances in developing wood products, substitutions, recycling technologies, and wood 

waste management provide pathways to increase carbon sequestration. These systems provide an integrated 

capability to improve environmental quality while enhancing economic productivity by increasing energy 

efficiency, optimizing fertilization and other site treatments, and conserving and enhancing soil and water 

resources. 

System Concepts 

• Global positioning, measurement infrastructure, and remote and in situ sensors for soil, plant, and 

microclimate characterization and monitoring. 

• Process-based growth models, data, and information analysis. 

• Variable-rate application control systems and smart materials for prescription delivery. 

• Advanced management systems for wood products in use and in landfills and advanced wood products 

development. 

• Low-impact, energy-efficient access and harvest systems. 

Representative Technologies

• Integrated forest carbon dynamics, inventory, modeling, and prediction systems. 

• Global positioning satellites and ground systems, satellite and aircraft based remote sensing, in situ 

electrical, magnetic, optical, chemical, and biological sensors. 

• Advanced information networking technologies; autonomous control systems; selected and designed 

genetic plant stock; materials responsive to soils, plants, moisture, pests, and microclimates. 

• Biological and chemical methods for plant and microbial process manipulation. 

• Wood product development, substitution, and management pathways. 

Technology Status/Applications

• Many first-generation precision technologies can be used in silvicultural systems, especially in plantations with 

little modification. Application to mixed-age and/or mixed-species forest types will require additional research. 

LIDAR, IKONOS, and RADAR remote-sensing methods are being tested for 3-D imaging of forest structure. 

Nonimaging Synthetic Aperture RADAR (SAR) is being tested for measuring bole volume at a landscape scale. 

• Information management and networking tools; rapid soil monitoring and characterization sensors; tree 

stress and growth sensors; systematic integration of all technologies are not yet available for application to 

silvicultural projects. 

• Understanding of soil nutrient processes exists in the forestry, energy, and university research communities. 

• Further advances are required to understand the relationship between nutrient cycling and carbon assimilation 

and allocation. 

• The capability exists for genetic characterization performance testing of plant stocks, developing smart 

materials, and methods for microbial manipulation. 
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August 2005 – Page 3.2-5 

Current Research, Development, and Demonstration 

RD&D Goals 

• Technologies that improve silviculture operation efficiencies and reduce energy consumption from road 

building to milling processes and transportation. 

• Economic and biophysical modeling to better understand the economics of achieving certain GHG 

mitigation goals through tree planting and improved forest management. 

• Remote and field deployed sensors/monitors and information management systems for accurate, real-time 

monitoring and analysis of plant growth, soils, water, fertilizer, and pesticide/herbicide efficiency. 

• Smart materials for prescription release. 

• Advanced fertilizers and technologies to improve fertilizer efficiency and reduce nitrogen fertilizer inputs. 

• Methods of manipulating system processes to increase efficiency of nutrient availability and uptake to 

increase CO2 uptake and sequestration and reduce emissions. 

• Wood product management and substitution strategies. 

• Initial systems models and prototype operation on major plantation types by 2007. 

• Deploy first-generation integrated system models and technology by 2010. 

RD&D Challenges 

• Site-specific silviculture requires advances in rapid, low-cost, and accurate soil nutrient and physical 

property characterization; real-time water and nutrient demand characterization, photosynthesis and 

allocation characterization, and insect and pest infestation characterization; autonomous control systems; 

and integrated physiological model and data/information management systems, as well as efficient, lowimpact access and harvest systems. 

• Smart materials that will release chemicals based on soil and plant status depend on breakthroughs in 

materials technology. 

• Improved understanding of forest processes is required to support development of management systems. 

• Couple plant physiology and soil process models and improving the temporal resolution of process 

representation. 

• Improve understanding of the pathways by which methane is produced and consumed in soils, and by 

which nitrate is reduced to gaseous nitrogen, which is required to support scaling trace gas emissions. 

• Research on sensors, information sciences, materials, and above- and below-ground forest processes. 

RD&D Activities

• Efforts are underway in both public and private sectors. 

• Sponsors include USDA, universities, forest industry, DOE (Office of Science and Office of Fossil 

Energy), and National Aeronautics and Space Administration. Principle funding is from USDA, Forest 

Service, and forest industry. 

Recent Progress 

• Improved planting stock with better quality wood formation and resistance to insects and diseases. 

• Management systems for the efficient production of wood and other valuable products. 

• Research programs are in place that can (1) provide an inventory of carbon stocks; (2) understand 

biological processes; (3) model and predict climate impacts and management strategies, and (4) develop 

effective, low-cost management systems. 

• Partnerships have development among government, university, and private research organizations to better 

understand, develop, and implement good management practices for carbon sequestration. 

• The USDA and DOE are formally collaborating in the Biobased Products and Bioenergy research program 

to develop more ways to store carbon or use renewable bioenergy to offset carbon emissions. 

Commercialization and Deployment Activities 

• High-quality planting stock is commercially available. 

• Fertilization systems for irrigation and nutrient delivery to individual trees are commercially available. 
U.S. Climate Change Technology Program – Technology Options for the Near and Long Term 

August 2005 – Page 3.2-6 

Market Context

• Development of energy-efficient, low-impact equipment for all forest operations. 

• Market for improved planting stock for feedstock production. 

• Market entry for resource-efficient durable wood products as substitutions for more energy-intensive 

products in building. 

• Expansion of wood energy feedstocks. 

• Potential demand for carbon accounting in forest and wood product production nationally and internationally. 

• The market for energy-efficient forest production systems is substantial, nationally and internationally. 
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3.2.1.4 GRAZING MANAGEMENT 

Technology Description 

Most grazing land soils can sequester carbon with alternative management technologies and practices. These 

practices increase the amount of carbon in the soil by increasing biomass production and reducing the amount 

of carbon lost to erosion. The production of methane by domestic ruminants also can be reduced. Methane 

production depends on the quality of forage ingested and the efficiency of the digestive process – and can be 

reduced with improved diet and the use of supplements. These practices increase production efficiency while 

reducing methane emissions. Environmental and production benefits are high in all cases. 

System Concepts 

• Increasing carbon storage on grazing lands depends on implementing management technologies (e.g. fire, 

grazing, seeding) to achieve an appropriate mix of plants that optimize the use of available sunlight, water, 

and nutrients in biomass production. 

• Pasturelands use more fertilizer and water than rangelands, and mesic rangelands have a relatively high 

sequestration potential. 

• Nitrous oxide emissions from fertilizer application on pastures can be dramatically reduced by split 

applications or applications when plants are actively growing. 

• Reduction of methane production by ruminant animals has been demonstrated in grazing systems where 

improved diet quality and herd management practices have been implemented. In addition, organisms in 

grassland soils decompose methane into the less-potent greenhouse gas CO2 and water. 

Representative Technologies 

• Alternative grazing practice. 

• Livestock herd management. 

• Vegetation management. 

• Water management. 

• Erosion control. 

Technology Status/Applications 

• Each of these technologies has been researched and implemented for purposes other than carbon 

sequestration, primarily conservation. 

• These technologies have generally been demonstrated to be economically feasible. 

• Some soil carbon data has been gathered while these practices were investigated for their conservation and 

yield benefits. 

Current Research, Development, and Demonstration 

RD&D Goals 

• Construct quantitative models that describe site-specific interactions among grazing systems, vegetation, 

soil and climate, and the effects on greenhouse gas dynamics. 

• Develop and optimize the combination of practices that maximize carbon sequestration for various grazing 

systems and geographical areas. 

• Develop decision support tools for ranchers, technical assistance providers, and policy makers to inform 

the relative costs and benefits of different grassland management scenarios for carbon sequestration and 

other conservation benefits. 

• Demonstrate and refine decision-support tools through pilot projects. 

RD&D Challenges 

• Develop and implement measurement and monitoring technologies and protocols with sufficient site 

specificity and acceptable cost-benefit ratios. 

• Determine the effectiveness of practices and systems in sequestering carbon. 

• Quantify the effects of land and livestock management on carbon sequestration and CO2, methane, and 

nitrous oxide emissions across a variety of climates, soils, and production systems. 

• Address difficulties in quantifying and verifying additional GHG reductions from grazing-land systems for 

use in accounting regimes. 
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Recent Progress 

• Estimates of the potential for range and pastureland soils to sequester soil carbon have been published and 

provide a baseline for future activities. 

• Development of the Pasture Land Management System (PLMS) decision-support tool, a joint project of 

EPA, National Resources Conservation Service, and Virginia Tech. 

• Research programs already have been established in the USDA Agricultural Research Service, Natural 

Resources Conservation Service, Land Grant Universities, DOE Office of Science, and U.S. Geological 

Survey to study soil carbon sequestration. 

• New technologies for the measurement of greenhouse gas fluxes have been developed. 

Commercialization and Deployment Activities 

• USDA has provided technical assistance to landowners for implementing these technologies. 

• Commercial application of grazing land restoration has been successful but is limited in extent. 

Market Context 

• Virtually 100% of rangeland and grazing lands could increase carbon storage. 
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3.2.1.5 RESTORATION OF DEGRADED RANGELANDS 

Technology Description 

Degraded rangelands have low levels of soil carbon and diminished potential for biomass production to 

increase storage, but represent potentially large carbon sinks. Degradation is usually the result of inappropriate 

management, especially during extended periods of drought or unusual weather events. Symptoms of 

degradation include poor soil cover, dominance of undesirable species, low soil quality, or, in the extreme, 

topsoil erosion. In many arid and semi-arid rangelands, the cost of restoring land may far exceed the potential 

returns from livestock production. In addition, restoration technologies are unreliable in environments where 

precipitation is unpredictable. In more mesic areas, many rangelands are occupied by invasive species, which 

may be native or exotic. Technologies for managing invasive species to increase carbon storage in rangelands 

are expensive and require significant investment as well as careful post-treatment management. 

• Increasing carbon storage on degraded arid and semi-arid rangelands depends on reestablishing vegetation 

in areas that have lost productivity. 

• In many cases, soil may be intact, but beneficial microbial activity has been lost and must be restored 

simultaneously with vegetation reestablishment. 

• In more mesic areas, rangeland degradation is due largely to the dominance of invasive species. The 

association between increased competition of shrubs and carbon fluxes and other greenhouse gas emissions 

in rangelands is poorly understood and very difficult to manage. 

Representative Technologies 

• Reestablishment of vegetation. 

• Vegetation management. 

• Restoring soil function. 

Technology Status/Applications 

• Each of these technologies has been researched and implemented for purposes other than carbon 

sequestration, primarily to prevent erosion and conserve soil. 

Current Research, Development, and Demonstration 

RD&D Goals 

• Gain reliable understanding of the relationship between soil microbes and vegetation establishment and 

growth in arid and semi-arid areas. 

• Develop low-cost, reliable technologies for the restoration of vegetation on degraded arid and semi-arid 

rangelands. 

• Improve decision support for the application of low-cost technologies, such as fire, to control invasive 

species and to reduce greenhouse gas emissions from mesic rangelands. 

• Develop seed production technology to produce low-cost seeds for reestablishing desired rangeland 

species. Currently costs are high and seed supply is limited for many cultivars. 

• Develop new risk management and liability tools for use in prescribed burning systems on rangelands. 

RD&D Challenges 

• Measuring and monitoring procedures need to be improved for accurate, efficient, and low-cost 

determination of range and pasture land soil carbon status and determination of the effectiveness of carbon 

sequestration practices. 

• Integrate complex and multisource data to develop better models and decision support systems. 

• Develop more accurate estimates of the impacts of these management practices on soil carbon, particularly 

for the purpose of monitoring carbon sequestration following management adjustments. 

• Develop new technologies to restore semi-arid and arid rangelands suffering from degradation, including 

soil-quality microbe interactions. 

Recent Progress 

• Estimates of the potential for range and pastureland soils to sequester soil carbon have been published and 

provide a baseline for future activities. 

• Research programs already have been established in the USDA Agricultural Research Service, Natural 
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August 2005 – Page 3.2-10 

Resources Conservation Service, Land Grant Universities, DOE Office of Science, and U.S. Geological 

Survey to study soil carbon sequestration. 

• New technologies for the measurement of greenhouse gas fluxes have been developed. 

• New herbicide technologies and fire management practices have the potential to reduce the high costs 

associated with pretreating restoration sites. 

Commercialization and Deployment Activities 

• While current costs of rangeland restoration are high, restoration is likely to be economically feasible if 

there is demand for carbon sequestration. 

• Currently, the cost of most seeds is high for species and varieties that are needed in grazing land 

restoration. 

• USDA has provided technical assistance to landowners for implementing these technologies. 
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3.2.1.6 WETLAND RESTORATION, MANAGEMENT, AND CARBON SEQUESTRATION 

Technology Description 

Wetlands, including coastal zones, estuaries and marshes, northern tundra and peatlands, total about 2.8 x 109 

ha, about 7% of the Earth’s land surface and 11.6% of the United States. Wetlands present an important 

opportunity for carbon sequestration and greenhouse gas offsets by virtue of their potential for restoration using 

known and innovative land management methods. Equally important is protection of wetlands in northern and 

temperate latitudes from carbon loss with global warming. Because they are inherently highly productive and 

accumulate large below-ground stocks of organic carbon, restoring lost wetlands and protecting those that 

remain clearly represents an immediate and large opportunity for enhancing terrestrial carbon sequestration. 

System Concepts 

• Wetlands are inherently among the most productive ecosystems on earth, with 7% of total land area 

contributing 10% of global net primary productivity. 

• Climatic condition is the single most important factor in determining success in protecting carbon stored in 

existing wetlands. Fire, permafrost melt, sea-level rise, and more frequent droughts will affect wetlands. 

• Carbon sequestration can be enhanced through application of proven engineered wetlands technology. 

Representative Technology or Practices 

• Restoration of riparian zones, estuaries and tidal marshes, mangrove forests, bottomland hardwood forests 

and other wetland systems. 

• Management of periodically flooded rice fields and floodplains. 

• Protection of existing wetlands, in particular, peatlands, bogs, and other northern latitude wetlands that 

might otherwise become large sources of GHG emissions. 

Technology/Practice Status and Application 

• Limited data exist as to the actual quantification of sequestered carbon by wetland type and location. 

• Wetland restoration has centered on wildlife habitat, water quality improvement, erosion control, shoreline 

restoration, but not carbon sequestration. 

• Efforts to manage northern wetlands in danger of becoming massive sources of carbon to the atmosphere 

do not exist. 

Current Research, Development, and Demonstration 

RD&D Goals 

• Evaluate the extent to which various management practices on restored wetlands have enhanced carbon 

sequestration. 

• Delineate and quantify carbon stocks in U.S. wetlands by region and type. 

• Assess the vulnerability of wetland carbon stocks to human activity and climate change. 

• Develop and demonstrate integrated management strategies for wetland carbon sequestration. 

• Identify wetland areas most likely to be impacted by climate change and prioritize areas for protection. 

RD&D Challenges 

• Quantify carbon accrual in wetlands to enable better estimates of their potential for carbon sequestration in 

coming decades.

• Identify cost-effective management approaches and technologies to mitigate loss of carbon from wetlands 

in northern latitudes.

• Construct and verify models that couple hydrology, ecosystem processes and carbon sequestration.

• Devise workable fire management techniques for wetlands that are compatible with wildfire suppression 

strategies.

• Addressing difficulties in quantifying and verifying additional GHG reductions for use in accounting 

regimes.

RD&D Activities 

• Ongoing research to evaluate wetland restoration methods. 

• Demonstration projects are ongoing in select regions, including the lower Mississippi River valley and 

delta with mixed results. It has proven difficult to recreate native wetland vegetation assemblages. 
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August 2005 – Page 3.2-12 

Recent Progress 

• Wetland loss and degradation has been recognized and new programs implemented to regulate 

development activities that adversely affect wetland functions. Loss of wetlands in the 1990s was 80% 

lower than the 1980s. 

• The U.S. Department of Transportation has established a goal of replacing 1.5 acres for every acre of 

wetland impacted within 10 years. 
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3.2.1.7 CARBON SEQUESTRATION ON RECLAIMED MINED LANDS 

Technology Description 

Hundreds of thousands of hectares of lands are disturbed by extracting minerals, particularly coal, in the 

United States annually. Topsoils are generally removed prior to mining, resulting in loss of soil organic 

matter. Stockpiling of the topsoil until it is needed for reclamation of the mined lands also results in a loss of 

soil organic matter through decomposition with only limited inputs. These degraded lands have a significant 

potential to sequester carbon once revegetated to grasslands, pastures, cropland, or forest; and, because the 

land is currently nonproductive, additional GHG benefits are relatively easy to demonstrate. 

System Concepts 

• Climatic condition is the single most important factor in determining revegetation success. 

• Nearly 1.6 million acres in the Unites States have been affected by mining operations, and are currently 

classified as Abandoned Mined Lands. The soils at these abandoned mining sites only marginally support 

regrowth of trees and vegetation in the absence of direct management, resulting in erosion and runoff into 

receiving tributaries. 

• Carbon sequestration by these mined lands can be enhanced with organic amendments such as biosolids, 

sawmill residues, feedlot wastes, and other organic or inorganic byproducts that result in enhanced 

nutrient status or improved physical characteristics of the restored soil. 

Representative Technology or Practices 

• Grassland, cropland, and forest restoration on reclaimed or abandoned mine lands. 

Technology/Practice Status and Application 

• Limited data exist as to the actual quantification of sequestered carbon by reclaimed mined lands. 

• These lands should have the potential to sequester carbon at a rate similar to degraded croplands. 

• Organic residues have been used on reclaimed mine lands, generally to dispose of the residue rather than 

consider its benefits in carbon sequestration. 

Current Research, Development, and Demonstration 

RD&D Goals 

• Quantify carbon sequestration on reclaimed mined lands to enable better estimates of the potential of this 

large land area to sequester carbon. 

• Evaluate the extent to which various management practices on reclaimed mined lands enhance carbon 

sequestration (i.e., measure the effects of organic and inorganic residues, grazing, plant biodiversity, and 

various shrubs and trees on soil carbon). 

• Establish the role of various plant community attributes in carbon sequestration in semi-arid regions of the 

United States. 

• Partner with private organizations and the public sector to sequester carbon and restore impacted lands. 

• Develop demonstration projects that promote carbon sequestration and other collateral benefits as primary 

goals of mine reclamation. 

RD&D Challenges 

• Establish a sequence of studies across variable climatic zones to adequately address the soil variables, 

plant community attributes, and response of amendments to the various climatic conditions and 

management scenarios. 

• Changing current industry practices, which encourage compaction of soils. 

RD&D Activities 

• Ongoing research in the eastern U.S. mining regions evaluates the impacts of planting trees and 

establishing grasses to reclaim mined lands, and provides estimates of the potential carbon sequestration 

from these practices. 

• Researchers are revising growth and yield models to determine the optimal time of harvest for maximum 

carbon sequestration. 

• Field demonstrations in Kentucky and Virginia are reforesting Abandoned Mined Lands, sponsored 

through the DOE/FE Sequestration Program. 
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Recent Progress 

• Community-based environmental groups are working with coal and utility companies to reclaim impacted 

lands, forming successful partnerships. 

• Department of Interior, Office of Surface Mining reforestation initiative. Formal agreements between 

NETL and OSM to produce primer on reforesting mined lands. Active involvement and collaboration 

between DOE/FE and OSM with industry involvement through the Electric Power Research Institute. 
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3.2.2 BIOTECHNOLOGY 

 3.2.2.1 BIOTECHNOLOGY AND SOIL CARBON 

Technology Description 

Biotechnology can be used to affect soil carbon by altering the chemical composition of plants and that of 

microorganisms that control plant decomposition. Plant chemical composition affects the amount of carbon 

transformed into more stable organic matter (such as humus) when plant biomass decomposes in the soil. Soil 

microorganisms determine the soil carbon compounds that are formed during residue decomposition. 

System Concepts 

• Roots and wood that have relatively high lignin content are more readily converted into stable soil organic 

matter than are plant components with high cellulose and hemicellulose content. Cellulose and hemicellulose 

are more readily decomposed by soil microbial respiration and released to the atmosphere as CO2. 

• Soil microorganisms that control plant decomposition also produce chemical precursors to stable organic 

compounds. Thus, genetic modifications that increase soil microorganism production of these chemical 

precursors could potentially affect soil carbon content. 

• Use of genetically modified crops to enhance yields and reduce fertilizer. 

Representative Technologies 

• Plants already have been modified using biotechnological methods for herbicide resistance, to produce an 

insecticide, and to produce vitamin A precursors. 

• Microorganisms have been bioengineered to produce novel compounds (e.g., insulin) and to biodegrade 

recalitrant compounds present in hazardous wastes. 

• Herbicide tolerant crops that advance conservation tillage. 

• Genetically modified crops that increase utilization of soil nutrients and/or fertilizer. 

• Technologies that increase agricultural productivity (e.g., by increasing yields or minimizing spoilage and 

increasing shelf life, because each would minimize area under cultivation). 

Technology Status/Applications 

• Biotechnology has successfully produced modified plants and microorganisms, but it has not been used to 

modify plants or microorganisms to enhance soil carbon sequestration. 

• This technology may be better suited for biomass/bioenergy crops than traditional food and feed crops because 

of the close compatibility between plant characteristics and desired biomass/bioenergy crop properties. 

Current Research, Development, and Demonstration 

RD&D Goals 

• Identify the traits needed in plants and microorganisms to increase soil carbon sequestration capacity. 

• Determine the feasibility of using biotechnology to modify the traits of plants and microorganisms that can 

affect soil carbon sequestration. 

• Develop systems for monitoring nontarget environmental affects associated with plant modifications. 

• Develop methods to incorporate genetically modified plant and microorganisms into cropland and 

conservation reserve and buffers systems. 

• Develop guidance for farmers, other land managers, and policy makers for using carbon sequestration 

biotechnology products. 

RD&D Challenges 

• Because biotechnology has not yet been used to enhance soil carbon sequestration, the feasibility of this 

approach is unknown. In particular, specific genetic traits affecting carbon sequestration capacity need to 

be evaluated to determine whether few or many genes are involved and how modifications to these traits 

might also impact crop yields. 

• Estimate the costs of bioengineered plants and microorganism, which may be prohibitive for farmers, 

ranchers, and other managers. 

• Determine whether modified microorganisms can compete with native microflora. 

• Address the general concern of introducing genetically modified organisms into ecosystems because of 

their potential to disrupt natural ecosystem processes. 
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Recent Progress 

• Biotechnology has been used to successfully modify plants and microorganisms for other purposes.

• DOE sequenced the poplar genome and supports research to understand the genomic basis for carbon 

allocation above and below ground in poplar.

Commercialization and Deployment Activities 

• Both private companies and public research agencies have biotechnology products in commercial markets. 

• Regulatory procedures are in place for release of genetically modified organisms. 

• The private sector will support the development of carbon sequestration biotechnology if the market is 

large enough. 

Market Context 

• Difficult to estimate until feasibility research is conducted. 
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3.2.3 IMPROVED MEASUREMENT AND MONITORING 

3.2.3.1 TERRESTRIAL SENSORS, MEASUREMENTS, AND MODELING 

Technology Description 

Agricultural lands (cropland, pasture, rangeland) represent potentially large and cost-effective sinks for 

atmospheric carbon, if management technologies can be applied in the right place at the right time. 

Management to increase carbon sequestration requires the development of more sophisticated, lower-cost 

measurement systems and models for integrating multiple data sources into a decision-making context. 

System Concepts 

• In the past, management of soil carbon and greenhouse gas (GHG) emissions has not been a primary 

management goal in agriculture. Consequently, efforts to develop rigorous quantification systems at 

multiple scales (local, regional national) are relatively recent, but are rapidly developing. 

• Methods exist to accurately and precisely measure soil carbon and GHG concentrations and fluxes. 

However, most conventional methods were developed for local measurements. Plot and field applications 

and numerous samples must be analyzed for accurate and precise values. 

• Models (particularly computer simulations) of soil carbon and GHG dynamics exist and several are in 

widespread use and have been extensively tested against research data. Their development and use in 

inventories, policy assessment, and decision-support environments is only recent. 

• Emergence of new sensing technologies (i.e. laser, infrared, multispectral video) and computing power 

capable of handling large amounts of information has spawned a new generation of instruments, databases, 

and computer models. 

• There is a rich collection of resource data on factors determining soil carbon and GHG dynamics in 

croplands, e.g., survey data on management practices, crop areas and yields, soil maps, land cover, and 

irrigation. Much of the data is spatially referenced and can be used to drive stimulation models and 

interpolate/extrapolate measurements. Similar data exists for grazing lands, with the exception of type, 

distribution, and extent of different management practices for which information is currently sparse. 

Representative Technologies 

• Instruments to measure GHG fluxes among soils, plants, animals, and the atmosphere. 

• Models to integrate spatial and temporal variability into a decision context. 

• Easily accessible, interactive distribution systems of quantification technologies that integrate measurement 

and modeling approaches. 

Technology Status/Applications 

• New sensors, instruments, measurement systems, models, and distribution systems are emerging, but 

integrated systems of information collection, retrieval, management, manipulation, and processing to aid 

decision making in complex and diverse agricultural environments have yet to be developed. 

• Integrated information management and the physical sciences now have the capacity to provide vastly 

improved information to land managers and policy makers to improve the amount of carbon stored in 

grazing land soils. 

Current Research, Development, and Demonstration 

RD&D Goals 

• Develop a new generation of sensors and instruments to measure GHGs and their fluxes in situ across a 

wide variety of agricultural ecosystems. 

• Develop cost-effective soil carbon probes for in situ measurement of soil carbon content (as opposed to 

fluxes) that can be made both before and after implementation of management changes to validate impacts 

on sequestration. 

• Determine time and cost-efficient sampling and monitoring designs to support national inventories and 

project level GHG mitigation activities. 

• Combine measurement technologies and ecological process models to make reliable predictions (and verify 

them) regarding the impact of management on GHG dynamics. 

• Integrate near real-time climate information into process models as a driver. 
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• Distribute site-specific information to farmers, ranchers, and technical assistance providers to aid in 

making more realistic decisions. 

RD&D Challenges 

• High spatial and temporal variability results in very complex situations that must be measured and 

modeled. Data sources will be multisource and large. 

• Successful implementation will require substantial improvements in the ability of field staff and land 

managers (farmers and ranchers) to use complex information. 

Recent Progress 

• Laser-induced breakdown spectroscopy instrument to measure soil carbon in situ for less than 10% of the 

lab costs of other methods with comparable reliability. 

• Mid-range infrared spectroscopy to measure soil carbon and forms. 

• Near-infrared spectroscopy technology and Nutritional Balancer software to accurately predict livestock 

diet quality based on fecal analysis. 

• Biophysical models have been developed to integrate spatial and temporal variability in soils into a 

predictive framework for making estimates of changes in soil carbon in response to climate and 

management. 

• Satellite and low-altitude remote-sensing technologies have been developed that can quantify cropland and 

grassland features at a spatial resolution of less than 0.5 m2

. 

• Internet distributed site-specific information systems that integrate near real-time weather predictions, land 

condition, and land-cover classes have been developed. Such tools provide ready access to information 

used in developing decision tools and in dynamic models as inputs. 

• Decision-support systems are being developed that can integrate information to evaluate implications of 

various management decisions. 

Commercialization and Deployment Activities 

• Markets in precision agriculture and decision-support consultation are potentially large. 

• Technical basis of instruments, models, and information systems is proven, but their systematic 

deployment to solve complex problems remains unexplored. 
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3.2.3.2 MEASURING AND MONITORING SYSTEMS FOR FORESTS

Technology Description

Forest systems provide a significant carbon sink and can contribute to GHG emissions. To mitigate GHG 

effects, advanced technology is needed to measure and monitor forest and wood product processes, pools, and 

fluxes to better manage these systems to reduce and mitigate emissions, and to enhance carbon sinks. 

Measurement systems should be integrated using a multitiered approach combining national inventories, 

remote sensing, land-based measurements, and intensive monitoring on experimental sites. 

System Concepts 

• Forest GHG inventory and measurement systems cover broad temporal and spatial scales, include various 

methods and technologies, and rely on direct measurements at the site and remote scales, as well as 

interpolation and expansion of observations to nonmeasureable pools and fluxes. No single inventory 

system provides the comprehensive coverage across all scales.

• An advanced measurement and monitoring system would combine national inventories, remote-sensing 

data, regional and site studies and measurements, experimental data, and modeling capabilities into a 

comprehensive observational and analysis system. 

Representative Technologies

• The USDA Forest Service’s Forest Inventory and Analysis Program and the Natural Resources 

Conservation Services’ National Resources Inventory provide the basis for a national carbon inventory and 

annual changes in carbon pools for forest, pastures, and croplands. 

• Wide range of technology such as global positioning systems, satellite and aircraft based remote sensing, in 

situ electrical, magnetic, optical, chemical, and biological sensors, and scientific instruments. 

Technology Status/Applications

• LIDAR and RADAR remote-sensing methods are being developed and tested for 3-D imaging of forest 

structure. Additional work is needed to integrate remote and land-based measurements. 

• Low-cost, portable, real-time measurement systems are not available for soil monitoring and other in situ 

measurements. 

Current Research, Development, and Demonstration 

RD&D Goals 

• Technology advances are needed in (1) enhanced remote-sensing data collection and analysis, (2) 

expansions and enhancements of extensive inventories systems for large-scale, landscape, and integrated 

resource measurements, (3) in situ instrumentation and monitoring systems for intensive monitoring, (4) 

specialized measurement and characterization systems for soils, and (5) integrating measurements and data. 

• Reduce uncertainty associated with the national carbon inventory by improving coverage of national 

inventories and analyses of changes. 

• Develop understanding of underlying processes of biological and ecological processes in order to develop 

improved monitoring systems and use systems to validate models for mitigation actions. 

• Improve and develop low-cost, portable, real-time sensors and measuring systems for in situ measurements. 

• Provide integration and systems design of remote sensing and ground-based carbon pool and GHG fluxes 

measurements technology using multitiered system. 

RD&D Challenges 

• National inventory systems were not designed for carbon and other GHG measurements and have not been 

adequately supported to develop complete wall-to-wall, comprehensive inventories of carbon pools and 

fluxes among the pools and atmosphere. 

• There is little understanding of forest soil processes in the storage and allocation of carbon. This 

information is paramount for the development of management systems and practices that enhance carbon 

sequestration. 

• The broad range of required scales, cover types, and ecosystems will require the development of (1) remote 

sensing integrated with other measurements at various levels of coverage, duration, and intensity, and (2) 

low-cost, robust measurement systems that can effectively be used at different scales. Sites covered need to 
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August 2005 – Page 3.2-20 

be expanded as part of extensive monitoring and intensive measurement systems. 

• A great wealth of information and data will be acquired by enhanced measurement and monitoring systems. 

Advances are needed in the technology to manage, process, translate, analyze, and transform this 

information into predictive and decision-making tools. 

• Develop measuring and monitoring systems for carbon pools in wood products in use and in landfills. 

RD&D Activities

• Efforts are underway to improve carbon inventory systems and reduce the uncertainty of our national 

inventory. 

• Improvements are being made in remote sensing, senor, instrumentation, and measuring system technology 

through Federal, university, and private collaboration. 

• Current technology needs to be more fully deployed; and new, innovative technology should be piloted and 

demonstrated to accelerate deployment. 

Recent Progress 

• The USDA Forest Inventory and Analysis Program assesses the U.S. forest structure and condition and is 

the basis for our nation’s carbon inventory in concert with information provided by the National Resource 

Inventory. Periodic national carbon inventories have been produced using this data. 

• The AmeriFlux network is being completed, which will improve the understanding of carbon pools and 

fluxes in large-scale, long-term monitoring areas and intensive experimental sites. 

• Research programs are in place that can (1) provide inventory of carbon stocks, (2) understand and quantify 

biological processes, (3) model and predict climate impacts and management strategies, and (4) develop 

effective, low-cost management systems. 

• Partnerships have developed among government, university, and private research organizations to improve 

greenhouse gas measurements. 

Commercialization and Deployment Activities 

• Global positioning systems are currently in use and can provide geo-references for carbon measurements. 

• Current technology is not fully deployed; efforts are needed to demonstrate and increase the efficiency of 

such technologies. 

• Specialized remote sensing technology is being developed and will be deployed in the near term for the 

measurement of greenhouse gas emissions and carbon stocks. 

• A comprehensive, integrated, multiple-tier measuring and monitoring system needs to be fully developed 

and deployed. 

Market Context

• Improved technology for carbon measurements can provide security in credit trading. 

• Enhanced measurement systems can provide input for the optimal design, deployment, and management of 

forest and wood product systems that will provide additional carbon sequestered and ancillary benefits. 
3.3 OCEAN SEQUESTRATION 

3.3.1 OCEAN SEQUESTRATION – DIRECT INJECTION

Technology Description

Ocean sequestration technologies strive to reduce carbon emissions by injecting captured CO2 into the ocean, 

rather than releasing it into the atmosphere. The captured CO2 is concentrated, and then pressurized into a liquid 

state. The physical chemistry of CO2 is such that at high pressure and low temperatures (which exist at depth in 

the ocean), the CO2 molecule reacts with seawater wrapping itself in a cage of water to form a solid compound 

much like ice (clathrate). This reaction profoundly changes its behavior. However, there are significant 

environmental questions that need to be examined. 

System Concepts 

• CO2 is captured from a large point source of anthropogenic emissions production, transported, and injected

into the ocean via pipeline or tanker. 

• CO2 molecules react with seawater wrapping themselves in cages of water to form solid compounds, much 

like ice (clathrates). 

Representative Technologies 

• Technologies will potentially be borrowed from the petroleum industry in the areas of drilling simulation 

and wells; processing, compression, and pipeline transport of gases; and operational experience of CO2

injection. 

Technology Status/Applications 

• The injection technology is technically ready for adaptation for mid- to deep-ocean injection. However, 

technology is not ready for deployment. This is due to insufficient data detailing hydrate interactions with 

marine community structure, as well as knowledge gaps about physical and chemical behavior concerning 

dispersion and transport of hydrate plume by ocean chemistry and circulation. 

Current Research, Development, and Demonstration

RD&D Goals 

• Demonstrate that CO2 direct injection is safe and environmentally acceptable. 

• Improve global circulation simulation by including more accurate biology modules. 

Sketch of various ocean CO2 disposal options (left). Structure of a CO2 hydrate (right). 

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RD&D Challenges 

• Develop field practices that optimize CO2 direct-injection retention times. 

• Develop the ability to predict plume effects on marine organisms. 

• Develop the ability to track the fate of directly injected CO2. 

• Develop a better understanding of the CO2 chemistry in ocean waters, and its effects on indigenous 

organisms, e.g. hypercapnia (effects of elevated CO2 levels), and acidification of plume waters (depressed 

pH). 

RD&D Activities 

• Key DOE activities are targeted to determine physical, chemical, and biological impacts of direct injection. 

• Conduct an appropriate-scale field experiment to adequately assess unit operations and potential impacts on

marine environment at a sufficient scale downstream of injection zone. 

• Formulate future experiments to evaluate ecological community effects (long term) and the total impact on 

the ecology of multiple regions of deep oceans. 

• Develop other small-scale field experiments to understand fundamental biogeochemical cycles. 

• Current expenditures for field experiment estimated to be $6 million.

Recent Progress 

• A survey cruise of Hawaiian biology occurred during the summer of 1999. 

• Small-scale release (one liter) at 3,600 m off the California coast demonstrating hydrate formation.

• Properties of hydrate formation determined in lab utilizing high-pressure, low-temperature reaction vessels.

• Conducted 10-day cruise off Loihi seamount (Hawaii) during December 2002, to determine effect of natural 

analogues of CO2 on amphipod community in vent waters.

• Measured in situ penetration of added CO2 into the seabed at 3,200 m depth (2004-2005)

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3.3.2 OCEAN SEQUESTRATION – IRON FERTILIZATION 

Technology Description 

It is hypothesized that the rate of

carbon dioxide fixation by

microscopic plants called

phytoplankton that live in the

surface waters of the oceans may

be limited by the availability of 

iron. In particular, field 

experiments in high nutrient, low 

chlorophyll (a measure of plant 

biomass) ocean waters such as

Southern Ocean and the Equatorial

Pacific have shown that addition of 

iron increased the rate of removal 

of carbon dioxide through the 

process of photosynthesis. Th

carbon dioxide has thus been 

incorporated into plant biomass 

(phytoplankton), some of which 

will sink to deeper waters (export) where it may be sequestered for a period of time. Industry has develo

strong interest in using iron fertilization as a potentially low cost technology to offset carbon dioxide em

Many fundamental questions, however, remain as to the long-term effectiveness and potential environmental 

consequences of this carbon se

the

e

ped a

issions. 

questration strategy. 

System Concepts 

• Iron chelate “fertilizer” is mixed into the ocean via vessel propellers. The release stimulates phytoplankton 

bloom. 

• The phytoplankton bloom increases the rate of carbon fixation or photosynthesis, thus reducing the levels 

of carbon dioxide dissolved in the surface waters, which increases the uptake of atmospheric CO2 by those 

surface waters (the CO2 gradient gets bigger, so the flux into the ocean should increase). Having converted 

carbon dioxide to plant biomass, some of the phytoplankton will sink to deeper waters where the carbon 

will be sequestered. 

Representative Technologies 

• Technologies will be borrowed extensively from the unit operations of the maritime industry and existing 

instrumentation systems. 

Technology Status/Applications 

• Three previous research demonstrations have been performed. The Southern Ocean Iron Fertilization 

Experiment (SOFEX) occurred in January-February 2002. This research, which was cofunded by the 

National Science Foundation and the Department of Energy, aimed to quantify carbon export – that is, how 

much carbon sinks to deeper waters, after fertilization with iron. The major goal was to quantify the extent 

of export production of carbon. 

Current Research, Development, and Demonstration 

RD&D Goals 

• Determine whether iron-induced phytoplankton blooms result in the vertical flux (transport) of carbon from

the surface waters (export production) to the deep waters. 

RD&D Challenges 

• Determine the overall short-term environmental consequences of release of iron as iron chelate. 

• Determine the long-term consequences of iron enrichment on the surface water community, midwater 

community, and ocean processes. 

• Determine the best proxy for carbon. 

IRON CHELATE

CONCEPT OF IRON FERTILIZATON

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August 2005 – Page 3.3-3
• Quantify the efficiency of the long-term storage of carbon. 

RD&D Activities 

• Continue data reduction from SOFEX cruise. 

• Determine magnitude of carbon export from surface layer from SOFEX. 

• Prepare for proposal selection from current solicitation. 

Recent Progress 

• Previous cruises of research vessels IRONEX I and II, and SOIREE, confirmed the stimulation of 

phytoplankton bloom by the addition of iron chelate. 

• Measurements of vertical profiles of carbon indicated that some of the additional phytoplankton 

contributed to the stream of sinking organic carbon. 

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4.0 REDUCING POTENTIAL FOR CLIMATE EFFECTS OF NON-CO2

GREENHOUSE GASES 

 4.1 METHANE EMISSIONS FROM ENERGY AND WASTE 

 4.1.1 ANAEROBIC AND AEROBIC BIOREACTOR LANDFILLS 

Technology Description 

In recent years, bioreactor landfills have gained recognition as a possible innovation in solid-waste management. 

The bioreactor landfill is generally defined as a municipal solid-waste landfill, designed and operated in such a 

manner that liquids are added to the waste mass to accelerate the decomposition of the waste. There are currently 

two bioreactor processes – anaerobic and aerobic. Hybrids employ both methods. The primary difference 

between the two is that, in anaerobic bioreactors, a key objective is to enhance the generation of landfill gas (i.e., 

methane), by minimizing oxygen infiltration, over a shorter period of years; whereas, in aerobic bioreactors, the 

objective is to minimize landfill gas generation overall by introducing oxygen into the waste mass. Both 

methods utilize leachate recirculation and/or supplemental liquid non-hazardous waste addition as a means to 

control and enhance moisture levels within the landfill, thereby increasing decomposition and enhancing landfill 

gas production. 

Current Research, Development, and Demonstration

RD&D Goals

• The first commercial full-scale anaerobic and aerobic bioreactor technology was operational in 2002. The 

goal is to have three-five commercial full-scale demonstration units operational by the close of 2006. 

• Environmental, public-health impacts, and design and operational issues need to be further evaluated. 

• Undertake a program of market penetration 2007−2012. 

RD&D Challenges

• No long-term, full-scale commercial application demonstrated. 

• Environmental, public-health impacts, and design and operational issues need to be addressed.

• A regulatory barrier to the deployment of the bioreactor landfill is the Resource Conservation and Recovery 

Act (RCRA) Subtitle D that prohibits the addition of liquids to a waste management unit from outside the 

unit (40 CFR 258.28). Supplemental liquid addition is critical to the operation of the bioreactor landfill. 

• The construction and operation/maintenance and costs associated with bioreactor landfills are not fully

known. 

Landfill bioreactor cell, Yolo County, California

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RD&D Activities 

• At the present time, bioreactor landfills are in the early stages of full-scale field testing. In the United States, 

early work on anaerobic bioreactors began in the mid-1980s at landfills in Sonoma County and Mountain 

View, California. 

• Currently, over ten anaerobic and aerobic bioreactor projects (including hybrids) are in various stages of 

deployment or demonstration. The Environmental Protection Agency (EPA) Project XL program is 

currently implementing and evaluating five bioreactor landfills and developing a database to track and 

record information on bioreactor landfills. EPA also funded the development of a bioreactor operations 

training manual and training course. 

• On March 22, 2004 EPA revised the Criteria for Municipal Solid Waste Landfills (MSWLF) to allow states 

to issue research, development, and demonstration (RD&D) permits for new and existing MSWLF units and 

lateral expansions. This rule will allow Directors of approved state programs to provide Municipal Solid 

Waste RD&D permits for new and innovative landfill technologies, such as bioreactor landfills. 

• In 2001, DOE’s National Energy Technology Lab funded a study of the Yolo County Pilot Bioreactor 

Landfill Demonstration (9,000-ton test cell and 9,000-ton control cell) to study new ways to capture 

greenhouses gases from the bioreactor landfill. 

Recent Progress 

• Results from the Yolo County pilot-scale demonstration project showed production of landfill gas in the 

anaerobic cell was more than six times that of the normal range expected. A tenfold increase in methane 

recovery rate was observed compared to conventional landfills, which suggest a tenfold reduction in interval 

of methane generation. The biodegradation rate of the waste was increased thus decreasing the waste 

stabilization and composting time (5-10 years) relative to what would occur within a conventional landfill 

(30 or more years). 

• Benefits include: 

− Subtitle D established a “dry tomb” sanitary landfill approach to municipal solid-waste disposal, where waste 

is placed and maintained in dry conditions to minimize potential leachate and gas generation and release. A 

concern of the “dry tomb” landfill is that the waste may pose a threat to public health and the environment 

well beyond the prescribed 30-year, post-closure maintenance period because the natural decomposition 

process is retarded. Should the “dry tomb” landfill containment be compromised, significant generation and 

release of leachate and gas could occur well beyond the post-closure maintenance period. In a bioreactor 

landfill, controlled quantities of liquid are added and circulated through waste to accelerate the natural 

biodegradation and composting process of the waste. The bioreactor landfill process may significantly 

increase the biodegradation rate, such that the waste may be stabilized in a relatively short period of 

time (5-10 years). 

− Reduction in air-pollutant emissions, especially criteria pollutants and methane early in the 

decomposition process when landfill gas is collected and combusted. 

− The anaerobic bioreactor may increase gas yields to favor more economical utilization projects in the 

earlier years of the landfill life while reducing the greenhouse gas burden in the subsequent years. Gas 

generation during conventional landfilling techniques occurs over long periods of time (more than 30 

years). 

− Aerobic technology (i.e., methane elimination) could become a prime candidate technology for landfills 

in the United States and elsewhere that cannot generate landfill gas in sufficient quality or quantity to 

economically recover the associated energy. In addition, the technology also could be considered as a 

follow-on technology for energy-recovery projects at landfills that are no longer producing methane at 

economically valuable levels. 
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Commercialization and Deployment Activities 

• Several companies, including the largest waste management company in the United States, are working with 

states and the EPA to demonstrate bioreactor technology. 

Market Context

• Municipal solid-waste landfills represent the largest human-made source of methane emissions in the United 

States (approximately 32%), and account for approximately 55% of waste disposal. 

• All new municipal solid-waste landfills constructed in the United States are potential markets.

• Based on the preliminary findings from several bioreactor demonstration projects, landfill gas recovery costs 

on a $/MMBtu basis will be lower for a bioreactor landfill than for a conventional landfill. The cost 

reduction could be 25%-50%, depending on how bioreactor costs are allocated. 
4.1.2 CONVERSION OF LANDFILL GAS TO ALTERNATIVE USES

Technology Description 

Conversion to compressed natural gas (CNG) and liquefied 

natural gas (LNG): Use of landfill gas to produce CNG and 

LNG for vehicle use has gained interest because: (1) it provides 

an alternative use for landfill gas projects that cannot use all of 

the gas recovered; (2) rising fuel prices; and (3) increasingly

stringent diesel emission regulations require use of alternative 

fuel vehicles. Use of CNG and LNG has been recognized for its 

environmental benefits because it is a cleaner-burning fuel 

relative to gasoline and diesel fuel, especially for NOx and 

particulate matter (PM) emissions. 

Pipeline quality gas and CO2 production: Since landfill gas is 

about half CO2 and half methane, separation of these two gases 

can generate two separate sources of revenue – commercial 

CO2 and pipeline-quality (high-Btu) methane. Since methane is 

the chief constituent of natural gas, the methane from landfills, 

once cleaned and processed, can be fed into existing natural gas distribution networks. CO2 separated from 

landfill gas can be processed to high-purity (food grade) liquid CO2; coalbed, oil, and gas enhancement; 

wastewater treatment; dry cleaning; or for the production of dry ice; or to promote plant growth in greenhouses.

Conversion to methanol and ethanol: Landfill methane has been successfully converted to methanol and ethanol, 

both renewable fuels that produce fewer emissions than gasoline. Landfill gas can be converted to methanol and 

ethanol for use as a chemical feedstock, hydrogen production, or as a vehicle fuel or fuel additive. 

System Concepts

• Conversion to CNG/LNG: In general, to produce LNG from landfill gas, the removal of corrosive trace 

impurities is accomplished through the use of phase separators, coalescing filters, and impregnated\nonimpregnated activated carbon adsorbents. Next, a zeolite adsorbent removes remaining polar molecules 

(specifically water) to a concentration of a few parts per million. Oxygen also must be removed at this point, 

if present in more than trace quantities. The resultant gas then enters a cryogenic purifier where the carbon 

dioxide is separated out, leaving a high-grade LNG product consisting of 90%-97% methane. The remainder 

of the LNG is dissolved nitrogen. Conversion to CNG is a similar process and therefore not addressed here.

• Pipeline quality gas production: Landfill gas must be processed to increase its energy content and to meet 

strict standards for oxygen, hydrogen sulfide, moisture, carbon dioxide, and non-methane organic 

compounds. The landfill gas also must be free of environmentally unacceptable substances and must be 

pressurized to the pressure of the pipeline to which the gas production facility is interconnected. 

• Conversion to methanol and ethanol: Nearly all methanol produced today is made from natural gas. Ethanol 

is produced primarily from biomass feedstocks. Similar to conversion to CNG/LNG, landfill gas is an 

alternative, renewable feedstock.

Representative Technologies 

• Conversion to CNG/LNG: Thermal regenerative purification system.

• Pipeline quality gas production: At least three processes are employed to upgrade landfill gas to pipeline 

quality – membrane separation process, molecular sieve (pressure swing adsorption), and absorption process 

using a liquid solvent. 

• CO2 production: Triple-point crystallization and the use of cold liquid carbon dioxide. 

• A CO2 wash technology removes contaminants from landfill gas. The resultant clean stream of methane and 

CO2 can be used as medium Btu gas or can be further refined into products such as CNG/LNG production,

pipeline quality gas, and methanol.

Landfill gas to compressed natural gas vehicle 

refueling station, Los Angeles, California 

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Technology Status/Applications

• Conversion to CNG/LNG: To date, five landfill gas-to-CNG and LNG projects have been successfully 

demonstrated worldwide. Los Angeles County, California, has operated a CNG project at Puente Hills 

Landfill for more than five years. The CNG plant produces 3,500 psi natural gas equivalent as fuel for 

several pieces of landfill equipment (e.g., water truck). The first landfill gas-to-LNG pilot plant recently 

completed initial performance testing at the Burlington County Landfill in New Jersey. Landfill gas is being 

converted to LNG to fuel two solid waste collection vehicles. By 2006, the first commercial landfill gas-toLNG production and fueling facilities are planned for landfills in California (2) and Pennsylvania (1). 

• CO2 production: Triple-point crystallization has been demonstrated. Use of cold liquid carbon dioxide is 

under development.

• Pipeline quality gas production: Eight projects that convert landfill gas to high-Btu (pipeline-quality) gas are 

currently in operation throughout the United States. An additional four projects are currently under 

construction, and three are in the planning stage

• Conversion of landfill gas to methanol and ethanol for use as a vehicle fuel or as a chemical feedstock has 

been investigated in the United States since the early 1980s. At least one methanol synthesis project using 

LFG is planned. 

Current Research, Development, and Demonstration 

R&D Goals 

• Conversion to CNG/LNG: Monitor performance of LNG conversion technology application on landfill gas 

and converted vehicle performance; development of additional commercially available LNG vehicles (e.g., 

solid waste collection trucks); and development of distribution/fueling infrastructure. 

• Pipeline quality gas production: Develop cost-effective separation technology applications. 

• CO2 production: Evaluate and demonstrate technologies for producing commercial carbon dioxide. 

• When technologically feasible and cost competitive, LFG could offset natural gas consumption for the 

production of methanol and hydrogen. 

RD&D Challenges

• Conversion to CNG/LNG: No commercial-scale, landfill gas-to-LNG facility is currently operational. Major 

drawbacks to using CNG in motor vehicles include the limited driving range of vehicles because of fuel 

storage capacity constraints. For both CNG and LNG, another limitation has been the availability of fuel 

dispensing facilities. In addition, the cost to convert vehicles from diesel to CNG/LNG is prohibitive. 

• Pipeline quality gas production: The cost of the landfill gas clean-up technologies is such that this 

application is only feasible at the largest landfills (which produce greater quantities of landfill gas), where 

economies of scale can make projects cost-effective.

• CO2 production: Costs to recompress the CO2; the need to remove trace contaminants to meet purity 

requirements for food-grade use; and nontechnical hurdles, such as public perception of a food product 

developed from landfill gas. 

• The major obstacle facing methanol and ethanol production from landfill gas has been the overall economics 

of the conversion technology and lack of suitable markets for the end product. 

RD&D Activities 

• Pipeline quality gas production: A study was recently completed under a EPA funded grant to investigate 

conversion of methane for pipeline gas production and CO2 injection into coal seams beneath a landfill in 

West Virginia.

• CO2 production: Field tests were conducted on producing commercial CO2 from landfill gas at the Al Turi 

Landfill in Goshen, New York, with a grant from DOE's National Energy Technology Laboratory. A DOE 

Small Business Innovation Research grant helped fund a demonstration project to convert landfill gas into 

methane for fuel cell electric generation and pure carbon dioxide to stimulate greenhouse crop growth. 

Brookhaven National Laboratory is supporting a study that will remove landfill gas contaminants and 

produce LNG for vehicle fuel and liquid CO2 from raw LFG at the Burlington County Landfill in New 

Jersey. 
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Recent Progress 

• Pipeline quality gas production: Eight projects that convert landfill gas to high-Btu (pipeline-quality) gas are 

operating in the United States. An additional four projects are under construction and three are in the 

planning stage. 

• CO2 production: Klickitat Public Utility District in Oregon will generate carbon offsets by use of landfill gas 

to produce green electricity. The project is expected to produce 2.1 MW of electricity and 13 ton/day of CO2 

while removing contaminants such as sulfur compounds, volatile organic compounds, and siloxanes. 

• Under a recently completed Small Business Innovation Research Phase II grant from DOE, Acrion 

Technologies Inc. successfully demonstrated the Liquid CO2 Wash Process with a pilot-scale system at the 

Al Turi Landfill in Goshen, New York, and at the Burlington County Landfill in New Jersey.

• The first commercial-scale application of the Liquid CO2 Wash Process is under development at a landfill in 

Ohio.

Commercialization and Deployment Activities 

• Currently, few companies manufacture the landfill gas-to-LNG conversion technology. 

• Commercial technologies exist for upgrading LFG to high Btu gas production; however this application is 

only feasible at the largest landfills. 

• Available methanol and ethanol conversion technology is limited and not currently cost effective.

Market Context

• Conversion of landfill gas to LNG or CNG may be ideally suited for medium- to large-scale landfills, 

especially with existing gas collection systems. Municipalities and private-sector companies that maintain 

medium- and heavy-duty vehicles (buses, trash collection, postal service, etc.) – especially in metropolitan 

areas – represent important markets. Trash collection vehicles average approximately 25,000 miles a year 

and get 3 miles per gallon of diesel fuel.

• Commercial CO2 markets include food and beverage and other industrial applications. 

• Pipeline gas and hydrogen production from large landfills.
4.1.3 ELECTRICITY-GENERATION TECHNOLOGIES FOR LANDFILL GAS

Technology Description 

Several emerging alternative electricity-generating 

technologies have significant potential for landfill gas. Fuel 

cells and microturbines are technologies that are available in 

small incremental capacities, have short lead times from

planning to construction, and have lower air emissions than 

other, larger-scale, generation technologies. The modularity of 

these technologies makes them ideal for use on landfill gas; by

adding or removing units, project size can be adjusted to 

match landfill gas production. Stirling-Cycle engines – closedcycle “hot air” engines – are adaptable for use with landfill 

gas, are highly efficient, and have low emissions as compared 

to reciprocating engines. The Organic Rankine Cycle (ORC)

engine is a process that uses an organic fluid (rather than 

steam) in a closed cycle to convert thermal energy, such as an 

engine or flare burning landfill gas into mechanical energy

resulting in essentially no air emissions. The ORC may 

represent a technically feasible alternative for electrical 

generation using landfill gas. 

System Concepts

• Fuel cells generate electricity through an electrochemical process in which the energy stored in a fuel is 

converted directly into electricity, thus avoiding the need for combustion. These units can run on hydrogen 

that is produced from the methane content in landfill gas and use oxygen from the ambient air. Landfill gas 

cleanup is an important issue as fuel cells employ catalysts that could be fouled by trace compounds in

landfill gas. 

• The microturbine is a derivative of the much larger combustion turbines employed in the electric power and 

aviation industries. Microturbines spin at much faster speeds than traditional combustion turbines. 

• Both fuel cells and microturbines generate a significant amount of thermal energy that can be easily captured 

for use (i.e., hot water/steam), thus increasing the total efficiencies of these units. 

• In the Stirling engine, gas is contained in a continuous, closed volume that is divided into hot and cold regions.

The size of the volume is periodically varied to compress and expand the gas. Heating and cooling are 

accomplished by periodically transferring working gas between the hot and cold regions. Since the engine derives

its heat from an external source, almost any type of fuel (e.g., landfill gas) or combustible material can be used. 

• The Organic Rankine Cycle (ORC) engine is a process that uses fluid in a closed cycle to convert thermal 

energy, such as a engine or flare burning landfill gas, into mechanical energy (e.g., electricity). 

Representative Technologies 

• Microturbines currently on the market use air bearings rather than traditional mechanical bearings in order to 

reduce wear. Combustion air and fuel are mixed in a combustor section, and the release of heat causes the 

expansion of the gas. Hot gas is sent through a gas turbine that is connected to a generator. Units are 

normally equipped with a recuperator that heats combustion air using turbine exhaust gas in order to 

increase the unit’s overall efficiency. Combustion air is compressed using a compressor that is driven by the 

gas turbine. Use of landfill gas requires gas compression.

Technology Status/Applications

• Several types of fuel cells using different electrolytes are either available or under development. The four 

basic electrolyte types are: (1) phosphoric acid, which is commercially available and has been demonstrated

commercially on landfill gas; (2) molten carbonate, which has also shown promise for landfill gas use; (3) 

solid oxide; and (4) proton exchange membrane (polymer-membrane). 

• The microturbine is a recently commercialized technology. Sixteen microturbine projects (10 megawatts) are 

Three 30-kW microturbines are in use at a 

landfill in Burbank, California, to generate 

electricity.

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operational, and at least one additional project is under construction. 

• Since January 2003, the first successful demonstrations of 2-25 kW and 10-25 kW Stirling-Cycle engines 

using landfill gas are operational at two landfills in Michigan. A Stirling engine also became operational in 

March 2005 at a landfill in Texas to supply electricity to a biodiesel project. 

• Since 2004, two Organic Rankine Cycle demonstration projects have been operational at landfills in Texas 

and Illinois. The project in Austin, Texas, captures waste heat from a LFG flare and uses it to generate 200 

kW of electricity. The Danville, Illinois, project involves exhaust heat recovery from three LFG-fired 

reciprocating engines to generate 200 kW of electricity. 

Current Research, Development, and Demonstration 

RD&D Goals

• Evaluate and demonstrate use of landfill gas as a fuel source for fuel cells and appropriate and costcompetitive cleanup technologies. 

• Demonstrate long-term performance of microturbines on landfill gas, improve component corrosion 

protection, and develop larger microturbines. 

• Demonstrate Stirling-Cycle and Organic Rankine engines at additional landfills; and evaluate technical (e.g., 

O&M), economic, and environmental considerations by 2006. 

RD&D Challenges

• For fuel cells, developing cleanup technologies for landfill gas that are adequate but not cost prohibitive. 

• For microturbines, dealing with potential fouling and failure of the turbine unit from silica or other 

components in landfill gas, and potential corrosion and excessive wear of components due to constituents 

found in landfill gas. In addition, microturbines are not currently cost competitive with traditional 

reciprocating engines. The total cost of power production, based on net power output and assuming 

retirement of the capital cost during 10 years at an interest rate of 10%, would be $0.07−$0.14/kWh ($0.04-

$0.06 for recip. engine). 

• High cost to demonstrate Stirling engine and Organic Rankine engine; no commercial-scale units have been 

designed or demonstrated. 

• Continued testing and commercialization of fuel cell and microturbine technologies. 

• Technologies/processes to pretreat landfill gas prior to introduction to fuel cells and microturbines. 

• Development of larger microturbines (i.e., greater than 75 kW). 

• Development of larger Stirling engines and continuing to test Stirling and Organic Rankine Cycle 

technologies. 

RD&D Activities 

• EPA-funded phosphoric acid fuel cell demonstration on LFG in California; the same system was also 

demonstrated in Connecticut. DOE/EPRI funded a molten carbonate fuel cell on LFG; EPA funded a study 

to evaluate LFG cleanup technologies for use with fuel cells; and a DOE small-business innovative research 

grant funded a demonstration converting LFG to methane for fuel cell use. 

• Three microturbine demonstration projects with landfill gas have been completed since October 1999 – a 

75-kW unit in New Mexico and California, and a 30-kW unit in California. In 2000, EPA funded a 

demonstration of a microturbine on landfill gas in Oregon. In 2001 and 2002, EPA funded two additional 

microturbine demonstration projects in Virginia and Vermont to test new microturbine technologies. 

• Today, one manufacturer is developing commercially viable Stirling engines versions for landfill application 

(up to 250 kW). One manufacturer is developing a commercially viable Organic Rankine engine for landfill 

application (200 kW). 

• Since 1999, the Salt River Project (led by DOE and a municipal utility located in Phoenix, Arizona) is 

demonstrating the operation of the first thermal hybrid-electric sundish. This technology combines solar 

thermal heliostats and a Stirling cycle engine using landfill gas (dual “fuel” Stirling cycle engine). 
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Recent Progress 

• A 200 kW phosphoric acid fuel cell is currently operating on landfill gas from the Braintree, Massachusetts, 

landfill. 

• Microturbines have been demonstrated to operate on landfill gas with a low methane content, and have 

demonstrated NOx emissions less than one-tenth those of the best performing reciprocating engines

• Demonstration of the first thermal hybrid-electric sundish (combines solar and Stirling cycle engine using 

landfill gas) has been running successfully since 1999. 

• Since January 2003, the first successful demonstrations of 2-25 kW and 10-25 kW Stirling cycle engines 

using landfill gas are operational at two landfills in Michigan. 

Commercialization and Deployment Activities 

• Phosphoric acid fuel cells are commercially available today, and many are installed worldwide. Most are 

using fuels other than landfill gas, but this type of fuel cell has been successfully demonstrated on landfill 

gas. Molten carbonate fuel cells have been operated on landfill gas – as well as a variety of other fuels – and 

this type of fuel cell looks particularly promising for landfill gas application due to its tolerance of CO2 . 

• At least two companies manufacture and sell microturbines for landfill gas applications (30 kW – 200 kW); 

16 commercial microturbine projects (10 megawatts) fired by landfill gas have been operational since 

January 2002. 

• Several landfill gas pilot-plant studies have been conducted for Stirling technology, and two ORC pilot 

projects are operational. 

Market Context

• A market for these technologies exists wherever there is a need for electricity generation capacity. 

Hundreds of thousands of landfills and open dumps exist worldwide, all of which generate some amount of 

methane that could be used as a local energy resource for communities. Efforts to improve the cost 

effectiveness of these technologies will allow for greater landfill market development. 
4.1.4 ADVANCES IN COAL MINE VENTILATION AIR SYSTEMS 

Technology Description

Gassy underground coal mines emit more than 35 million tonnes (metric tons) of CO2 equivalent (MtCO2e) of 

methane through their ventilation shafts. Until recently, because of the very low concentration (typically below 

1%) of methane in ventilation air, coal operators had no technically proven option to recover this gas for its 

energy value. However, during the past decade, technologies have been developed and adapted that offer the 

promise of mitigating most of these emissions at low cost. One family of technologies being developed is the

catalytic and thermal flow reversal reaction of ventilation air methane. These technologies may use up to 100% 

of the methane from ventilation shafts, and the byproduct heat may be used for the production of power or to

satisfy local heating needs. Another prospective technology allows for the direct use of air mixed with down to 

1% methane to produce power in gas turbines. This approach may require enriching the concentration of the air 

flow but may be a lower capital cost means of producing power. 

System Concepts

Flow Reversal Reactors 

Both catalytic and thermal-flow reversal technologies employ the principle of regenerative heat exchange 

between a gas and a solid bed of heat-exchange medium. Ventilation air flows into and through the reactor in 

one direction, and its temperature increases until the methane is oxidized. Then the hot products of oxidation 

lose heat as they continue toward the far side of the bed, until the flow is automatically reversed. 

• Thermal reactors operate above the auto-ignition temperature of methane (1,000oC). Catalytic reactors 

reduce the auto-ignition temperature significantly. 

• Both types of reactors produce heat, which, through use of heat exchange technologies, may be transferred 

for local heating needs or for the production of power in steam or gas turbines. 

Lean Fuel Turbines 

• Some lean-fuel turbine concepts employ catalysts to aid the combustion. 

• Others take place in an external combustor without catalysts but at a lower temperature than with normal 

turbines. 

• Depending on the methane concentration, these technologies may use ventilation air for more than 80% of

all fuel if concentrations are high, or less than 20% with low concentrations. 

Representative Technologies 

• Thermal-flow reversal reactors require a higher auto-ignition temperature that may require more 

sophisticated heat-exchange technologies. 

Ventilation air methane equipment (Megtec Vocsidizer) in

Australia. (Courtesy of BHP Billiton Ltd). 

Lean fuel turbine running off of ventilation air methane and

drained gas. (Courtesy of Energy Developments Ltd.)

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• Catalytic flow reversal reactors have a lower auto-ignition temperature that may make heat exchange less 

costly, but they require catalyst material. 

• Lean-fuel turbines under development include microturbines and larger scale turbines. 

• Ancillary uses for ventilation air methane exist, such as the use of some ventilation air methane as the 

combustion air for power projects. This approach is technically straightforward and commercially proven, 

but the greenhouse gas reduction potential is limited. 

Technology Status/Applications

• The Environmental Protection Agency (EPA) has identified and evaluated two specific flow reversal 

reaction technologies. Based on laboratory and field experience, both technologies may sustain operation 

with ventilation air with methane concentrations as low as 0.1%. 

• These reactors have been applied for oxidation of volatile organic pollutants and have been successfully 

tested at small scale with ventilation air methane. In addition, the thermal reactor has been tested at fieldscale in Australia. The first commercial thermal oxidation project is in development and should in operation 

by the fourth quarter of 2005. Both thermal and catalytic flow reversal technologies may be used for the 

simple oxidation of methane (reducing methane emissions); and for the heat product, which may be used for 

production of power, direct heating or cooling. 

• The EPA is working with technology vendors to identify viable lean fuel turbines and to improve their 

applicability for real-world ventilation air methane projects and identifying sites and partners for field 

demonstration. The EPA is also exploring an array of technologies for the use of ventilation air methane. 

Current Research, Development, and Demonstration 

RD&D Goals

• First commercial-scale field unit to demonstrate oxidation-only in 2005, and in the US in 2006 and 2007. 

• First commercial-scale field unit to demonstrate oxidation and heat recovery (power) in 2007 and 2008. 

• A program of market penetration to be undertaken 2005-2010, ultimately leading by the end of the program 

to the majority of ventilation air methane emissions mitigated.

RD&D Challenges

• The first commercial-scale thermal oxidation unit is expected to be in operation by fourth quarter 2005 in 

Australia, but there have not been any commercial-scale catalytic oxidation unites designed or demonstrated 

on a field or commercial scale. 

• Heat-recovery technologies must be adapted from other industries for application at mine ventilation shafts. 

• Safety design issues need to be addressed.

RD&D Activities 

• Several technology developers/vendors are working with the coal industry, EPA, and DOE to develop the 

first commercial-scale projects. 

• Evaluate performance of first commercial project in Australia. 

• EPA is providing technical support for technology vendors in identifying markets, performing safety 

analyses, and supporting project development. 

• EPA and DOE are working with CONSOL Energy, a large coal operator, to demonstrate thermal oxidation 

of ventilation air methane using Megtec’s Flow Reversal Reactor. 

Recent Progress

• A project in Australia commercially employed ventilation air methane as feed air in internal combustion 

engines. The ventilation air methane provided approximately 7% of the total energy for the project at 

nominal cost. 

• Tests prove that flow-reversal reactors can successfully sustain reactions down to a methane concentration in 

air of 0.1%. 

• Small-scale demonstrations at coal mines have shown that ventilation air methane can be safely deployed at 

noncommercial scale, and that heat recovery is technically viable. 
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Commercialization and Deployment Activities 

• Project vendors and developers are working with coal operators to develop ventilation air methane projects 

in the United States. 

Market Context 

• Majority of emissions in the United States at fewer than 30 very gassy ventilation shafts. 

• Heat recovered likely will interest power generators. Potential for more than 450 MW of power production 

available and equipment market of over $1 billion. 

• Markets for these technologies exist worldwide in countries with gassy coal seams and coal mining 

industries such as Australia, China, India, Mexico, Ukraine, Russia, Kazakhstan, Germany, United 

Kingdom, and Poland. 
4.1.5 ADVANCES IN COAL MINE METHANE RECOVERY SYSTEMS 

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Technology Description 

 In-mine directional drilling. Vertical drainage in advance of mining. 

Coal mine methane (CMM) is liberated into underground coal mines – as coal seams are mined – and vented out 

of the mine to provide a safe working environment. Where ventilation air cannot adequately control these 

emissions, mine operators utilize a CMM drainage system. Drainage systems consist of boreholes drilled into the 

coal seams and adjacent strata, and equipment is used to extract and collect CMM. Dependent on geologic, 

reservoir characteristics, and mine layout, CMM can be recovered in advance of mining or after mining has 

occurred. State-of-the-art CMM drainage techniques are now available to mine operators. Advances in steerable 

motors and stimulation techniques have increased the ability to recover CMM far in advance of actual mining 

operations. This allows operators to recover a higher percentage of the total methane in coal seams. The most 

promising technologies either necessitate fewer wells to produce more gas or increase the recovery efficiency of 

surface wells or underground boreholes. This CMM, much of which is high quality, presents many alternatives 

for utilization and markets.

System Concepts 

• Boreholes are drilled into the coal seams and adjacent gas-bearing strata vertically or horizontally from the 

surface or from within the mine, depending on geologic, reservoir, and mine design and conditions. 

• Various drilling technologies are employed to promote the release of the CMM. 

• Gathering systems are used to collect and vent the CMM or distribute the gas to a specific use such as a 

natural gas pipeline. CMM recovered through drainage systems would have otherwise been vented through 

mine ventilation systems. 

Representative Technologies

• Directional drilling systems that enable fewer wells to contact the same quantity of coal. 

• Advanced stimulation techniques that use injection of a second gas such as nitrogen to improve recovery. 

Technology Status/Applications

• Directional drilling, applied in conjunction with flexible coiled tubing and high pressure water jets, has been 

downscaled and applied to coalbed methane reservoirs. 

• Operators also have demonstrated and commercialized slant-hole directional drilling, which involves the 

drilling of a guided surface hole that intersects the targeted coal seam and continues drilling within the 

bounds of a coal seam. 

 
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• Recent innovative methods for enhancing the recovery of methane from coalbeds by injection of second 

gases such as nitrogen are being tested. Carbon dioxide, while potentially attractive for unmineable seams, is 

not appropriate for coalbed methane development associated with mining because CO2 is a hazard in the 

underground mining environment. Further work regarding the use of nitrogen is required. 

• Computer simulation has suggested various configurations of in-mine directionally drilled boreholes and 

surface vertical wells to optimize CMM drainage approach. 

Current Research, Development, and Demonstration 

RD&D Goals

• Refined directional drilling technologies to improve the application in friable coal seams, increase drilling 

depths, and reduce the cost of drilling. 

• Application of in-mine hydraulic fracturing techniques. 

• Additional data supporting nitrogen injection as a cost-effective alternative for improving recovery 

efficiencies. 

• In-mine application of nitrogen-injection techniques. 

• Use of other inert gases as a second gas for injection into mined coal seams. 

• New drilling techniques that could improve recovery of coalbed methane. 

• Further applications of surface oil and gas drilling, as well as completion technologies and their application for inmine CMM recovery. 

RD&D Challenges

• Must locate demonstration projects at coal mines to clearly establish greenhouse gas reductions, but the 

number of very gassy mines in the United States is limited to about 30-40 coal mines. 

• Must develop products that the mining community considers a help rather than a hindrance. 

• Must directly link gas recovered to methane emissions avoided. Total coal mine methane emissions 

(ventilation air methane and drained emissions) does not increase due to improved drainage technologies; 

rather, ventilation air emissions decrease when drained gas emissions increase. Must consider this when 

assessing total methane emissions at a specific project. 

RD&D Activities 

• Several U.S. companies have developed directional drilling techniques, both vertical and horizontal, which 

are currently being evaluated. 

• Use of CO2 and nitrogen have been laboratory tested and/or field tested by private industry and research 

institutes. 

• U.S. government funding has focused on gas utilization techniques, rather than recovery enhancement. 

Recent Progress

• Reports indicate that directional drilling and injection of a second gas have demonstrated drainage 

efficiencies of 50%-90%. 

• Slant-hole drilling has been used successfully to date at the SASOL Secunda Operations in South Africa. 

SASOL Secunda has drilled in excess of 100,000 meters of the surface to in-seam wells, regularly reaching 

target depths of up to 2 km. Dallas-based CDX Gas has successfully commercialized a surface directional 

drilling technique called the “Pinnate” multilateral drainage networks, and a dual-well drilling and 

production system. 

• Nitrogen tests appear to be successful, but results are confidential. 

• If the national, industry-wide drainage efficiency at underground mines increased from the current average of 

34%-50%, then the United States could realize an additional 8 MtCO2e emissions reductions. 
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Commercialization and Deployment Activities

• Projects in the United States are currently employing directional drilling on a limited basis. 

• Carbon dioxide injection has been used for enhanced oil production for quite some time, and is being 

evaluated by the Alberta Research Council and an international consortium of Canadian and U.S. 

organizations. The results are confidential at this point. CO2 injection does not appear appropriate for coal 

mine applications, however. 

• Nitrogen injection to enhance methane recovery from mineable coal seams needs demonstration. 

Market Context 

• Gassy coal mines in the United States, where improved gas recovery efficiencies will yield greater coal mine 

productivity and natural gas for use or resale are potential markets for this technology. 

• Additional gas recovered likely will interest gas users such as gas marketers, power generators, etc. 

• Markets for these technologies exist worldwide in countries with gassy coal seams and coal-mining industries 

such as Australia, China, India, Ukraine, Russia, Kazakhstan, Germany, the UK and Poland. 

• Beyond carbon reductions, market for these products will be found in the exploration and production sector of 

the natural gas industry. 
4.1.6 MEASUREMENT AND MONITORING TECHNOLOGY FOR NATURAL GAS SYSTEMS 

Technology Description

There are approximately 300,000 miles of pipeline in the U.S. natural gas transmission network. Along this 

network, compressor stations – with up to 2,500 separate components each – leak hundreds of millions of dollars 

worth of methane into the atmosphere every year. In addition, there are more than 700 gas-processing facilities 

that lose an estimated 30 billion cubic feet of gas each year. Through the use of effective leak detection and 

measurement technology as part of a directed inspection and maintenance program, methane emissions can be 

reduced significantly. 

System Concepts 

• Advanced leak detection and measurement technologies enable quick and cost-effective detection and 

quantification of fugitive methane leaks. 

• Directed inspection and maintenance programs employ these technologies through the collection of 

screening and measurement data using comprehensive surveys in the first year. Information gathered on 

equipment with high leak rates is then used to direct surveys and prioritize cost-effective leak repair efforts 

in subsequent years. Because leak surveys and repairs are better focused and more accurate, they can be 

conducted less frequently, thereby reducing operation and maintenance costs. 

Representative Technologies 

• The Gas Technology Institute (GTI) has developed an advanced measurement technology known as the HiFlowTM Sampler. This technology is unique because it measures actual emission rates from sources that 

traditionally were not easily measured. The Hi-FlowTM utilizes a variable-rate induced-flow sampling system

that provides total capture of the emissions from a leaking component. The instrument is designed to ensure 

total emissions capture, and prevent interference from other nearby sources. A dual-element hydrocarbon 

detector (i.e., catalytic-oxidation/thermal-conductivity), measures hydrocarbon concentrations in the 

captured air stream ranging from 0.01% to 100%. A background sample-collection line and hydrocarbon 

detector allows the sample readings to be corrected for ambient gas concentrations. A thermal anemometer 

monitors the mass flow rate of the sampled air-hydrocarbon gas mixture, and a mass rate is then calculated. 

• GTI (in cooperation with Pacific Advanced Technology) is also developing advanced leak-detection 

technology. One of the emerging technologies is the IMSS camera, a handheld infrared remote imaging 

spectrometer for fugitive gas leak detection. It detects species by comparing differential absorption spectra. 

The device can detect low flow and underground methane leaks from a maximum of 300 feet away but is 

more effective at a distance of about 50 feet or less. Other hydrocarbon optical imaging technologies are 

now available for use. 

Hi-FlowTM Sampler to measure emission

rates.

Handheld infrared remote imaging 

spectrometer for fugitive gas leak detection.

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Technology Status/Applications

• Traditional leak measurement technologies are currently available. Advanced technologies, like the Hi-Flow 

Sampler, are in the demonstration and deployment stage. 

• Advanced imaging technology for leak detection is now in the advanced demonstration phase. Nextgeneration technology may provide the ability to both detect a leak and quantify the emission rate. 

Current Research, Development, and Demonstration

RD&D Goals 

• Complete the development of advanced measurement technologies like the Hi-FlowTM and ensure broad 

deployment throughout the industry. 

• Advance the development of imaging technology for methane leak measurement and facilitate 

demonstration and deployment. 

RD&D Challenges 

• Advance imaging technology to quantify methane losses 

RD&D Activities 

• Advanced measurement technologies already are being demonstrated. Additional research to enhance this 

technology is underway. 

• Identification and adaptation of new technologies for real-time remote optical leak detection, quantification, 

and speciation is underway. Preliminary testing indicates the ability to image low-flow conditions and 

under-ground methane leaks. 

• The Kansas State University National Gas Machinery Laboratory and EPA’s Natural Gas STAR Program 

are collaborating on a study to demonstrate the cost-effective use of measurement technology to reduce 

methane leakage from natural gas production and processing facilities. 

Recent Progress

• As part of a cooperative R&D effort among the EPA, the Gas Technology Institute, and the natural gas 

industry, the effectiveness of utilizing the Hi-FlowTM Sampler measurement technology to reduce methane 

leakage at three gas-processing plants was evaluated. The value of natural gas losses at the surveyed sites 

was approximately $2.2 million, substantially offsetting the cost of the surveys. 

• Preliminary testing of the IMSS technology for leak detection has been successful. In a recent test conducted 

by PAT, IMSS successfully imaged leaks as small as 0.01 cubic feet per minute in ambient conditions, using 

either a building or the sky as background. 

Commercialization and Deployment Activities

• The Hi-FlowTM is being used by several large production, processing and transmission companies. 

Market Context

• Gas production, transmission and processing companies are most likely to be interested in these 

technologies. 
4.2. METHANE AND NITROUS OXIDE EMISSIONS FROM AGRICULTURE

4.2.1 ADVANCED AGRICULTURAL SYSTEMS FOR N2O EMISSION REDUCTION

Technology Description 

Low fertilizer nitrogen-use efficiency in agricultural 

systems is primarily caused by large nitrogen losses 

due to leaching and gaseous emissions (ammonia, 

nitrous oxide, nitric oxide, nitrogen). It is axiomatic 

then that most strategies that increase the efficiency

use of fertilizer nitrogen will reduce emissions of 

N2O and probably NO. In general, nitrogen oxide 

emissions from mineral and organic nitrogen can be 

decreased by management practices that optimize the 

crop's natural ability to compete with processes 

where plant-available nitrogen is lost from the soilplant system, and/or by directly lowering the rate and 

duration of the loss processes. Strategies to increase 

the overall efficiency of nitrogen are therefore necessary to decrease nitrogen oxide emissions. Advanced 

agricultural systems are a group of technologies that can be applied to this goal. These systems enable a process 

of collecting and using increasingly detailed, site-specific information in conjunction with traditional farmmanagement tools, and applying the best available information to better manage individual farming operations. 

These systems conceptually provide for improved understanding, control, and manipulation of the 

soil/plant/atmosphere environment to match nutrient, water, pesticide, and other inputs for crop production 

demand, which will increase efficiency of nutrients and decrease gaseous and leaching losses. These systems 

provide an integrated capability to improve environmental quality while enhancing economic productivity by 

increasing energy efficiency, optimizing fertilizer and other chemical applications, and conserving soil and water 

resources. Most system concepts for reduction of GHG emissions are, however, theoretical and remain untested. 

System Concepts 

• Precision agriculture – global-positioning infrastructure and remote and in situ sensors for soil, crop, and 

microclimate characterization; this practice includes variable rate water, fertilizer, and pesticide application 

in space and time. 

• Cropping system models, data and information analysis, and management tools. 

• Control-release fertilizer and pesticide delivery to match crop demand and timing of pest infestation. 

• Biological and chemical methods for manipulating soil microbial processes to increase efficiency of nutrient

uptake, suppress N2O emissions, and reduce leaching. 

• Best-management practices to limit nitrogen gas emissions, soil erosion, and leaching. 

• Soil-conservation practices utilizing buffers and conservation reserves. 

• Recycling of livestock manure. 

• Plant breeding to increase nutrient-use efficiency and decrease demand for pesticides and energy consumption.

Representative Technologies

• Global-positioning satellites and ground systems, satellite- and aircraft-based remote and in situ electrical, 

magnetic, optical, chemical, and biological sensors. 

• Advanced artificial intelligence and information networking technologies; autonomous control and robotics 

systems; soil/ crop moisture, pest and microclimate responsive (smart) materials. 

• Control-release fertilizers and pesticides. 

• Nitrogen transformation inhibitors. 

• Livestock waste delivery systems. 

• Best-management practices. 

• Genetically engineered plants that are resistant to herbicides or specific pests. 

No-tillage cropping system in irrigated agriculture to reduce 

Net global warming potential (A.D. Halvorson, USDA-ARS,

Fort Collins, Colorado)

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Technology Status/Applications

• Many first-generation precision agriculture technologies are available; in 1998, used on about 14% of farms.

• Information management and networking tools; rapid soil-characterization sensors; selected crop stress, 

yield, and quality sensors; and a systematic integration of all technologies for all major cropping systems are 

not yet at technical performance levels and require field testing. 

• Strong understanding of soil microbiology and soil processes and relationships exist in the agriculture, 

energy, and university research community. 

• Capability exists for the development of control-release materials and biological process inhibitors. 

• Best-management practices are in place in many production sectors. 

Current Research, Development, and Demonstration 

RD&D Goals

• Precision agriculture technologies that improve production efficiencies and reduce energy consumption. 

• Remote and field-deployed sensors/monitors and information-management systems for accurate, real-time 

monitoring and analysis of crops, soils, water, fertilizer, and agricultural chemicals use/efficiency to meet 

the fertilizer and energy reduction goals. 

• Smart materials for prescription release utilized in major crops. 

• Advanced fertilizers and technologies to improve fertilizer efficiency and reduce nitrogen inputs. 

• Methods of manipulating soil microbial processes to increase efficiency of nitrogen use. 

• Deployment of first-generation integrated system models, technology, and supporting education and 

extension infrastructure. 

• Genetically designed major crop plants to utilize fertilizer more efficiently. 

• First generation integrated system models, technology and supporting education and extension infrastructure 

need to be implemented, and research on using these techniques to improve management expanded. 

• Full utilization of best-management practices. 

RD&D Challenges

• Precision agriculture in general requires advances in rapid, low-cost, and accurate soil nutrient and physical 

property characterization; real-time crop water need characterization; real-time crop yield and quality

characterization; real-time insect and pest infestation characterization; autonomous control systems; and 

integrated physiological model and massive data/information management systems. All of these require a 

full understanding of the spatial and temporal dynamics that occur within a field. 

• Smart materials that will release chemicals based on soil and crop status depend on modest breakthroughs in

materials technology. 

• Improved understanding of specific soil microbial processes is required to support development of methods 

for manipulation and how manipulation impacts greenhouse gas emissions. 

• Models that represent accurate understanding of plant physiology must be coupled with models that 

represent soil processes such as decomposition, nutrient cycling, gaseous diffusion, water flow, and storage 

to understand how ecosystems respond to environmental and management change. 

• Detailed and simultaneous examination of biogeochemical reactions that occur in near-surface ground water 

is required to improve understanding of nutrient cycling, GHG emissions, and degradation of contaminants.

• Improved understanding of agro-ecosystem management on nitrogen cycling and GHG emissions. 

• Development of plant varieties that increase nutrient use efficiency. 

• Conduct direct basic and applied research effort on sensors, information sciences, materials, and microbial 

processes. 

• Apply whole-systems engineering and integration to effectively develop and guide program formulation and 

implementation to include the concept of whole system net GHG emissions. 

RD&D Activities 

• Complementary efforts are underway in both public and private sectors. 

• Sponsors include USDA, DOE, NASA, universities, state agencies, commodity groups, and sensor and 

satellite developers – the principal funding comes from USDA. 

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• Life-cycle analysis of tractor and irrigation pump emissions. 

• Use of cover crops or mulch that would reduce or delay emissions. 

Recent Progress 

• High-resolution satellite imagery can identify stress and disease in some crops at 1-to-2-m resolution. 

• Research programs have related reflectance spectra to disease or nutrient status. 

• Control-release formulations for fertilizers and pesticides are in use. 

• Rf-link deployable field sensors exist for ground moisture monitoring. 

• On-farm use of yield-monitoring equipment is increasing. 

• Commercial sensors for sensitive, precise, and rapid analysis of GHGs are now marketed. 

• Best-management practices are in place for many crops and regions of the country. 

• Genetically modified crop varieties are being used that are resistant to specific herbicides or pests. 

Commercialization and Deployment Activities 

• Global-positioning systems, geographic information system software for parameter mapping, remotely

sensed imagery, selected field monitors, and selected variable rate control systems for seed, fertilizer, and 

chemical applications are commercialized and in application in the United States, Canada, Australia, and 

Europe. 

• Slow-bleed release pesticides are available commercially. 

• Nitrogen transformation inhibitors are available commercially, and were applied to approximately 10% of

corn acres in 1996. Inhibitor application increased net revenue $8-$20/acre. 

• Control-release fertilizers are produced and used mainly in horticultural and ornamental crops. 

Market Context 

• Market for technologies exists not only in the United States but worldwide. In developing countries 

dependent on agriculture, the market for improved agricultural systems is substantial. 

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4.2.2 METHANE REDUCTION OPTIONS FOR MANURE MANAGEMENT 

Technology Description 

The livestock and poultry industry produces large 

quantities of manure each year. Pollutants from

improperly managed waste can damage the 

environment in terms of water, air, and health

quality. Methane and other gases are produced 

when manure is managed under anaerobic 

conditions typically associated with liquid or slurry

manure-management systems such as lagoons, 

ponds, tanks, and basins. Methane reduction and 

other environmental benefits can be achieved by

utilizing a variety of technologies and processes 

including aeration processes to remove and 

stabilize some pollutant constituents from the waste 

stream; anaerobic digestion system that collect and

transfer manure-generated off-gases to energy 

producing combustion devices (such as engine generators, boilers, or odor-control flares); and solids-separation 

processes to remove some pollutant constituents from the waste stream. 

System Concepts 

• Anaerobic digestion provides a high level of manure treatment that mitigates water and other air pollution by 

biologically stabilizing (treating) influent waste materials and capturing methane emissions. Captured gas 

can then be combusted to produce electricity, heat, or vehicle fuel. Anaerobic digestion technologies can be 

applied at various scales (i.e., farm or centralized) and require separate effluent storage and a gas use device.

Centralized anaerobic digestion technologies can be cost-effectively integrated into high-density livestock 

regions, where a number of farms would transfer manure to a dedicated processing facility. Centralized 

systems can produce very large power outputs (1-20 MW) depending on the manure volume and quality. 

Comparatively centralized systems can use technologies with greater complexity, because these plants 

typically have a professionally trained team available to operate the system.

• Separation processes, typically used in dairy operations, remove solid particulates from manure handled as 

liquid or slurry through gravity, mechanical, or chemical processes. These processes create a second waste 

stream that must be managed using techniques different from those already in use to manage liquids or 

slurries. Separation processes offer the opportunity to stabilize solids aerobically, such as in composting 

systems, to control odor and reduce pathogens. It is difficult to control methane emissions in uncovered 

lagoons or liquid manure storage facilities.

• In aeration processes, oxygen is transferred to a liquid primarily by mechanical equipment. The equipment 

serves to a) provide the oxygen needed by the microorganisms to oxidize the organic matter and b) keep the 

solids in suspension by mixing. A residual-dissolved oxygen concentration of at least 1-2 mg/L is an 

indicator that the rate of oxygen transfer is adequate to satisfy this oxygen demand aerobically for livestock 

waste. This requirement is usually met by large pumps operating in the range of about 50-125 HP.

Representative Technologies 

• Centralized digester technologies include both mesophilic and thermophilic mixed digesters and other 

advanced environmental processes such as reverse osmosis and gas compression. Thermophilic digesters 

operate at high temperatures (140oF). Mesophilic operate at lower temperatures (about 105oF) and have 

greater process stability. Currently available combustion devices include medium-BTU reciprocating 

engines with heat recovery (cogen), turbines, boilers, absorption cooling, and furnaces. Flares also can be 

used to control odor and other air emissions in nonenergy applications. Emerging technologies include 

microturbines, sterling engines, and fuel cells. 

• Farm-scale digesters are typically simpler systems operating at ambient and mesophilic temperatures and 

include mix, plug, and inground covered systems. 

Construction of a complete mix anaerobic digestion system 

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• Separation process technologies include gravity separation (shallow pits where solids settle and liquids run 

off to a treatment lagoon), mechanical separators (use external energy sources to remove solids), and 

flocculation or precipitation (chemical additions are used to help precipitate particulate and colloidal 

materials). 

• A variety of aeration process technologies exist, including aerobic digestion (a suspended growth process 

operating at ambient temperature), autoheated aerobic digestion (utilizes heat released during the microbial 

oxidation of organic matter to raise process temperature above ambient levels), sequencing batch reactors 

(combine the conventional activated-sludge treatment process with secondary settling/clarification in a 

single tank), attached-growth processes (trickling filters, rotating biological contactors, and packed bed 

reactors use inert media to stabilize organic matter and limit organic loading rates), and composting (a solidwaste treatment process that requires oxygen and appropriate carbon:nitrogen ratios to heat and stabilize 

waste material.) 

Technology Status/Applications 

• There are currently about 150 anaerobic digesters producing heat and about 225 million kWh of electricity

per year with currently available technologies at U.S. dairy and swine farms. A small number of farms also 

flare gas for odor control and GHG reductions. There are currently 3 centralized anaerobic digesters 

operating in the United States. 

• Separation is typically used in the dairy industry to remove nonbiodegradable material from treatment 

lagoons, but is rarely applied to managing wastewater from swine facilities because swine solids are small, 

heavy, tend to mat, and hold water. Additional equipment and management is required to maintain adequate 

air infiltration for aerobic conditions. 

• Aeration processes are basically applied to low-strength and dilute waste streams due to energy 

requirements. Their use has been limited for livestock liquid and slurry waste streams. 

Current Research, Development, and Demonstration 

RD&D Goals

• Develop new types of digesters with reduced costs and biological efficiencies. A number of private 

companies are developing and testing newer gas combustion devices for medium-BTU gases. 

• Modification to under-slat floors in swine buildings to separate solid and liquid fractions and chemical 

additions applied to swine manure. 

• Develop, apply, and evaluate aeration process performance for manure waste streams. Identify appropriate 

pollution-control methods for confined livestock facilities. 

RD&D Challenges

• Current R&D on anaerobic digestion technologies is done at bench or pilot scales. These processes often are 

operationally complex at commercial scales. This complexity may be justified under a centralized operating 

structure because dedicated expertise is available to control system processes. This approach will also 

increase costs, and not necessarily energy, as most conventional digester technologies already convert the 

readily biodegradable manure component to biogas unless higher value organics are co-mingled with these 

advanced processes. Continued work in this area needs to identify regional areas with greatest opportunity to

implement this approach relative to farm distances, manure-handling method, and frequency of collection. 

• Utility policies toward independent power producers impede development of digestion technologies for 

power generation. Increasing operational reliability, efficiency, and costs of electrical production equipment

and increasing the number of equipment providers is needed. Controller logic for electrical-producing gas 

uses and digester type also is required. 

• Improved separation processes need to be demonstrated at commercial-scale farms where operations are 

more complex. 

• Challenges for the use of aeration processes for primary manure treatment today include high investment 

and operating costs (including energy) of treating waste streams aerobically. Aeration processes also 

increase the volume of residual solids depending on the operating conditions necessitating removal and 

additional management. Aeration may also volatilize 30%-90% of the nitrogen as N2 or N2O, which can 

contribute to global warming and other environmental problems. 

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RD&D Activities 

• EPA Region 9 is working with California to evaluate the feasibility of a centralized anaerobic project. 

• USDA and DOE are currently funding research, development, and demonstration projects under the 

Biomass Research and Development Act of 2000. There are a number of projects focusing on technologies 

to generate energy from animal waste, convert biomass to hydrogen, and develop innovative biorefinery

processes. 

Recent Progress 

• EPA’s AgSTAR Program provides project development tools, performance evaluations, and general digester 

information. AgSTAR also collaborates with a number of state programs and various Farm Bill sections to 

expand the use of appropriate anaerobic digestion processes and gas uses. AgSTAR products and expertise 

have been used in the majority of animal waste digestion systems currently in operation. 

• Currently, dairy manure handled as liquid and slurry is generally separated. Some dairies blend solids with 

other organic materials and market “brand” name compost materials for the nursery and home garden 

market. 

• Aeration processes may be feasible for secondary or tertiary treatment of livestock waste, where greater 

pollution control is desirable – or to further reduce nitrogen availability for crop uptake. 

Commercialization and Deployment Activities 

• Currently, centralized digestion applications are being identified and some are in operation. The 

opportunities, however, may be limited because of farm distances and manure-handling practices. 

Biosecurity issues also may reduce the potential of this approach. Emerging gas-use technology 

development is limited for farm-scale anaerobic digesters because commercial applications have not been in 

operation long enough to make a performance determination by designers and vendors. However, 

applications at larger scales (such as landfill gas) will be relevant for centralized systems. 

• There are several manufacturers and suppliers of mechanical separator equipment. USDA provides design 

guidance for gravity separators and technical resources to farms requesting assistance. USDA also provides 

cost share funds for proven technologies under the Farm Bill. 

• A number of manufacturers and suppliers of aeration processes are available because it is used in municipal 

and industrial waste treatment. A number of low-rate aeration processes are emerging but have limited 

application because the dissolved oxygen requirements for microbial populations to oxidize organic matter 

are not met. 

Market Context 

• Cost-sharing and appropriate energy policies for independent power production could increase market 

penetration. 

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 4.2.3 ADVANCED AGRICULTURAL SYSTEMS FOR ENTERIC EMISSIONS REDUCTION 

Technology Description 

Enteric emissions of methane from animals are a byproduct of digestion that are exhaled or eructated by the 

animals. It is a natural process, and the amount of methane emitted is dependent on the animal’s digestive 

system and the amount and type of feed consumed. Because CH4 emissions represent an economic loss to the 

farmer—where feed is converted to CH4 rather than to product output—viable mitigation options can entail 

efficiency improvements to reduce CH4 emissions per unit of beef or milk. There are a number of strategies 

that can be used, including increased digestibility of forages and feeds; feeding grain rather than forages; 

providing feed additives that may tie up hydrogen in the rumen and inhibit the formation of methane by rumen 

bacteria; improving production efficiency; and modification of bacteria in the rumen. Many production practices 

are currently used that reduce methane; when used individually or in conjunction with each other, the practices 

may lower the loss of methane energy up to one half. These have not only global change benefits but may have 

significant economic benefits as well. Most system concepts for reducing methane emissions are, however, 

theoretical, and considerable research and development are required. There has been minimal adaptation of 

practices to specifically reduce methane emissions from livestock.

System Concepts 

• High-grain diets: Feeding of high-grain diets to reduce methane emissions and increase animal production 

efficiency, without contributing to the animal health problems that are typically associated with high-grain diets. 

• Ruminal fermentation time: Methane is released from the rumen where feed is fermented in an anaerobic 

environment. The shorter the period of time feed remains in the rumen, the less carbon is converted to 

methane. Residence time in the rumen can be shortened by increasing the digestibility of feed grains or 

forages and by feeding of concentrated supplements. 

• Alternate hydrogen acceptors: Addition of unsaturated edible oils in feed may be used to reduce methane 

emissions by sequestering hydrogen making it unavailable for methanogens. 

• Use of feed additives: Ionophores are feed additives that inhibit the formation of methane by rumen bacteria. 

Considerable research is needed in maintenance of effectiveness for long periods and for delivery systems to 

grazing cattle. 

• Improvement in production efficiency: Any practice that increases productivity per animal reduces methane 

emissions. Animal technologies that increase productivity include BST to increase milk production, growth 

regulators for beef cattle to enhance lean and reduce fat, genetic improvement of animal performance, 

genetic improvement of pasture and other feedstuffs potential, improved animal feed-handling practices, 

improved pasture nutritional and water management, and earlier marketing of animals. 

• Enhancing ruminal acetogens: Acetogens are a group of rumen microbes that produce acetic acid from

hydrogen and carbon dioxide rather than methane. They exist in the rumen as a minor species, predominate 

in the gut of some termites, and may be important in the lower gut of several animal species. Developing 

methods to make them more competitive in the rumen or transferring the acetogenesis genes to already

successful ruminal organisms could be very helpful to animal efficiency and the environment. 

• Modification of bacteria in the rumen: Alteration of ruminal microbes may lead to significant reduction in 

methane emissions; however, considerable research is needed to genetically produce microbes that can 

compete with natural microbes for sustained periods. 

Representative Technologies

• Improved feed and forage management and treatment practices to increase the digestibility and reduce 

residence digestion time in the rumen, such as using improved feed grains and forage, increased surface area

of the feeds, addition of fiber sources, treatment of the feeds/forages to increase digestibility, and 

appropriate use of concentrated supplements. 

• Best-management practices for increased animal reproduction efficiency. 

• Use of growth promotants and other agents to improve animal efficiency and enhance lean meat production.

Technology Status/Applications 

• Strong understanding of animal physiology exists in the agriculture, energy, and university research areas.

• Research is required for the development of control-release materials and biological process inhibitors. 

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• Extensive use is made of animal and feed technologies in dairy- and beef-feeding systems; however, 

adequate techniques for uniform and effective delivery systems are needed in grazing systems.

• Best-management practices are in place in many production sectors. 

Current Research, Development, and Demonstration 

RD&D Goals 

• Precision agriculture technologies that will improve forage and feedstuffs production efficiencies and 

increase digestibility.

• Smart materials for prescription release of feed additives under pasture or grazing systems. 

• Genetic improvement of forages to increase productivity and digestibility.

• Methods of manipulating ruminal microbial processes to sequester hydrogen making it unavailable to 

methanogens. 

• Deployment of first-generation integrated system models, technology and supporting education, and 

extension infrastructure. 

• Genetically design forages to increase digestibility, reduce fertilizer requirements, provide chemicals for 

increased digestibility, and provide appropriate nutrients to enhance acetogen competitiveness. 

• Genetically design bacteria that can compete with natural microbes for sustained periods. 

• Full utilization of best-management practices. 

RD&D Challenges 

• Precision agriculture requires advances in rapid, low-cost, accurate plant, soil-nutrient, and physical property 

characterization; real-time crop and forage water requirements characterization; real-time crop and forage 

yield and quality characterization; real-time insect and pest infestation characterization; autonomous control 

systems; and integrated physiological model and comprehensive and user-friendly data/informationmanagement systems. 

• “Smart” materials that will release chemicals and feed additive doses under special conditions.

• Improved understanding of specific rumen microbial processes is required to support development of 

methods for making engineered microbes competitive with natural rumen microbes. 

• Models that represent accurate understanding of the relationship of animal digestion and plant physiology

must be coupled with models that represent soil-plant growth relationships. These models also must consider 

the changing global climate. 

• Genetic engineering of sustainable competitive microbes that will produce acetic acid for the reduction of 

CO2 with hydrogen. 

• Development of plant varieties that increase nutrient-use efficiency while enhancing digestibility. 

• Conduct direct basic and applied research effort on animal physiology, sensor development, material and 

feed additive research, and microbial processes research. 

RD&D Activities 

• The principal funding for this type research comes from the USDA and the animal-support industries. Others

include the EPA, universities, state agencies, commodity groups, and instrumentation developers. 

Recent Progress 

• Success has been observed under grazing in the use of ionophores, which are widely used in the beef 

industry.

• Control-release formulations for fertilizers and pesticides are in use, which improve forage productivity and 

digestibility.

• Animal productivity per unit of methane emissions has steadily increased under managed conditions in the 

past 30 years. 

• On-farm use of yield-monitoring equipment is increasing. 

• Commercial sensors for sensitive, precise, and rapid analysis of greenhouse gases are in development and 

being marketed. 

• Best-management practices are in place for many crops and animal-management systems and regions of the

country. 

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Commercialization and Deployment Activities 

• Global-positioning systems, geographic information system software for parameter mapping, remotely

sensed imagery, selected field monitors, and selected variable rate-control systems for seed, fertilizer, and 

chemical applications are commercialized and in application in the United States, Canada, Australia, and 

Europe. All of these systems may be used for increasing productivity and digestibility of forages. 

• Mitigated-release fertilizers and pesticides are available commercially. 

• Ionophores are widely used in the beef-feeding industry to increase productivity – but better delivery

systems are needed. 

• Current precision agriculture technology is proven to be cost effective about 50% of the time, with poor 

reproducibility. 

• The infrastructure in place for agricultural production will support economical new technologies; however, 

the cost to compete with traditional technologies may initially be high until technology integration is 

complete. 

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4.3 EMISSIONS OF HIGH GLOBAL-WARMING POTENTIAL GASES 

4.3.1 SEMICONDUCTOR INDUSTRY: ABATEMENT TECHNOLOGIES

Technology Description 

 Figure 1. Litmas Blue Plasma Abatement Device Figure 2. Hitachi Catalytic Oxidation System 

Semiconductor manufacturers perform plasma etching and cleaning processes that use gaseous chemicals 

including perfluorocarbons (e.g., CF4, C2F6 and C3F8), nitrogen trifluoride (NF3), HFC-23 (CHF3), and sulfur

hexafluoride (SF6). Collectively termed high global-warming potential (GWP) gases, these chemicals are potent 

greenhouse gases; one metric ton of SF6 is equivalent to 23,900 Mt of carbon dioxide in terms of its potential 

effect on global warming. In addition, many high GWP gases have extremely long lifetimes in the atmosphere 

(3,000-50,000 years). For the past 15 years, through international efforts to decrease ozone-depleting substances 

in the atmosphere, industry has been engaged in activities to reduce emissions and find alternatives. 

One method of decreasing the emissions of high GWP gases from the semiconductor industry is to abate the 

emissions before they reach the atmosphere. Abatement of high GWP gases from the exhaust gas stream in 

semiconductor processing facilities may be achieved by two mechanisms: 1) thermal destruction and 2) plasma

destruction. Thermal destruction technology may be applied to chamber-cleaning and etching processes within a 

fab (a local point-of-use [POU] application) or fab wide (an end-of-pipe [EOP] application). A POU device 

controls emissions as they emerge from an individual tool, while an EOP device is installed further 

“downstream,” where it can abate emissions from a group of tools – or the entire fab – prior to the exhaust 

reaching the stack. Two thermal destruction technologies are being pursued: combustion systems and catalytic

systems. In plasma-based systems, plasmas are formed from the effluent stream from etch or clean processes 

using either radio frequencies (low pressure streams) or microwaves (streams at atmospheric pressure). 

Destruction of high GWP gases that use plasmas offer system designers a broad range of conditions: oxidizing, 

reducing, and combinations of oxidizing and reducing conditions. 

System Concepts

• In POU applications, thermal-destruction systems may be configured to accept exhaust from multiple

etch/chemical vapor deposition chambers. High GWP emissions are oxidized in a natural gas-fired burner or over 

an electrically heated catalyst before the combustion products are removed by the on-site waste treatment 

systems. 

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August 2005 – Page 4.3-2 

• Burner and catalytic systems require pretreatment of inlet streams to reduce the loads of unused 

deposition/etchant gases and particles that can block burners or clog catalysts. 

• Hydrofluoric acid formed in thermal destruction systems may be removed via POU scrubbers to prevent 

exceeding scrubber design limits. 

• Plasma abatement technologies rely on the basic idea that larger exhaust molecules are broken into 

fragments in the plasma and then recombine in new ways, in the presence of other fragments formed from 

the dissociation of other gases added to the plasma, to form a new set of exhaust gases that may then be 

removed by existing waste-treatment systems. 

• Plasma abatement systems for high GWP gases typically require very little floor space, because they are 

mounted off the floor directly on the foreline to the dry pump that feeds exhaust to scrubbing systems. 

Representative Technologies

• The Edwards TPU 4214 (oxidation with advanced burner technology) is applicable for all high GWP 

emissions. 

• The Hitachi system (catalytic oxidation technology) is applicable to CF4, C2F6, c-C4F8, and SF6.

• Investigators at Texas A&M patented an approach that used radio frequency and microwave surface wave 

plasmas. They now favor microwave technology that has proven more effective and holds the potential for 

exploiting low-cost magnetron technology. 

• Litmas Inc. has two systems. The first, “Blue,” uses an inductively coupled radio frequency plasma source to 

transform high-GWP exhaust gases from etchers. The second technology from Litmas, “Red,” transforms 

the exhausts from plasma-enhanced chemical vapor deposition chambers using microwaves. 

• AMAT’s PegasysTM POU unit integrates cold-plasma abatement technology with popular etchers, which 

makes the abatement unit transparent to process engineers.

Current Research, Development, and Demonstration 

RD&D Goals

• To lower high GWP emissions from waste streams by more than 99%, while minimizing (1) NOx emissions 

to levels at or below emissions standards, (2) water use and burdens on industrial wastewater-treatment 

systems, (3) fabrication floor space, (4) unscheduled outages and (5) maintenance costs. 

• To apply plasma technology to develop a cost-effective POU abatement device that lowers exhaust stream 

concentrations of high GWP gases by two to three orders of magnitude from etchers and plasma-enhanced 

chemical vapor deposition chambers; and transforms those gases into molecules that can be readily removed 

from air emissions using known scrubbing technologies. 

RD&D Challenges

• Optimal combustion conditions to achieve destruction efficiencies for all high GWP gases, minimal energy 

consumption, and water use. 

• In low-pressure applications, convincing skeptical process engineers that back-streaming from the plasma 

system does not threaten etch-process performance. 

• Achieving more than 99% destruction efficiencies for all high GWP gases, particularly CF4 and SF6. 

• Develop a cost-effective POU abatement device that lowers exhaust-stream concentrations of high GWP 

gases by two to three orders of magnitude, and transforms these gases into molecules that can be removed 

with current scrubbing technologies. 

RD&D Activities

• Evaluations/reviews of approximately 13 thermal-destruction systems have been completed. Evaluations and 

demonstrations performed under fabrication operating conditions with Litmas and Texas A&M plasma 

systems produced favorable results. 

Recent Progress 

• The Edwards TPU 4214 (oxidation with advanced burner technology) achieves more than 99% destruction 

efficiency. 

• The Hitachi system (catalytic oxidation technology) achieves destruction efficiencies of more than 99% for 

CF4, C2F6, c-C4F8 and SF6. 
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August 2005 – Page 4.3-3 

• Litmas Inc. reports emission reductions from 97% to 99% for its “Blue” POU device. 

• AMAT’s capacitively coupled device (Pegasys IITM) claims typically more than 95% reduction in emissions. 

• Recent reports indicate that the surface wave device offers emissions reductions of more than 99% for a 

large range of tested waste streams. 

• The Pegasys and Litmas radio frequency POU units appear affordable, with reasonable capital and operating 

costs, assuming that the existing hydrofluoric acid scrubber system (including ductwork) can handle the 

increase in hydrofluoric acid from these abatement units. 

• The AMAT and Litmas radio frequency POU units have a small footprint, are easy to install, and are 

applicable to 200- and 300-mm etch tools. 

Commercialization and Deployment Activities 

• The Edwards TPU 4214 is the only thermal-destruction device in commercial use and represents a favored 

POU solution for chemical vapor deposition cleaning processes. 

• AMAT’s and Litmas’ systems are commercially available and reported in use. 

• AMAT’s (Pegasys IITM) interfaces with AMAT’s 200 and 300mm dielectric oxide etchers. 

• Litmas’ “Blue” technology has successfully completed long-term impact tests on etch process performance. 

• Litmas’ “Red” technology reported by Litmas to be in use on plasma-enhanced chemical vapor deposition 

chambers. 

• There are no reports of commercial application of the surface wave plasma device. Research continues at 

Texas A&M. 

Market Context 

• Thermal and plasma destruction technologies can have broad applicability across the semiconductor 

industry. 
4.3.2 SEMICONDUCTOR INDUSTRY: SUBSTITUTES FOR HIGH GWP GASES

Technology Description 

Semiconductor manufacturers perform plasma etching and cleaning 

processes that use gaseous chemicals including perfluorocarbons (e.g., 

CF4, C2F6 and C3F8), nitrogen trifluoride (NF3), HFC-23 (CHF3), and 

sulfur hexafluoride (SF6). Collectively termed high global-warming 

potential (GWP) gases, these chemicals are potent greenhouse gases; 

one metric ton of SF6 is equivalent to 23,900 Mt of carbon dioxide in 

terms of its potential effect on global warming. In addition, many high 

GWP gases have extremely long lifetimes in the atmosphere (3,000-

50,000 years). For the past 15 years, through international efforts to 

decrease ozone-depleting substances in the atmosphere, industry has 

been engaged in activities to reduce emissions and find alternatives.

One method of decreasing the emissions of high GWP gases from the 

semiconductor industry is to substitute a different chemical or process 

for the high GWP gases. Replacing high GWP gases with 

environmentally benign substitutes for chemical vapor deposition 

clean and dielectric etch processes is a preferred option when viewed 

from the perspective of EPA’s pollution prevention framework. 

Alternatives to the high GWP gases, such as SF6, CF4, C3F8, c-C4F8, 

and C2F6, are sought. To significantly lower emissions of high GWP 

gases, investigators seek gases that do not have high GWPs (and, if 

they do, are eliminated during the production process) and do not 

form byproducts with significant GWPs, particularly CF4 and CHF3. 

Important etch process performance criteria are etch rate, etch profile, etch selectivity, and control of the critical 

dimension. In this option, investigators seek alternative highly fluorinated compounds that either are not high 

GWP gases themselves or are highly utilized during plasma etching and do not form byproduct high GWP 

emissions. 

System Concepts

• Replacements are not favored if they increase cleaning times (which adversely affects fabrication 

productivity), form high GWP byproducts such as CF4 and CHF3, or pose new health and safety hazards. 

• In dielectric etch processes, fluorine is required to etch the desired features into the dielectric materials, and 

carbon is required to passivate newly etched surfaces by gas formation of CxFy polymers that are then 

deposited to retard etching. Generally accepted models state that the boundary between net etching and 

deposition is a function of the fluorine:carbon ratio in the discharge. Plasmas rich in fluorine favor etching 

over deposition and those rich in carbon favor deposition over etching. 

Representative Technologies

• Replacing C2F6 with C4-compounds, e.g., switching to c-C4F8 and c-C4F8O 

• Replacing C2F6 with NF3 using in situ plasma cleaning. 

• Replacing C2F6 with a remote fluorine source that dissociates NF3 in an upstream plasma source.

• Replacing C2F6 with ClF3.

• Hydrofluorocompounds, unsaturated fluorocompounds and iodofluorocompounds are attractive etch gas 

candidates because they have lower GWPs. 

• C3F8 is a potential drop-in replacement for C2F6 in some chemical vapor deposition clean and etch processes 

because its high utilization during etch may offset its high GWP. 

• Using NF3, a high-GWP gas with high process utilization, in mixtures of a noble gas with unsaturated 

hydrocarbons of varying degrees. Examples of unsaturated hydrocarbons are ethyne or acetylene (C2H2), 

ethylene (C2H4), propyne (C3H4) and ethane (C2H6).

PFCs, HFCs, NF3, and SF6 are used to

construct intricate semiconductor products 

on silicon wafers such as this one. 

(Reprinted with permission of Greenleaf 

Publishing.) 

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Current Research, Development, and Demonstration 

RD&D Goals

• To identify the chemical and physical mechanisms that govern chemical vapor deposition chamber cleaning 

and etching with perfluorocarbons and non-perfluorocarbons as well as govern process performance so that 

emissions of high GWP gases may be significantly reduced without either adversely affecting process 

productivity or increasing health and safety hazards. 

RD&D Challenges

• Developing conceptual models that guide the identification of candidate substitutes and substitute classes. 

• Finding substitutes that do not form CF4 (or other high-GWP gases such as CHF3). 

• Finding substitutes that do not require costly process requalification. 

RD&D Activities

• Evaluations at the Massachusetts Institute of Technology (MIT) simulated process conditions, and at 

semiconductor facilities (with participation of equipment manufacturers and gas suppliers) actual 

representative process conditions (AMD, Motorola, and Texas Instruments). 

• Discovery of the in situ dilute NF3 cleaning process. 

• Development of the remote NF3 cleaning process. 

Recent Progress 

• Use of C3F8 will reduce high GWP emissions, in terms of carbon dioxide equivalent, by 60% relative to the 

standard C2F6 process. 

• A switch to C4 -fluorocarbons reduces emissions by 90% relative to the standard C2F6 process. 

• Industry familiarity with the use of fluorocarbon compounds, excellent process performance and chemical 

cost savings make these alternatives attractive options. c-C4F8 is already in widespread fabrication use for 

high-density plasma oxide etching, reducing the usual procedures for chemical and supplier qualification by 

the industry. 

• NF3 dilute clean process reduces high GWP emissions by 85% relative to the standard C2F6 process. 

• Remote NF3 cleaning process reduces high GWP emissions by more than 99% relative to standard C2F6

process. 

Commercialization and Deployment Activities 

• C3F8 is reported in commercial applications at fabricating facilities owned by AMD, Motorola, and Texas 

Instruments. 

• IBM and Novellus have commercialized and deployed dilute NF3 cleaning processes. 

• AMAT and ASTeX have deployed remote NF3 cleaning processes. 

• The etch gas research underway, and completed thus far, is described as proof-of-concept. There are no 

reports of commercial use. 

Market Context

• Identification of a cost-effective PFC substitute could have wide applicability in the semiconductor industry.
4.3.3 SEMICONDUCTORS AND MAGNESIUM: RECOVERY AND RECYCLE

Technology Description 

 Figure 1. Diagram of Air Liquide’s high GWP membrane separation technology. 

The magnesium and semiconductor industries use and emit significant quantities of high global-warming 

potential (GWP) gases (e.g., SF6, CF4, C2F6 and C3F8). High GWP gases such as perfluorocarbons (PFCs) and 

SF6 are potent greenhouse gases; one metric ton of PFCs is equivalent to 6,500-9,200 Mt of carbon dioxide in 

terms of its potential effect on global warming; SF6 is the equivalent of 23,900 Mt of carbon dioxide. In addition, 

these compounds have extremely long lifetimes in the atmosphere (3,000-50,000 years). For the past 15 years, 

through international efforts to decrease ozone-depleting substances in the atmosphere, industry has been 

engaged in activities to reduce emissions and find alternatives. One method of decreasing the emissions of high 

GWP gases from these industries is to recover and recycle these chemicals. Three recovery-and-recycle 

technologies are being investigated and evaluated: membrane separation, cryogenic capture, and pressure swing 

absorption. 

System Concepts

• These technologies may be designed to treat exhaust streams from large magnesium firms and 

semiconductor processes. 

• All recovery-and-recycle technologies require exhaust pretreatment to remove corrosives (such as 

hydrofluoric acid) and particles and moisture from the exhaust gas stream. 

• The remaining PFCs and/or SF6 are recovered, concentrated, and “bottled.” On-site bottled PFCs may be 

either mixtures or highly purified. Captured SF6 may be reused on-site for magnesium melt protection. 

Representative Technologies

• Praxair/Ecosys and Edwards: cryogenic capture. 

• Air Liquide and Air Products: membrane separation. 

• MEGASORB and BOC: pressure swing.

Current Research, Development, and Demonstration 

RD&D Goals

• To develop and demonstrate a cost-effective, universally applicable recovery-and-recycle technology (all 

fabrication facilities and all high GWP gases) that can yield “virgin”-grade high GWP gases for 

semiconductor fabrication or magnesium plant reuse or sufficiently pure high GWP gases for further use or 

purification elsewhere. 

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RD&D Challenges

• Development of a method for universal pretreatment. 

• Capital and operating costs are high relative to other alternatives to reduce emissions, and only appear 

justifiable when recovery-and-recycle systems are applied to large portions of waste streams of large 

fabricating facilities or plants. 

• As other high GWP emission-reducing technologies are considered and implemented, the viability of 

recovery-and-recycle systems and further investigation of those systems is reduced. This occurs because as 

high GWP gas concentrations in waste streams become lower, the technical challenges for separation and 

repurification increase as does the cost. 

RD&D Activities

• Six systems have been tested at fabrication facilities, which demonstrated that cryogenic capture and 

membrane separation show promise. 

• Air Liquide’s membrane technology underwent an extended a successful evaluation at a U.S. primary 

magnesium producer – demonstrated 41% reduction in SF6 emissions. 

• DuPont is investigating the requirements for collecting, repurifying, and/or disposing of C2F6. 

Recent Progress

• The Praxair/Ecoys (cryogenic capture) system has shown emission-reduction capabilities of up to 99% for 

C2F6, CHF3, and SF6, and up to 75% for CF4. 

• The Edwards (cryogenic capture) system has shown capture efficiencies that exceed 90%. 

• Both the Air Liquide and the Air Products systems (membrane separation) have capture efficiencies of 96%-

98% for C2F6, CF4, and SF6, when NF3 and CHF3 were first removed. Recovery efficiencies for NF3 and 

CHF3 varied between 30% and 60%, with CHF3 being as low as about 30%. 

• The MEGASORB and BOC systems (pressure swing) have shown low capture efficiencies, approximately 

1% for the BOC system. 

Commercialization and Deployment Activities 

• Both cryogenic capture and membrane separation technologies have received encouraging press reports 

from chip manufacturers. However, there are no published reports of commercial use. 

• Unpublished reports indicate that Intel is using Air Products’ membrane separation technology in at least 

one fabricating facility. 

• DuPont has expressed its intention to provide to the industry a disposition offering for recovered C2F6-

containing mixture – an offer that includes repurification of C2F6 to virgin-grade specifications and, 

potentially if necessary, off-site destruction. 

Market Context

• Recover-and-recycling technologies are only applicable for large facilities, such as large fabs, primary 

magnesium producers, or very large magnesium-casting companies. 
4.3.4 ALUMINUM INDUSTRY: PERFLUOROCARBON EMISSIONS 

Technology Description 

Aluminum is produced through the 

electrolytic reduction of alumina (AL2O3). 

The electrolytic Hall-Héroult process was 

adopted in the late 19th century, and 

continues as the process in commercial use 

today. Producing aluminum by the 

conventional electrolytic cell process 

requires a large amount of energy and 

produces significant emissions of 

greenhouse gases. The Hall-Héroult process 

results in direct emissions of CO2, due to

the consumption of the carbon anode, and 

also perfluorocarbon emissions. Within the 

electrolytic bath, the alumina is dissolved in 

a mixture of molten cryolite (Na3AlF ) and 

aluminum fluoride (AlF3). Perfluorocarbon 

emissions are formed as intermittent 

byproducts within the aluminum smelting 

pot as the result of operational disturbances 

called anode effects. Anode effects occur 

when there is an over-voltage disturbance 

of the smelting process and are triggered 

when alumina levels in the pot decline 

below a critical level. During these events, the fluorine from the cryolite bath reacts with the carbon anode to 

form tetrafluoromethane (CF4) and hexafluoroethane (C2F6). Primary aluminum production is the largest source 

of emissions of perfluorocarbons in the United States. Greenhouse gas emission reduction measures not only 

reduce perfluorocarbon and other greenhouse gas emissions, but they also can improve process efficiency. The 

United States is one of the largest global producers of primary aluminum and, as of 2000, there were 11 U.S. 

companies that produced primary aluminum. 

System Concepts

• Current efforts to reduce perfluorocarbon emissions from primary aluminum production focus on using the 

most efficient smelting processes to reduce the frequency and duration of anode effects. Perfluorocarbon 

reduction potential varies by smelter technology with point-feed technology the most efficient – and

Søderberg technology the least efficient. Another concept, now in the research and development phase, 

involves replacing the carbon anode with an inert anode. Doing so would completely eliminate processrelated perfluorocarbon and CO2 emissions. 

Representative Technologies

• Currently available perfluorocarbon mitigation technologies and practices include computerized controls and 

point-feeder systems, as well as improved operating practices that minimize the frequency and duration of 

anode effects and associated emissions. When using the Hall-Héroult process, perfluorocarbon emission 

reductions could be achieved through retrofitting existing cells, converting older technologies, and using 

advanced technologies. Emerging technologies include use of the inert anode mentioned above. 

Technology Status/Application

• Computerized controls, point-feeder systems, and improved operator practices vary in their costeffectiveness and ability to reduce emissions. Further research regarding anode effects could yield additional 

cost-effective emissions reductions. The Department of Energy, through its Industries of the Future strategy, 

supports research and development of the inert anode. Being noncarbon, the inert anode would eliminate 

PFC emissions. Laboratory, pilot-scale, and commercial-scale testing of inert anodes is currently underway. 

Primary aluminum production is the largest source of emissions of

perfluorocarbons in the United States. Mitigation technologies and

measures cannot only reduce emissions, but they also can improve 

process efficiency. (Reprinted with permission of Greenleaf Publishing.) 

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A commercially viable design is expected by 2005. Commercialization can be expected by 2010-2015. Use 

of the inert anode technology will most likely be in conjunction with wetted cathode technology as part of an 

advanced technology cell. The advance technology cell is a combination of an inert anode, which would not 

be consumed during electrolysis, and a cathode with a stable surface, which would reduce electricity 

requirements. 

Current Research, Development, and Demonstration 

RD&D Goals

• If successful, the nonconsumable, inert anode technology would have clear advantages over conventional 

carbon anode technology, including energy efficiency increases, operating cost reductions, elimination of 

perfluorocarbon emissions, and productivity gains. 

RD&D Challenges

• A number of critical technology barriers prevent the aluminum industry from the targets it has identified for 

inert anode technology. These challenges represent the difference between present-day carbon anode 

technology and the current state of nonconsumable anode technology. Challenges include: 

− Demonstration of “viable” inert materials for use in fabricating the anodes, including fabricating 

candidate materials in large sizes, and the means for scaling up the fabrication processes. 

− Basic knowledge of the operation of nonconsumable anodes. 

− Validation of the potential for full-scale process improvement. 

− Computer modeling to address retrofitting issues.

RD&D Activities 

• DOE is leading the effort in producing inert anode technologies. 

Recent Progress 

• Use of the most efficient aluminum processing technologies, such as point-feed technology, has resulted in 

reducing perfluorocarbon emissions from U.S. primary aluminum production by more than 40% since 1990.

Commercialization and Deployment Activities 

• High-efficiency smelting technologies (e.g., point-feed technology) and options for retrofitting the HallHéroult process are commercially available. A commercially viable inert anode design is not expected to be 

available until 2005. 

Market Context

• Retrofit capability is a key issue with inert anode technology. If the new technology is technically and 

economically successful – but, ultimately, cannot be retrofitted to existing cells – it will still be considered a 

success. However, the ability to retrofit would be considered a major benefit, and would improve the 

technology’s economics. 
4.3.5 ELECTRIC POWER SYSTEMS AND MAGNESIUM: SUBSTITUTES AND 

ALTERNATIVES FOR SF6

Technology Description 

 Figure 1. Molten Mg with SF6 cover gas. Figure 2. Molten Mg without protective cover gas. 

Electric Power Systems: Sulfur hexafluoride (SF6) is a favored insulating agent for high-voltage electric power 

system equipment because of its dielectric strength and arc-suppression capabilities. Use of other insulating 

media has been researched and some have been used, especially in medium- and low-voltage applications. 

Historically, several other media were used (e.g., air, vacuum, oil) before the advent of SF6, some of which 

remain in use today in certain applications. Emissions reductions can be achieved through the adoption of 

currently available “SF6-Free” technologies (up to 145 kV) as well as through research into alternative gases and 

on-site recovery systems for such alternative gases and/or mixtures. 

Magnesium Industry: Magnesium metal producers and casters use SF6 mixed with dry air and/or CO2 as a cover 

gas to prevent oxidation and burning of the molten metal. About 5% to 20% of the SF6 is believed to react with 

the metal surface, preventing oxidation, while the remainder escapes to the atmosphere. The magnesium casting 

machine operators need to have access to the surface of the magnesium melt. Therefore, a tightly sealed system

is difficult to engineer and maintain. Recognizing that some gas will escape, a highly attractive technology 

option involves use of a gas other than SF6 with better environmental characteristics. The challenge is to isolate 

a substitute with low or no global-warming potential that satisfies the magnesium industry’s melt protection 

performance and safety requirements. 

System Concepts

• Electric power systems: Purchase/use equipment that relies on insulating agents other than SF6; Research, 

design, and development of “SF6-Free” high-voltage equipment for the U.S. market. 

• Magnesium casting: Use a gas for magnesium melt protection that avoids the global-warming concerns 

associated with SF6. 

Representative Technologies

• Electric power systems: 

- Existing insulating agents other than SF6 include oil, air, or vacuum insulation; but SF6 is the 

predominant choice for high-voltage applications. Despite extensive research efforts, no single gaseous 

compound has been isolated that serves as a substitute for SF6 in high-voltage applications. SF6 remains 

the insulating medium of choice. Gas mixtures, however, have been used successfully, including 

mixtures of SF6/N2 or SF6/CF4 in cold-weather applications. 

- 145kV vacuum interrupter (developed by Japan AE Power) 

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• Magnesium casting: 

− HFC-134a: The Cooperative Research Centre for Cast Metals Manufacturing (CAST) in Australia is 

conducting research and development to find a suitable substitute gas for SF6. Based on the concept that 

the addition of fluorine into the magnesium oxide surface film is the key mechanism for preventing 

oxidation of molten magnesium, CAST has developed a process that uses the hydrofluorocarbon gas 

1,1,1,2-tetrafluoroethane, otherwise known as HFC-134a. 

− SO2: Sulfur dioxide provides effective protection of molten magnesium, but its toxicity presents a 

concern for use in the workplace. 

IMA Study / SINTEF: The International Magnesium Association (IMA) established an Ad Hoc 

Committee on SF6 composed of representatives from IMA, several magnesium casting firms, and an 

automobile manufacturer. The committee selected a research proposal from SINTEF, the Foundation of 

Scientific and Industrial Research at the Norwegian University of Science and Technology, to evaluate 

alternative cover gases for protection of molten magnesium. 

− Novec 612TM: 3MTM has commercialized a fluorinated ketone, C3F7C(O)C2F5 (Novec 612TM) as a 

substitute for SF6. 

− CO2 “Snow”: German researchers are investigating the efficacy of applying solid CO2 “snow” to 

protect molten magnesium from oxidation. The CO2 snow is reported to cool the melt surface and 

displace ambient air as it expands, thus limiting oxidation. 

Technology Status/Application

• Electric power systems: 

- At least one utility is known to use SF6/N2 and SF6/CF4 gas mixtures for circuit breakers used in cold 

weather, at transmission and sub-transmission voltage levels (i.e., 500 kV and below); 

- EPRI is testing a “Solid State Current Limiter” - a “SF6-Free” circuit breaker type device.

• Magnesium casting: HFC-134a and Novec 612TM are reported to provide good molten metal protection in 

magnesium production and die-casting applications. CO2 snow protection is being studied at laboratory and 

pilot scales.

Current Research, Development, and Demonstration 

RD&D Goals

• To find substitutes for SF6 that have comparable insulating and arc quenching properties in high-voltage 

applications and/or protect molten magnesium – and significantly less or no global-warming potential. 

RD&D Challenges

• Electric power systems: To date, no widely applicable alternatives have been found for SF6. The primary 

RD&D challenge is to find an acceptable insulating medium for high-voltage applications; alternative gases 

will most likely requirement equipment modifications. 

• Magnesium casting: 

− Characterizing chemical and physical mechanisms that govern protection of molten magnesium through 

use of cover gas. 

− Selecting effective gas substitutes that not only guard against magnesium burning, but also minimize 

emissions of greenhouse gases or other pollutants of concern. 

− Isolating the best methods of gas distribution to overcome the potential disturbances associated with 

magnesium melt turbulence and temperature. 

RD&D Activities

• Electric power systems: The Electric Power Research Institute (EPRI) is investigating a solid-state current 

limiter that may lead to future equipment designs that do not require SF6 insulation. 

• Magnesium casting: 

- EPA and the magnesium industry are working in a voluntary partnership to eliminate SF6 emissions 

- SINTEF and CAST continue their work with alternative gases and HFC-134a. Based on their findings 

regarding solubility of fluorine in molten magnesium, SINTEF is researching the viability of bubbling a 

fluorine-bearing gas through the melt or adding fluorine in a solid matrix, such as iron fluoride. 
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Recent Progress 

• Electric power systems: Gas mixtures, as discussed above, have been used successfully in cold-weather 

applications; some equipment and gas manufacturers are devoting R&D resources into alternatives. 

• Magnesium producers and casting firms report promising results from early production-scale trials of 

alternative fluorinated cover gases. 

Commercialization and Deployment Activities 

• 145kV vacuum interrupter commercially available in Japan. 

• If a substitute gas is found, commercialization and deployment are not expected to represent hurdles. Gas 

mixtures appear to be readily available to potential users in cold regions where they are applicable. 

Market Context

• Electric Power Systems: Circuit breaker equipment used in high-voltage electricity transmission and 

distribution; “SF6-Free” power equipment, such as the 145kV vacuum breaker, is 2-3 times more expensive 

than high-voltage power equipment currently available in the market. 

• Magnesium Industry: All magnesium production and casting firms that use SF6 for magnesium melt 

protection. 
4.3.6 SUPERMARKET REFRIGERATION: HYDROFLUOROCARBON EMISSIONS

Technology Description 

To comply with the U.S. Clean Air Act, supermarkets are phasing out the use of ozone-depleting refrigerants. 

As substitutes, the industry is using hydrofluorocarbons (HFCs), which are potent greenhouse gases. To ensure 

that food products are kept cold, the typical supermarket design pumps these HFC refrigerants through miles of 

piping and thousands of joints. Historically, annual emissions of 35% to 50% of the 2,000- to 4,000-pound 

charge have occurred. As old stores are replaced and new ones built, new technologies can drastically limit 

greenhouse gas emissions. 

System Concepts 

• Better equipment design and store layout can lead to a reduction in the amount of refrigerant needed for a 

given amount of product cooling. 

• Additionally, replacing the complex miles of piping with either distributed cooling systems or a single 

centralized refrigeration plant can reduce the percent of refrigerant emitted annually. 

Representative Technologies 

• Distributed Refrigeration is a technology that puts refrigeration equipment closer to the food display cases, 

eliminating the need for excessive refrigerant piping throughout the store to reach a mechanical room sited 

away from the food. 

• Secondary-Loop Refrigeration segregates refrigerant-containing equipment to a separate, centralized 

location, and uses a benign fluid to transfer heat from the food display cases. 

Technology Status and Applications 

• Both concepts have existed for some time but have seen very little adoption in the highly competitive, lowmargin supermarket business. 

• Only a handful of secondary-loop systems have been installed in the United States, primarily for “mediumtemperature” (e.g., dairy products) portions of supermarkets. Very few “low-temperature” (e.g., frozen 

foods) systems exist in the world. 

• Both technologies centralize refrigerants to one or a few locations. This allows for economical installation of 

leak-detection equipment to alert system operators when HFC refrigerant emissions occur. 

Current Research, Development, and Demonstration 

RD&D Goals and Challenges 

• Continuously improve energy-use performance of these new technologies, investigating various designs, 

control strategies, and operational techniques. 

Condenser

Compressor

Display

Case Coils

(IHX) Intermediate

Heat Exchanger

Pump

Expansion Valve

Secondary Loop Design

Secondary-Loop Refrigeration, where an extra

pump and internal heat exchanger are added to

the equipment used in a conventional design.

Distributed refrigeration technology can be

seamlessly integrated into a store.

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• Investigate ways to reduce installation and operational costs of new technologies. 

• Demonstrate applicability and advantages in various locations, store sizes, and product mixes. 

• Educate store designers and builders regarding new technologies and how these technologies can be 

integrated into new or retrofitted stores at a net savings.

RD&D Activities

• EPA has built a facility to test secondary-loop refrigeration systems. Additional funding from DOE has been 

provided to support the research and test related products. 

• Various manufacturers and supermarkets are conducting their own proprietary research on these 

technologies. 

Recent Progress 

• Existing systems have proved relatively easy to operate and maintain. Minimal refrigerant leakage has 

provided an economic benefit for the storeowner as well as an environmental benefit for society. 

• Under the U.S./Australia Climate Action Partnership, the possibility of building and monitoring a typical 

and secondary-loop store is being explored. This will allow verification of potential benefits. 

Commercialization and Deployment Activities 

• The most opportune time to implement these technologies is during new store construction or during major 

overhaul and retrofit of existing stores. There are more than 30,000 supermarkets in the United States, and 

this is likely to grow with a growing population. Because many stores are currently switching from ozonedepleting refrigerants, there is a high potential to introduce these new technologies quickly if technical, 

economical, and educational challenges are met. 

Market Context 

• High competition in design and construction of supermarkets creates unwillingness to explore newer, 

unfamiliar technologies despite potential benefits. 

• Low-margin business creates “chicken-and-egg” situation where supermarkets are unwilling to install new 

technologies until the benefits are proven, but benefits cannot be proven until supermarkets install new 

technologies. 
4.4NITROUS OXIDE EMISSIONS FROM COMBUSTION AND INDUSTRIAL 

SOURCES 

4.4.1 NITROUS OXIDE ABATEMENT TECHNOLOGIES FOR NITRIC ACID 

PRODUCTION 

Technology Description 

Nitric acid (HNO3) is an inorganic compound used primarily to 

make synthetic commercial fertilizer. As a raw material, it also is 

used for the production of adipic acid and explosives, metal etching, 

and in the processing of ferrous metals. Plants making adipic acid 

used to be high emitters of nitrous oxide (N2O), but now that adipic 

acid plants in the United States have implemented nitrous oxide 

abatement technologies, nitric acid production itself is the largest 

industrial source of N2O emissions. The nitric acid industry

currently controls NOx emissions using both nonselective catalytic 

reduction (nonselective catalytic reduction) and selective catalytic 

reduction (selective catalytic reduction) technologies to reduce N2O 

to elemental nitrogen. While nonselective catalytic reduction is more 

effective than selective catalytic reduction at controlling N2O, 

nonselective catalytic reduction units are not generally preferred in 

today’s plants because of high-energy costs and associated high gas 

temperatures. Only 20% of nitric acid plants use nonselective 

catalytic reduction today. Additional research is needed to develop 

new catalysts that reduce N2O with greater efficiency, and to 

improve nonselective catalytic reduction technology to make it a 

preferable alternative to selective catalytic reduction and other control options. 

System Concepts 

• Nonselective catalytic reduction uses a fuel and a catalyst to consume free oxygen in the tail gas and convert 

NOx to elemental nitrogen (Chartier, 1999). Nonselective catalytic reduction can reduce N2O emissions by

80%-90%. (IPCC, 2000)

Representative Technologies

• The gas from the NOx abatement is passed through a gas expander for energy recovery. Nonselective 

catalytic reduction units produce stack gases in the 1,000°F to 1,100°F range that require more exotic 

materials for constructing the expander and have higher maintenance costs. 

Technology Status/Applications 

• Virtually all of the nitric acid produced in the United States is manufactured by the catalytic oxidation of 

ammonia (EPA, 1991). During this reaction, N2O is formed as a byproduct and is released from reactor 

vents to the atmosphere. While the waste gas stream may be cleaned of other pollutants – such as nitrogen 

dioxide – there are currently no control measures aimed at specifically eliminating N2O emissions. 

Current Research, Development, and Demonstration 

RD&D Goals 

• RD&D goals are focused on the catalysts used to convert NOx into elemental nitrogen. 

RD&D Challenges 

• The use of a catalyst that can reduce a higher percentage of N2O emissions is not the focus of the current 

research. The technology is primarily implemented in order to reduce NOx emissions, not as an N2O 

emission-reduction technology. 

• Develop catalysts that reduce N2O to elemental nitrogen with greater efficiency. 

• Promote the use of nonselective catalytic reduction over other NOx control options such as selective catalytic 

reduction and extended absorption.

Nitric-acid plant controls for NOx

using both nonselective catalytic 

reduction and selective catalytic 

reduction technologies. 

Nonselective catalytic reduction is 

very effective at controlling N2O. 

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RD&D Activities 

• Information on R&D activities to develop new catalysts for nonselective catalytic reduction technologies is 

unavailable. To date, RD&D expenditures have been made by the industry. Estimates of future expenditures 

by the industry are not available. 

Recent Progress 

• Currently, the nitric acid industry controls for NOx using both nonselective catalytic reduction and selective 

catalytic reduction technologies. Nonselective catalytic reduction is very effective at controlling N2O, while 

selective catalytic reduction can actually increase N2O emissions. Nonselective catalytic reduction units are 

generally not preferred in modern plants because of high energy costs and associated high gas temperatures. 

Only 20% of nitric acid plants use nonselective catalytic reduction. 

Commercialization and Deployment Activities 

• Nonselective catalytic reduction units were widely installed in nitric acid plants built between 1971 and 

1977. It is estimated that approximately 20% of nitric acid plants use nonselective catalytic reduction (Choe, 

et al., 1993). Information on the status of the commercial development of nonselective catalytic reduction 

catalysts is not currently available, however. 

Market Context 

• Approximately 80% of current plants do not employ nonselective catalytic reduction, but instead use 

selective catalytic reduction or extended absorption units, neither of which are known to reduce N2O 

emissions. Research is underway into materials for catalysts that are applicable for N2O control in nitric acid 

plants that do not employ nonselective catalytic reduction. Nitrous oxide emissions from nitric acid 

production will be influenced by the degree and type of NOx emission control efforts that are applied in both 

new and existing nitric acid plants. 
4.4.2 NITROUS OXIDE ABATEMENT TECHNOLOGIES FOR TRANSPORTATION 

Technology Description 

Nitrous oxide (N2O) can be produced 

from fuel combustion and catalyticconverter operation in vehicles, 

primarily due to the nitrogen in the air. 

Little is understood about how much 

N2O is produced by vehicles and under 

what conditions and with what catalyticconverter technology. The main research

thrust in the near term is to begin to 

answer these basic questions. 

In addition to direct emissions of N2O, 

nitrogen oxide (NOx) emissions from

mobile and stationary sources have a 

significant impact on atmospheric N2O 

levels. More than 25 million tons of NOx

is emitted annually in the United States. 

Following transport and chemical 

interactions, approximately 7 million 

tons of these nitrogen emissions are 

deposited downwind. This compares 

to about 11 million tons of nitrogen deposited from fertilizer application. Since the 11 million tons is reported 

to account for about 70% of anthropogenic N2O emissions, the 7 million tons from atmospheric deposition 

appear to be significant. In the past, greenhouse gas emissions inventories have ignored the atmospheric 

nitrogen deposition due to uncertainties involved. Research is needed to define the contribution of NOx

emissions to nitrogen deposition and subsequent N2O emissions, and to identify the global warming benefits 

from ongoing and future NOx emissions control programs. 

System Concepts 

• Better understand the formation and magnitude of N2O emissions from fuel combustion and catalyticconverter operation. 

• Evaluate the climate-forcing potential atmospheric nitrogen deposition, especially from combustion 

sources. 

• Develop emission models to assess the potential climate benefits from changes in emissions from nitrogen 

oxides. 

Representative Technologies 

• Combustion and post-combustion NOx control technologies used in the tropospheric ozone control 

program. 

Technology Status/Applications 

• NOx control technologies are in place due to the ozone and acid deposition programs. 

Current Research, Development, and Demonstration 

RD&D Goals 

• Accurately understand the amount of N2O produced in various vehicles, how it forms, and how it can be 

reduced. 

• Develop N2O measurement techniques for emerging gasoline and diesel engines and their emission-control 

systems. Measurement technology is needed for both laboratory and field measurement. 

• Develop vehicle- and engine-testing programs to generate data about N2O emissions for a variety of 

vehicles and engines equipped with a range of current and advanced emission-control technologies and 

operated over a range of real-world operating conditions. 

Basic research is needed to understand the formation and magnitude of 

N2O emissions from fuel combustion and catalytic-converter operation. 

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• Research on the relationship of N2O emissions to technologies and approaches that reduce fuel consumption 

by stationary and mobile combustion sources, including programs that reduce vehicle miles traveled. 

• Quantify the climate-forcing impacts due to NOx emissions, nitrogen deposition, and N2O emissions. 

RD&D Challenges 

• To establish linkages of NOx emissions to climate-change impacts due to nitrogen deposition and enhance 

modeling capabilities to address these linkage issues. 

Recent Progress 

• EPA’s ozone-control program has reduced emissions of NOx. 

Commercialization and Deployment Activities 

• Additional NOx emissions controls will be implemented in the future to meet ambient air quality standards 

for ozone and particulate matter. 
4.5 EMISSIONS OF TROPOSPHERIC OZONE PRECURSORS AND 

BLACK CARBON 

4.5.1 ABATEMENT TECHNOLOGIES FOR EMISSIONS OF TROPOSPHERIC 

OZONE PRECURSORS AND BLACK CARBON 

Technology Description 

The role of black carbon (soot), organic carbon and tropospheric ozone in climate change is still evolving and 

additional research is needed to characterize emission sources, atmospheric concentrations, net climatic effects 

at global and regional scales, and technological responses. It is likely that activities to reduce tropospheric 

ozone precursors and black carbon (BC) will have large public health and local air quality benefits, in addition 

to their role in mitigating climate change. Abatement technologies in this area include: 

• Transportation control technologies - Tropospheric ozone and particulate matter (PM) emissions, of which 

BC is a component, resulting from motor U.S. vehicles have long been targeted because of their health and 

environmental consequences. Thus, vehicle manufacturers have developed increasingly effective control 

technologies to abate ozone precursors (especially nitrogen oxides or NOx) and emissions of PM, in 

response to stricter engine and emission standards. Aside from emission controls, increasing fuel efficiency

also reduces ozone precursors and BC. 

• Temperature reduction in cities - Heat islands form as cities replace natural vegetation with pavement for 

roads, buildings, and other structures. There are several measures available to reduce the urban heat island 

effect that can decrease ambient air temperatures, energy use for cooling purposes, GHG emissions, and 

ozone concentrations. (Related information can be found in the technology profile “Urban Heat Island 

Technologies” under “Buildings”). 

• Biomass burning - Important sources of BC and organic carbon (OC) aerosols in the United States include 

combustion of not only fossil fuels but also biomass burning. Available options to reduce open biomass 

burning include changing the frequency and conditions of prescribed burning and reducing open waste 

burning. 

System Concepts 

• Transportation control technologies - For on-road and non-road vehicles and equipment, future abatement 

technologies primarily involve sophisticated computer engine controls and treatment of exhaust emissions. 

Reduced fuel consumption and vehicle use also reduce ozone precursors and black carbon emissions. 

(Left) Available options to reduce open biomass burning

include changing the frequency and conditions of

prescribed burning and reducing open waste burning.

(Photo: National Geographic, presented by T. Bond, 2002) 

(Above) Reflective roofing technology is an effective 

way to reduce temperatures in cities, leading to GHG

reductions and tropospheric ozone concentrations,

(Source: Sarnafil) 

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• Temperature reduction in cities - Reduced temperatures reduce the need for summertime cooling energy, 

decrease biogenic volatile organic carbon emissions and evaporative losses from mobile and stationary 

sources, and reduce photochemical reaction rates, which may reduce ozone production. 

• Assess the importance of biomass burning, including agricultural, prescribed, and wild fires. 

Representative Technologies 

• Transportation control technologies include advanced tailpipe NOx controls (including NOx adsorbers), PM 

filters (traps) for diesel engines (including catalyzed traps capable of passive regeneration), and hybrid and 

fuel cell vehicles. 

• Representative technologies for temperature reduction in cities include: 

− Strategically planted shade trees 

− Reflective roofs: There are more than 200 Energy StarTM roof products, including coatings and singleply materials, tiles, shingles and membranes. Energy savings with reflective roofs range as high as 

32% during peak demand (summer average of 15%). 

− Reflective paving materials: There are several reflective pavement applications being developed, 

including new pavement and resurfacing applications, asphalt, concrete and other material types. 

White-topping is becoming increasingly popular. 

• Alternatives to biomass burning include prescribed burning programs (which are directed at minimizing 

wildfires), and regulation or banning of open burning (such as in land clearing). 

Technology Status/Applications 

• Transportation control technologies - Heavy-duty diesel engine manufacturers are pursuing advanced NOx 

controls and particulate matter filters to meet stringent 2004 and 2007 emission standards for highway

trucks and buses and 2010 standards for nonroad diesel construction, agricultural and industrial equipment. 

In addition, hybrid and fuel cell alternatives are under development. 

• Technology status for temperature reduction in cities 

− Shade Trees - Nationally, there are numerous tree-planting programs. Some utilities have partnered 

with urban forestry groups to encourage residential shade tree planting to reduce energy consumption 

from air conditioning. Further, several communities have implemented shade tree ordinances. 

− Reflective Roofs - A few states (e.g., Georgia and Florida) have incorporated reflective roofs into their 

state energy codes. Some states (e.g., California) and communities have reflective roof incentive 

programs. Reflective roofs are given credit in several environmental rating programs including the 

U.S. Green Building Council’s LEED (Leadership in Energy and Environment) rating system. 

− Reflective Pavements - Some communities are installing alternative pavement parking lots and alleys – 

mainly using porous pavement technologies. White-topping is also becoming increasingly popular. 

Current Research, Development, and Demonstration 

RD&D Goals 

• Transportation technologies - Cost-effective NOx and PM black carbon engine and vehicle controls, 

especially for diesel engines, hybrid-diesel, and gasoline drive trains for medium- and heavy-duty vehicles. 

• Temperature reduction in cities - Understand and quantify the impacts that heat island reduction measures 

have on local meteorology, energy use, GHG emissions, and air quality; develop an application, based on 

geographic information systems, that predicts heat island outcomes from different development scenarios. 

• Basic research is needed to better understand the joint role of BC and OC in climate change, including 

establishing linkages between air pollution and climate change by enhancing modeling capabilities; 

designing integrated emissions control strategies to benefit climate, regional and local air quality 

simultaneously. 

RD&D Challenges 

• Temperature reduction in cities - The interaction between meteorological, land surface, and emissionspecific parameters are not fully understood. 

• Biomass burning - To design integrated emissions control strategies to benefit global climate and regional 

and local air quality simultaneously and improve current wildfire research to be address black carbon and 

organic carbon. 

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RD&D Activities 

• Better understanding of the role of ozone and black and organic carbon in climate change 

• Transportation control technologies - Transfer of onroad diesel emission control technology to nonroad 

applications has begun with the nonroad diesel rule issued in 2004; development of in-use emission 

measurement techniques; gasoline vehicle particulate matter (inc. black carbon) characterization; develop 

retrofit emission control technology, and develop understanding of role of reducing fuel consumption and 

vehicle use on non-CO2 GHGs, and further development of hybrid, hydrogen internal combustion, and fuel 

cell technologies to a range of vehicle applications. 

• Transportation control technologies - Current focus of industry and EPA research is on developing and 

demonstrating effective, compact, and durable advanced NOx and particulate matter control systems. 

• Temperature reduction in cities - Tulane University and Lawrence Berkeley National Lab (LBNL) are 

modeling the impacts of heat island reduction measures on local meteorology in seven U.S. domains; 

LBNL is analyzing the urban fabric (surface composition) in several cities; and several groups in California 

are examining net benefits from trees. 

Recent Progress 

• Transportation control technologies - In 2000, stringent passenger car/light truck/sport utility vehicle 

standards were established to result in historically low levels of per-vehicle emissions of NOx beginning in 

2004. In 2001, stringent heavy truck and bus standards are resulting in creative technological approaches 

to difficult NOx and particulate matter standards. In 2004, standards similar to the bus and truck standards 

were established for nonroad diesel applications, and industry is pursuing similar technological approaches 

for NOx and PM control. 

• Biomass burning - EPA began monitoring of black carbon as part of the IMPROVE network in 1988 (110

monitoring sites). EPA also developed new source performance standards for residential wood heaters 

(promoting complete combustion and reducing particulate emissions). Open burning (including land

clearing) in many parts of the country has been regulated or banned in order to minimize emissions and 

help achieve national ambient air quality standards for particulate matter and ozone. 

Commercialization and Deployment Activities 

• Transportation control technologies - All new passenger cars, light trucks, and sport utility vehicles will 

have highly sophisticated emission controls after 2004. Manufacturers of heavy-duty engines have 

significant demonstration experience with particulate filter technologies, especially on urban buses. 

Commercialization of hybrid light- and heavy-duty vehicles is underway or beginning. 

• Temperature reduction in cities - Reflective roofing and paving technologies may be broadly applicable to 

U.S. cities, but benefits will vary. In addition, several reflective roof programs (e.g., California’s Cool 

Savings Program) require use of Energy StarTM Roof Products. 

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5.0 ENHANCING CAPABILITIES TO MEASURE AND MONITOR EMISSIONS 

5.1 HIERARCHICAL MM OBSERVATION SYSTEM

Technology Description 

Introduction 

• The primary focus of measuring and monitoring (MM) is to develop technologies for the measuring and 

monitoring of gross and net CO2 and other GHG emission and sinks. MM must be a component of each 

mitigation technology option to assure that net emission reduction is occurring and that the integrity of 

sinks is verifiable. Measures of performance within each mitigation option, which are quantifiable and 

support evaluation of progress and possible future financial transactions, must be developed. 

• Technology-specific profiles have been developed; but, in addition, there will be new sensor and controls 

needed to help each mitigation technology improve its performance – those are addressed in those sections. 

• An effective MM capability will require a hierarchical structure that can address scales from in situ soil 

carbon measurements, to emissions from vehicles, to large point sources, and area sources ranging from a 

landfill to large spatial regions (up to countries). 

• Assuring integrity of sinks is another key component of the system. As sequestration (all methods) is 

implemented, quantitative changes and leakage rates (<<1%?) must be verifiable or else leaks alone could 

result in emissions exceeding those of today. 

• There is significant connection between observations and modeling related to emissions, sinks, and carbon 

stocks, and climate change mediated biogeochemical feedbacks that will be accomplished with the CCSP 

and the MM portion of the Climate Change Technology Program (CCTP). CCTP will utilize the Climate 

Change Science Program (CCSP) advances to the maximum extent. 

System Concepts

• Sensors and associated information technology systems that provide an ability to determine carbon stocks, 

emissions, and sinks in a nested approach that can integrate point source information (e.g., leakage from 

geologic repository) with regional measurements or indicators of all GHG emissions to allow analysis at 

the scale-up to countries. 

• Systems must be designed to be additive and comparable so that information from one “layer” is verified 

and used by the next layer. It is probable that some locations will be needed as validation sites to illustrate 

MM approaches. These sites will have intensive measurement at the ground-based scale and thus verify the 

ability of remotely sensed systems to accurately estimate carbon stocks and fluxes. 

• Integrated MM measures will provide needed data for calculating net CO2 and other GHG emissions per 

unit of economic activity. 

Representative Technologies

• Inventory reporting methods and emissions factors for activities that provide for full life-cycle accounting 

of net CO2 and other GHG inventories, emissions, and sinks. 

• Platforms include satellites, buoys, aircraft, ground-based networks, and global arrays, which can house the 

typically broad spectrum of sensors. 

• Innovative chemical or isotopic markers to track sources and sinks at the process level detail that would 

facilitate regional tracking of GHG emissions. 

• Sensors include such items as continuous emission monitors, laser-based technologies (e.g., LIBS), mass 

spectrometers, lidar, radar, imaging spectroscopy, etc. 

• Data technologies include networked transmission (wired and wireless), data archiving technology, and 

computational platforms for distribution and analysis. 

Technology Status/Applications

• Emergence of new sensing technologies – e.g., chemical, laser, infrared, radar, light detecting and ranging 

(LIDAR), multispectral video, imaging spectrometers, mass spectrometers – and computing power capable 

of handling large amounts of data has spawned a new generation of instruments, databases, and computer 

models that can be adapted to MM challenges. However, integrated systems of data collection, 

management, and processing at the scale needed for MM do not exist. 
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• NASA’s Aura, Aqua, and Terra satellites (part of the Earth Science Enterprise mission) host a suite of 

scientific instruments that measure atmospheric trace gases, including ozone, aerosols, and greenhouse 

gases. These instruments are already delivering useful data on aerosols, water clouds, methane, and carbon 

monoxide. Future missions, e.g., Glory, will continue to enhance the data record of aerosols, clouds, solar 

irradiance, and other GHGs. 

• NASA’s Orbiting Carbon Observatory, to be launched in late 2007, is designed to map atmospheric CO2 on 

a global basis. 

• Simultaneous, high-precision measurements of O2 and CO2 and isotopes for estimating the role of various 

processes within the carbon cycle at regional scales. 

• Soil carbon analysis instruments are under development, but not ready for deployment. 

• Area-scale CO2 flux measurement systems are available and under improvement. 

• Continuous emission monitors (CEM) are available, but remain too expensive for full deployment and are 

not linked to data systems to be effective. 

• Satellite- and aircraft-based sensors for estimating biomass have been demonstrated and are being 

improved. 

Current Research, Development, and Demonstration 

RD&D Goals

• Develop an integrated system that meshes observations (and estimations) from point sources (e.g., power 

plant or geologic storage site), diffuse sources (e.g., from commercial and agricultural systems), regional 

sources (e.g., city/county), and national scales so that checks and balances up and down these scales can be 

accomplished. The system should be able to attribute emissions/sinks to both national level activities and 

individual/corporate activities and provide verification for reporting activities. 

• Inexpensive and easily deployed sensors for a variety of applications (stack emissions, N2O emissions 

across agricultural systems, CO2 fluxes across forested regions, CO2 and other GHG emissions from 

transportation vehicles. 

• Accurate “rules-of-thumb” (reporting/accounting rules) for practices that reduce emissions or increase 

sinks where comprehensive and accurate measurement is not feasible. Such rules must be based on sound 

scientific principles. 

• A high-resolution system that captures process-level details of sources and sinks (e.g. O2 or CO2, isotopes) 

and a methodology to scale it up reliably. 

• Data archiving and analysis system-to-integration observations and reporting information. 

RD&D Challenges 

• Alter current remotely based sensors (satellite and aircraft) from a focus on measuring atmospheric 

constituents to a focus of measuring CO2 and other GHG stocks and net fluxes. 

• Ground-based biomass and soil carbon measurement methods that are rapid, inexpensive, and accurate – 

and can address heterogeneity issues. 

• Methods to detect leakage rates from geological storage systems that may be small and may be highly 

variable over space and time. 

• Methods to measure ocean CO2 sinks and leakage rates. 

• Sensors that could be placed on individual emission sources (e.g., stack or vehicle exhaust) to provide data 

for new or modified MM technologies to aid emissions reduction by energy production systems. 

• Development of specific sensors, and their application to vertical integration of net emissions across all scales. 

• Formalized data and information systems that capture and distribute data, and that provide protocols for 

reporting results. 

• Framework under which measuring and monitoring are linked in a functional manner – and also work 

within a regulatory system for carbon credits or incentives. 

• Simultaneous measurements of many chemical/isotopic variables to capture process details. 

• Explore the use of current remotely based sensors (satellite and aircraft) for measuring CO2 and other 

GHG stocks and net fluxes. 
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RD&D Activities

• Scientific research on climate and the carbon cycle are resulting in new sensors and methods to estimate 

stocks and fluxes. 

• Newly funded R&D on sequestration options is resulting in new measurements systems for net ecosystem 

exchange of carbon, soil carbon and biomass changes, leakage indicators from geological systems, and 

ocean CO2 exchange methods. 

• Geophysical methods to determine integrity of geologic storage systems are under development and can be 

tested as large-scale demonstrations come on-line. 

• By 2010-2012, current plans will deploy satellites capable of measuring greenhouse gases in columnar 

samples of the atmosphere. With focused development and data-handling systems, such a sampling regime 

could be used to estimate a region’s or nation’s emissions. The Integrated Earth Observation System 

(IEOS) will facilitate these developments. 

Recent Progress 

• Ongoing demonstrations of geologic storage systems are helping to define the needs for characterizing 

particular geological structures and constant monitoring. 

• Global networks of greenhouse gas monitoring stations, in conjunction with advanced modeling 

techniques, have continually improved the understanding of greenhouse gas concentrations. 

• Laser-induced breakdown spectroscopy instrument to measure soil carbon in situ for less than 10% of the 

lab costs of other methods with comparable reliability. 

• Mid-range infrared spectroscopy to measure soil carbon and chemical composition. 

• Ocean buoys that can measure and transmit data from multiple depths are being used in scientific studies, 

but are not ready for cost-effective deployment. 

• Recent research shows coupling of interannual variability of trace gases (CO2, CO, and CH4) and biomass 

burning. (Van der Werf et al. Science Vol 303, Issue 5654, 73-76, 2 January 2004). 

Commercialization and Deployment Activities 

• Limited application within various technology areas is occurring, but no vertically integrated system is 

being tested at this time. 
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5.2 MM FOR ENERGY EFFICIENCY

Technology Description 

Introduction 

If measuring and monitoring (MM) for energy efficiency must be able to estimate impacts from mitigation 

actions at the level of corporations or sectors of usage, then MM must have the ability to quantify reductions in 

emissions at the point of energy usage through measurement or rules-of-thumb. The primary targets are 

transportation, buildings (commercial and residential), and industrial processes. The MM challenges 

significantly overlap needs in other technology areas. For example, the challenges in point and diffuse sources 

MM as part of “Other GHG” applies to energy efficiency, but with a focus on CO2. The point sources are 

industrial facilities, while the diffuse sources are primarily vehicles. 

System Concepts

• Continuous emission monitors (CEM) for point sources with data transmission and archiving 

complemented by inventory-based reporting so as to be able to evaluate the success of specific actions to 

improve efficiency. 

• For transportation, the systems could include: (1) testing at point of production and applying assumptions 

to actual performance, (2) on-board emission sensors with data transmission, and (3) local-scale sensors 

that function autonomously with data transmission so as to homogenize emissions in an area (must also 

have sensors to track number/type of vehicles). 

• Testing of equipment for residential and commercial usage (appliances, HVAC) at point of production; 

possibly with future sensors to monitor actual performance with data transmission (used for some 

installations, not feasible for all homes). 

• Testing of equipment for industrial processes (e.g., industrial boilers and furnaces) at point of production; 

possibly with wireless sensors and data transmission capability. 

Representative Technologies

• CEM for CO2 (linked with energy use statistics at a facility). 

• Direct measurement, or indirect measurement via tracer studies, over landscapes (for vehicle emissions); 

infrared, lidar, etc. 

• Test systems at point of production, complemented by testing actual use for some percentage of installed 

systems. 

Technology Status/Applications

• CEM are well developed, but improvements in performance, longevity, autonomous use, and data 

transmission are needed. 

• Local-scale systems generally not available, although concepts are being developed and tested at the 

research stage (e.g., isotopic indicators of CO2 sources). 

• Testing at point of production well established; methods to track actual performance autonomously not 

available. 

Current Research, Development, and Demonstration 

RD&D Goals

• Develop sensors and data transmission systems that allow quantification of emission reductions resulting 

from energy efficiency improvements. 

RD&D Challenges 

• Develop CEM that are robust, inexpensive, accurate, and operate autonomously with data transmission. 

• Demonstrate tower- or satellite-based sensors to measure CO2 and other GHG at local scales. 

• Data fusion with remotely sensed imagery and Geographic Information Systems (GIS). 

• Determine whether tracer/isotopic methods can identify source of CO2 and other GHG at local-to-regional 

scales. 

• Develop sensors for vehicles and appliances to measure energy use and emissions with data transmission. 

• Develop emissions estimates from the combustion of noncommercial fuels (propane, wood, landfill gas). 
U.S. Climate Change Technology Program – Technology Options for the Near and Long Term 

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RD&D Activities 

• High-temperature NOx, O2, ammonia, and other sensors are under development. 

• Engine diagnostics and controls. 

• Fast-response mass spectrometers are being developed. 

• A field laboratory that uses state-of-the-art FM-AM-LIDAR for remote monitoring of truck emissions 

(NOX, PM) and engine performance has been established in Knoxville, Tennessee. 

Recent Progress 

• Examples of new R&D results related to sensors, estimation methods. 

• Development of robust, wireless sensors and data transmitters for use in high-temperature, caustic 

industrial environments (e.g., steel mills, pulp and paper industry). 

• Development of the International Measurement and Verification Protocol for estimating energy savings. 

Commercialization and Deployment Activities 

• Activities are focused on deployment of new technologies, and measures of performance are typically 

comparisons of energy used. Limited use of sensors and data transmission directly for MM purposes. 
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5.3 MM FOR GEOLOGIC CARBON SEQUESTRATION

Technology Description 

Introduction 

Storing CO2 in geological reservoirs (oil/gas reservoirs, coal beds, saline formations, etc.) requires that 

concentrated CO2 streams be available1. These will result from separation and capture at fossil-fuel power 

plants and advanced concepts such as fuel cell or hydrogen facilities. Methods to fully account for carbon 

sequestration in these systems will require analysis of energy costs and full GHG accounting for separating, 

capturing, and transporting CO2 as well as during the injection to below-ground reservoirs. In addition to direct 

injection, there are concepts being proposed that involve storage of other carbon sources in deep reservoirs that 

would promote the generation of CH4 for energy. These concepts face many of the same challenges as injection 

and storage of concentrated CO2 streams. Once stored, the focus is on methods to measure and monitor (MM) 

for long-term storage or leakage. The challenge is to be able to detect the transport or small releases of carbon 

dioxide from great depths that may be highly variable in space and time. 

System Concepts 

• Separation and Capture: Dual focus of (1) methods based on process knowledge to fully account for energy 

penalties and carbon costs to obtain CO2 streams and (2) sensors to monitor fugitive emissions around the 

facility. 

• Transportation: Leak detection from pipelines or other transportation systems will include mass balance 

methods (in/out measurements), pressure transducers, remote detectors, and addition of specific gaseous 

tracers enabling remote leakage detection. 

• Geologic Storage: Multiple approaches will be necessary and include (1) direct detection of surface leakage 

(probably requires area or remotely sensed approach due to heterogeneity of release pathways), (2) 

indicators of leakage based on natural and induced tracers, (3) seismic/ electromagnetic (EM)/electrical 

resistivity (ER)/pressure monitoring networks, (4) intensively monitored validation sites (with those known 

to be leaky) may be required to confirm monitoring methods. For enhanced oil/gas recovery systems, 

robust measurements need to be made on both the injected CO2 and on the produced hydrocarbons to get 

an accurate carbon change balance because of measurement challenges on gases that are changing 

pressures/temperatures along their production pathways. 

Representative Technologies

• For leak detection from capture/separation, pipelines, and surface leaks from reservoirs there are options 

within traditional leak-detection technologies, advanced technologies (e.g., hand-held infrared remote 

imaging spectrometer, portable tracer gas detectors, inexpensive time averaged activated carbon traps for 

tracer gases), and aircraft or satellite-based sensors for CO2. Improved leak detection needed in produced 

hydrocarbon streams as well. 

• Indirect indicators for subsurface performance could include (1) observable effects on soil gas 

compositions and ecosystems (microbial and vegetation systems), although it is likely that changes would 

be observable only under high leakage rates, (2) deviations from model-predicted biogeochemical 

conditions of the subsurface fluids using either naturally occurring tracers/indicators or tracers induced 

during injection that have a well-predicted behavior pattern, (3) geophysical methods (pressure transient 

tests, seismic, EM, ER, etc.) to detect pressure changes and map migration pathways, (4) altered 

geochemistry of candidate receptor formations, and (5) detection of added tracers in control sites at various 

depths and within formation fluids from depth to the near surface. 

Technology Status/Applications 

• Leak-detection technologies are available but are too labor-intensive for routine use at a global scale. 

• Even excellent leak detection technologies currently provide spot measurements over very small parts of 

very large geographic sampling areas. 

 

1

 The discussion of separation, capture, and transportation of CO2 here also applies to the option for direct injection 

of CO2 into deep ocean regions. 
U.S. Climate Change Technology Program – Technology Options for the Near and Long Term 

August 2005 – Page 5-7 

• Time-averaged traps that absorb and retain tracer gases that have been added to the sequestered CO2 could 

be readily developed/deployed for quarterly or annual verification procedures. 

• Process flow information is evolving that should result in accurate estimates of CO2 costs associated with 

capture and separation. 

Current Research, Development, and Demonstration 

RD&D Goals

• Develop ability to assess the continuing integrity of subsurface reservoirs using integrated system of 

sensors, indicators, and models. 

• Improve leak detection from separation and capture and pipelines systems (many opportunities to take 

advantage of accomplishments from other technology development efforts). 

• Apply remote sensors for other purposes to fugitive emissions from reservoirs and capture facilities. 

• Improve/develop/implement tracer addition and monitoring programs. 

• Evaluate microbial mechanisms for monitoring and mitigating diffuse, wide-area GHG leakage from 

geologic formations. 

• Determine “acceptable” leakage percentages since dissolution of CO2 into shallower formation fluids 

through a “diffusion grating” sequestration horizon enhances sequestration capacities many fold. 

• Document dissolution/mineral trapping potential that will remove CO2 from the formation fluids. 

RD&D Challenges 

• Low leakage rates occurring at spatially separated locations makes full detection difficult (this applies to 

both pipelines and reservoirs) likely requiring time averaged detection of added tracers. 

• Heterogeneity of leakage pathway and probable alteration over time makes detection and quantification 

difficult for reservoirs (local vs. large area measurement capability). 

• Indicators (e.g., seismic, EM, tracers) need further development for quantitative application or time 

averaging. 

• Null results are expected, but this makes it difficult to “prove” that sample frequency and locations are not 

missing leak emanations. 

RD&D Activities

• Significant efforts are ongoing for separation and capture technology development. 

• Demonstration tests for geologic storage are ongoing and planned, which should provide test beds for MM 

options. 

• Seismic testing methods are well-developed for exploration, and can be deployed for evaluating integrity of 

geologic formations for long-term storage of CO2. 

• Geochemical studies in deep formation environments are investigating the evolution of potential mineral 

trapping of CO2. 

Recent Progress 

• Seismic methods are being used at the Sleipner test to map the location of the injected CO2 gas phase, but 

such methods are not capable of aiding mass balance over the long-term performance periods. 

• Geophysical methods need to be developed to track supercritical CO2 in a diffuse (fingered) configuration 

that will be most typical of extended injection. 

• Models, geophysical methods, and tracer indicators are being developed through the GEO-SEQ project. 

• Development of innovative coatings for activated carbon particles within beads that may improve passive 

time-averaged sampling. 

• Detection of CO2 emission from natural reservoirs has been investigated by researchers at the Colorado 

School of Mines, University of Utah, and the Utah Geological Survey, including attempting isotopic 

discrimination of biogenic CO2 from microbial respiration. 

• Fundamental research on high-resolution seismic and electromagnetic imaging and on geochemical 

reactivity of high pCO2 fluids is ongoing in basic science programs. 

• ORNL application of PFT tracer gases to Frio tests and NETL PFT testing at surface during injection (Frio 

and New Mexico). 
U.S. Climate Change Technology Program – Technology Options for the Near and Long Term 

August 2005 – Page 5-8 

Commercialization and Deployment Activities 

• Sleipner demonstration ongoing – seismic methods in qualitative mapping of CO2 volume and integrity of 

geological formations. 

• Insala, Algeria, gas field CO2 reinjection project (similar to Sleipner, but on land) being initiated with 

MMV a component of the research. 

• GEO-SEQ field tests at Frio site. 

• SNL-LANL field tests. 

• Australian demonstrations. 

• Canadian demonstration at Weyburn, Saskatchewan, in collaboration with the North Dakota gasification 

plant. 

• A system of CO2 capture and geologic reservoirs has a vast potential for storing CO2. Demonstrations are 

in place or planned and offer outstanding opportunities for early development and testing of MM methods, 

so that wide-scale implementation of the technology will be acceptable to the public in the future. 
U.S. Climate Change Technology Program – Technology Options for the Near and Long Term 

August 2005 – Page 5-9 

5.4 MM FOR TERRESTRIAL CARBON SEQUESTRATION

Technology Description 

Introduction 

Terrestrial ecosystems (forests, pastures, grasslands, croplands, etc.) offer significant near-term and low-cost options 

to sequester carbon. Of course, such lands also can contribute to emissions through normal operations (e.g., tillage 

practices, fertilizer use, fires, and pests). Measuring and monitoring (MM) technologies must address both aspects so 

that a full accounting of changes in carbon stocks and fluxes of CO2 or other GHG can be determined. 

System Concepts

• A hierarchical system will integrate carbon sequestration (CS) measurements of different system 

components (e.g., soils, ecosystems) and for a range of scales (e.g., plot, landscape, regional) to provide a 

net accounting of CO2 (and other GHG) inventories, emissions, and sinks. 

• Routine reporting and measurement systems must be complemented with intensive monitoring on 

multiscale experimental sites to ensure validation of the methods. 

• A system for analysis of the large quantities of data must be developed, as data alone will be insufficient to 

assess changes in stock, emissions, and sinks. 

Representative Technologies

• The USDA Forest Service’s Forest Inventory and Analysis Program and the Natural Resources 

Conservation Services’ National Resources Inventory provide the underlying data for estimating a national 

carbon inventory and annual changes in carbon pools for forest, pastures, and croplands. 

• Airborne and space-based platforms used to remotely sense land use/cover changes and biomass (e.g., LAI, soil 

moisture) are in place and are undergoing use and further enhancements and validation via land-based studies. 

• Eddy covariance flux towers for area-scale CO2 flux measurements. 

• Laser-induced breakdown spectroscopy for soil carbon analysis for point measurement (<mm2) and 

neutron-scattering methods for volumetric measurement (~1 m3). 

• A variety of models and decision-support tools for converting observations to information that can be used 

to implement greenhouse gas stabilization practices are being developed. 

Technology Status and Applications

• Imaging, LIDAR, and RADAR remote sensing methods are being developed and tested for 3-D imaging of 

forest structure. Quantification is lacking and directly coupled, land-based measurements are not able to be 

easily integrated with remote sensing data. 

• Laboratory-based LIBS analysis is calibrated and in testing; rapid, in situ soil carbon measurement systems 

are under development but not ready for field implementation. 

• Eddy covariance flux measurement systems are being developed, but are not ready for deployment with all 

landscapes and would be difficult to implement at high spatial density. 

• Methods and models to process land inventory data for estimating carbon changes and attributing changes 

to human-caused and natural factors are being revised as more accurate data are provided by recent 

technologies. 

• Testing of nonimaging synthetic aperture radar to estimate forest biomass. 

Current Research, Development, and Demonstration 

RD&D Goals

• Provide integrated, hierarchical system of ground-based and remote sensing for carbon pools and CO2 and 

other GHG flux measurements. 

• Reduce uncertainty on regional-to-country scale inventories of carbon stocks. 

• Develop low-cost, portable, rapid analysis systems for in situ soil carbon measurements. 

• Develop standard estimates that relate management practices to net changes in emissions/sinks over time 

(e.g., life cycle of wood products, changes in agricultural crop rotations, energy use in ecosystem 

management, etc.). 

RD&D Challenges 

• Emission/sink factors for management practices must be based on a more complete understanding and 
U.S. Climate Change Technology Program – Technology Options for the Near and Long Term 

August 2005 – Page 5-10 

quantification of ecosystem carbon allocation and storage processes. 

• The broad range of required scales, cover types, and ecosystems will require the development of (1) remote 

sensing integrated with other measurements at various levels of coverage, duration, and intensity and (2) 

low-cost, robust measurement systems that can effectively be used at different scales. 

• For such data collection methods to be of value, advanced data distribution, analysis, and simulation tools 

will be needed for scale-up of site-specific changes in carbon stocks to regional and global estimates. Sites 

covered need to be expanded as part of extensive monitoring and intensive measurement systems. 

RD&D Activities 

• The AmeriFlux network is being completed. It will improve our understanding of carbon pools and fluxes 

in large-scale, long-term monitoring areas and intensive experimental sites. 

• Terrestrial carbon process R&D and technology development through the North American Carbon Program 

(NACP) will result in an understanding of mechanisms of carbon sequestration, and will contribute to the 

development of standard estimates for applications of carbon management practices. 

• Technology for in situ sensors is supported. 

• Development of remote sensing platforms and ground-based validation of carbon stocks is underway and 

should lead to national-scale methods. 

• Development of statistically based approaches for regionalizing the United States, based on spatially 

variable features such as soil, climate, and land-use characteristics. 

Recent Progress 

• USDA FIA and NRCS program provide information to assess the structure and condition of U.S. forests, 

croplands, pastures, and grasslands that is then converted to state, regional, and national carbon inventories. 

• Prototype soil carbon analysis systems have been developed and are undergoing preliminary field testing. 

• Satellite and low-altitude remote sensing technologies have been developed that can quantify agricultural 

land features at spatial resolution of approximately 0.5 m2. 

• Prototype versions of Web-based tools for estimating carbon budgets for regions. 

• Increased accuracy of carbon sequestration estimates related to land management and full carbon 

accounting. 

Commercialization and Deployment Activities 

• Forest inventory measurement methods are being deployed at the project scale within the United States and 

other countries that will allow assessment of costs, utility, and accuracy. 

• Tillage and land conservative practices are ongoing and offer test-beds for ground-based and remote 

sensing methods, as well as verification of rules of thumb for emissions factors. 

• Opportunities for software development and support; and for development of models to support reporting 

under the 1605(b) program. 
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August 2005 – Page 5-11 

5.5 MM FOR OCEAN CARBON SEQUESTRATION 

Technology Description 

Introduction 

There are two approaches for carbon sequestration in the ocean – direct injection and fertilization. These 

require somewhat different measuring and monitoring (MM) strategies. For direct injection, the separation, 

capture, and transportation of CO2 must be addressed as well.2 Sequestering CO2 in the deep ocean below the 

main thermocline (depths of >1,000–1,500 m) should result in extended residence times, and the main measure 

of performance will be quantities of CO2 injected and then tracking the dispersion of the concentrated CO2

plume. MM systems are needed to monitor spatial and temporal CO2 concentration histories. For fertilization 

strategies, the primary measure of performance will be the quantity of carbon exported deeper in the water 

column and its longevity. Sensors for direct measure augmented by remotely sensed indicators for the surface 

ocean and water column will be required. 

System Concepts

• Injection: MM systems are needed to provide histories of CO2 concentration profiles near the injection sites 

and track the dispersion and potential release of CO2 to the atmosphere. 

• Fertilization: MM systems should address both direct measurements of CO2 concentration as well as 

indirect measures of performance that might be easier to accomplish. 

• Alternatively, models of ocean circulation and biogeochemistry could be used to provide projections of 

CO2 leakage rates and representative small volumes of the ocean would be intensively monitored for 

validation of model accuracy. 

Representative Technologies

• Measurement of comprehensive trace gas parameters [Total CO2 (TCO2), Total Alkalinity (TALK), partial 

pressure of CO2 (pCO2), and pH] that represent an amount of CO2 concentration in seawater (measurement 

of any two of these four parameters could result in calculation of other pair); extensive use of floats that 

cover various depths and report data back directly to data handling systems. 

• Indirect indicators of fertilization effectiveness may be possible (phytoplankton biomass, pH, particulates, 

etc) rather than CO2 measurements; satellite-based sensors may be able to provide quantitative indicators 

with selective validation via physical measurements. 

• CO2 sensors that “track” the dissolved CO2 plume from injection locations. 

Technology Status/Applications

• Extensive use of floats and buoys is ongoing for studies of the carbon cycle, but these are expensive and 

ship-intensive. 

• Determining CO2 concentration via comprehensive measurement is ongoing, but costs and complexity are 

prohibitive from an MM viewpoint. 

Current Research, Development, and Demonstration 

RD&D Goals

• Develop integrated MM concepts that include direct measurement, model analysis, and indirect indicators 

that can be used across the scales needed to verify process information and ocean-wide observations. 

• Data transmission and analysis systems that avoid expensive ship time. 

• Quantitative satellite-based sensors for surface ocean indicators of sequestration effectiveness. 

• Determine whether direct measurement of plume dispersion or model analysis with selective validation is 

needed for direct injection MM. 

RD&D Challenges 

• Development and testing of robust sensors working at the pressure of deep oceans are still needed. 

• Develop the ability to track the fate of direct injected CO2.

 

2

 MM strategies for separation, capture, and transport of CO2 are addressed in technology Profile 5.3 MM for 

Geologic Carbon Sequestration. 
U.S. Climate Change Technology Program – Technology Options for the Near and Long Term 

August 2005 – Page 5-12 

• Develop sensors to provide robust measurements of CO2, and other species introduced by impurities with 

CO2 in seawater under a range of temperature and pressure conditions, from the deep ocean to the surface. 

• Calibrate and test the sensors using the inter-comparison with proven equipment method in the laboratory 

and at sea conditions. 

• Reduce uncertainty in measurements. 

• Develop the ability to transfer measurements via satellite systems to centralized data collecting stations. 

RD&D Activities 

• For more than 10 years (1990-2000) the U.S. DOE and NOAA have sponsored the ocean carbon dioxide 

survey during the World Ocean Circulation Experiment (WOCE), monitoring the carbon concentration in 

the Indian, Pacific, and Atlantic oceans from the research oceanographic ships. The global WOCE carbon 

data set includes ~23,000 oceanographic stations. 

• Low-cost discrete measurement sensors are under development. These sensors will be used in conjunction 

with the conductivity, temperature, depth (CTD), and oxygen sensors to measure the ocean profile on 

oceanographic stations. 

• Development of floats with CO2 sensors (SOLO) is underway through the NOPP program. 

• Remote sensors are being developed to measure indicators of CO2 parameters. 

Recent Progress 

• MBARI has demonstrated the ability to inject and monitor via video camera and other sensors at depths; 

the challenge is to develop these into routine sensor systems. 

• Experimental facilities for testing sensors in simulated seawater at representative pressure and temperature 

are available at ORNL. 

Commercialization and Deployment Activities 

• Total CO2 is measured worldwide by use of single-operator multiparameter metabolic analyzers 

SOMMAs) coupled with coulometers; Total Alkalinity and pH are measured by closed-cell automated 

potentiometric titration system developed at University of Miami; discrete pCO2 is measured by an 

automated equilibrator-IR analyzer system, developed at LDEO. 
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August 2005 – Page 5-13 

5.6 MM FOR OTHER GHG

Technology Description 

Introduction 

Other GHG (e.g., N2O, CH4, PFCs, HFCs, SF6) are emitted from both point sources (industrial plants) and 

diffuse sources (open pit coal mines, landfills, rice paddies, and wastewater treatment lagoons) and offer unique 

challenges due to spatial and temporal variations. Measuring and monitoring(MM) technologies for both 

sources must include direct measurement of emissions as well as accurate reporting that is based on inventory 

accounting procedures or rules-of-thumb for activities or processes. Reporting methods are available and being 

improved. 

System Concepts 

• Continuous Emission Monitoring (CEM) for point sources with data transmission and archiving 

complemented by improved inventory-based reporting, and remotely sensed measurements. 

• For diffuse sources, the system will include (1) rules-of-thumb for emissions based on known processes 

(e.g., agricultural practices related to N2O emissions), (2) area-scale sensors that function autonomously 

with data transmission, and (3) remote sensing methods for local-to-regional scale estimation. 

Representative Technologies

• CEM for a wide variety of other GHG. 

• Direct measurement over landscapes. 

• Indirect measurement via tracer studies. 

Technology Status/Applications

• Diffuse emissions; Current technology (labor intensive) can estimate area-averaged atmospheric 

concentrations from diffuse emissions. New approaches are needed to quantify source and sink rates for 

other GHG. A more simple, reliable, and low-cost (meaning, presumably, unattended) method of 

measuring area-source emissions would be very helpful in producing both more accurate inventories and 

improving prospects for identifying low-cost reduction opportunities. 

• Point sources: CEMs and inventory-based accounting and reporting provide elementary capability for 

estimating point sources of GHG emissions. 

Current Research, Development, and Demonstration 

RD&D Goals

• Point sources: Inexpensive CEM, instruments to measure from stand-off distances, satellite-based sensors 

capable of point-source estimation, and improved understanding of process chemistry so that accountingbased estimates are more accurate. 

• Diffuse sources: New analytical tools for autonomous measurement, improved scientific understanding of 

processes to develop accurate rules-of-thumb, and remote sensors to quantify other GHG at multiple scales 

and in the vertical atmospheric profile. 

RD&D Challenges 

• Modeling activities that increase the accuracy of spatial estimates of N2O and CH4 from land management 

activities (e.g., nitrogen fertilizer, manure management, rice production, etc.). 

• CEM systems for industrial emissions that are robust and inexpensive that are linked to data collection, 

distribution, and analysis systems. 

RD&D Activities

• Limited scientific studies to measure or estimate emissions in systems such as landfills or agricultural 

practices are ongoing. 

Recent Progress 

• One approach involves tracer technique with Fourier transform measurement of sulfur hexafluoride tracer 

gas placed with emission sources. As a proxy, the tracer observations infer annual emissions, and while this 

procedure works, there are presently cost and logistical limitations. 

• Airborne platforms effectively monitor aerial concentrations of GHGs, and have some capability with 

identifying emissions sources; new detection and measurement systems are being evaluated. 
U.S. Climate Change Technology Program – Technology Options for the Near and Long Term 

August 2005 – Page 5-14 

Commercialization and Deployment Activities 

• Point source CEM methods and area-averaged concentration of GHGs can be obtained in limited 

applications; improved spatial resolution of measurements is needed before approaches are accepted by 

commerce and industry. 

• Methods do not exist for remote sensing of diffuse GHG emissions.