Shorenstein APARC
Stanford University
Encina Hall
Stanford,  CA  94305-6055

0
Senior Fellow at the Freeman Spogli Institute for International Studies
Kleinheinz Senior Fellow at the Hoover Institution
steve_kotkin_2023.jpg

Stephen Kotkin is a senior fellow at Stanford’s Freeman Spogli Institute for International Studies (FSI) and the Kleinheinz Senior Fellow at the Hoover Institution. Within FSI, Kotkin is based at the Shorenstein Asia-Pacific Research Center (APARC) and is affiliated with the Center on Democracy, Development and the Rule of Law (CDDRL) and The Europe Center. He is also the Birkelund Professor in History and International Affairs emeritus at the Princeton School of Public and International Affairs (formerly the Woodrow Wilson School), where he taught for 33 years. He earned his PhD at the University of California, Berkeley and has been conducting research in the Hoover Library & Archives for more than three decades.

Kotkin’s research encompasses geopolitics and authoritarian regimes in history and in the present. His publications include Stalin: Waiting for Hitler, 1929–1941 (Penguin, 2017) and Stalin: Paradoxes of Power, 1878–1928 (Penguin, 2014), two parts of a planned three-volume history of Russian power in the world and of Stalin’s power in Russia. He has also written a history of the Stalin system’s rise from a street-level perspective, Magnetic Mountain: Stalinism as a Civilization (University of California 1995); and a trilogy analyzing Communism’s demise, of which two volumes have appeared thus far: Armageddon Averted: The Soviet Collapse 1970–2000 (Oxford, 2001; rev. ed. 2008) and Uncivil Society: 1989 and the Implosion of the Communist Establishment, with a contribution by Jan T. Gross (Modern Library, 2009). The third volume will be on the Soviet Union in the third world and Afghanistan. Kotkin’s publications and public lectures also often focus on Communist China.

Kotkin has participated in numerous events of the National Intelligence Council, among other government bodies, and is a consultant in geopolitical risk to Conexus Financial and Mizuho Americas. He served as the lead book reviewer for the New York Times Sunday Business Section for a number of years and continues to write reviews and essays for Foreign Affairsthe Times Literary Supplement, and the Wall Street Journal, among other venues. He has been an American Council of Learned Societies Fellow, a National Endowment for the Humanities Fellow, and a Guggenheim Fellow.

Authors
News Type
News
Date
Paragraphs

This article was originally published in The Stanford Daily on August 22, 2022

For nearly two decades, Stanford has played host to what has quietly become one of the most influential pipelines to world leadership. Drawing 32 rising democratic leaders from 26 countries, Stanford’s Center on Democracy, Development and the Rule of Law (CDDRL) takes on a daunting annual task: Help shape the next generation of international decision-makers, many of whom will soon be at the forefront of global change.

Clearly, the program leaders — preeminent political scientists including democracy scholar Larry Diamond ’73 M.A. ’78 Ph.D. ’80, world-renowned political philosopher Francis Fukuyama, law professor Erik Jensen, CDDRL Mosbacher Director Kathryn Stoner, and former United States Ambassador to Russia Michael McFaul M.A. ’86 — are up to the task.

“When you see pictures today of Ukrainian President Volodymyr Zelenskyy in his bunker in Kyiv, Serhiy Leshchenko is right next to him. He’s one of our graduates,” Fukuyama said.

The Draper Hills Summer Fellows Program is an intensive academic training summit hosted by CDDRL that selects each class of global democratic leaders based on the existing work they have done to promote and protect democratic norms, as well as their potential to create more impact following the training program. 

“It all started in 2005 with Michael McFaul’s audacious idea that we could launch a Summer Fellows Program and try to train and interact with 30 of the brightest, most promising practitioners we could find around the world,” said law professor and Draper Hills lecturer Erik Jensen.

Erik Jensen Draper Hills 2022
Erik Jensen lectures on the rule of law at the Bechtel Conference Center. | Nora Sulots

Since then, Jensen said, the program has grown significantly, thanks to the generous support of Bill Draper and Ingrid von Mangoldt Hills, with even “more faculty who wanted to participate than we could accommodate.”

According to Fukuyama, Draper Hills has become an important forum for training democratic leaders around the world. 

“We try to provide a mixture of practical skills, networking tools and a stronger intellectual foundation so they can think about their future careers to determine the most strategically impactful way they can behave and act in the present,” he said.

In recent years, the program has shifted its focus toward technology, global warming, and poverty, which increasingly figure large roles in the fight for democracy, according to Jensen. Case studies, panels, and guest lectures from international experts fill the fellows’ three weeks on campus.

Outside of their classes in the Bechtel Center, the fellows tour San Francisco landmarks and enjoy group dinners hosted by the core faculty. In previous years, for example, fellows have visited local technology firms like Twitter, Google, and Facebook to explore “how democracies and autocracies can use technology to promote their goals,” Stoner said.

Draper Hills fellows discuss in class
Draper Hills Fellows discuss a case study on Indonesia’s Corruption Eradication Commission. | Nora Sulots

With help from the program, Draper Hills Fellows have consistently become leaders in law, politics, civil society organizations, and international development after graduation, with a growing alumni network of almost 400. Renchinnyam Amarjargalis, the former Prime Minister of Mongolia, was a fellow in 2005, along with other alumni who have risen to international prominence. 

Diamond added that the Foreign Affairs Minister of the government in exile of Myanmar, Zin Mar Aung, is also a former Draper Hills Fellow and has become “one of the most important leaders of the opposition in Burma fighting for democracy.”

The Draper Hills program gives its fellows more confidence and tools to see their work and struggles in a larger context, according to Diamond.

“Once you realize it’s part of a global pattern, you don’t feel that your national situation is quite so cursed,” he said. “You can draw strength from this solidarity and the sharing of experiences.”

Larry Diamond shares field experiences with fellows.
Larry Diamond shares field experiences with fellows. | Nora Sulots

Beyond the three weeks of the program, fellows remain connected to one another through on-campus gatherings, WhatsApp channels, and regional workshops around the world.

“As fellows, we are part of a very great network that always reminds us that, as activists for democracy and human rights, we are not alone,” said former Peruvian Minister of Education and current Draper Hills Fellow Daniel Alfaro. “There are others like us who are great fighters.” 

Participants, many of whom are already rising leaders in international democratic movements, are starting to see how valuable the program will be for their future work.

“Draper Hills has already expanded my horizons in terms of the roles that I can play in Mexican society to promote change, and provided many important allies and a network that can support these changes,” said current fellow Mariela Saldivar Villalobos, a Mexican activist and politician. “I feel deeply honored to have this opportunity. And I hope one day, Stanford will feel proud of investing its time and talent in me.”

Read More

Some of the original Ukrainian alumni from the Draper Hills Summer Fellowship gather in Kyiv in 2013.
News

A History of Unity: A Look at FSI’s Special Relationship with Ukraine

Since 2005, the Freeman Spogli Institute for International Studies has cultivated rich academic ties and friendships with Ukrainian scholars and civic leaders as part of our mission to support democracy and development domestically and abroad.
A History of Unity: A Look at FSI’s Special Relationship with Ukraine
Hero Image
Larry Diamond, Kathryn Stoner, Erik Jensen and Francis Fukuyama at the opening session of the 2022 Draper Hills Fellows Program
Larry Diamond, Kathryn Stoner, Erik Jensen and Francis Fukuyama at the opening session of the 2022 Draper Hills Fellows Program.
Nora Sulots
All News button
1
Subtitle

The Draper Hills Summer Fellows Program reconvened in person for the first time, bringing budding leaders together with the world’s most influential democracy scholars.

0
garifullina_square.png

Guzel Garifullina is a postdoctoral fellow at the Center for Democracy, Development, and Rule of Law (CDDRL). She earned a Ph.D. in Political Science from the University of North Carolina at Chapel Hill in 2021 and was a Postdoctoral Fellow at the Skalny Center for Polish and Central European Studies (University of Rochester) in 2021-2022.

Guzel's research focuses on local politics and governance in Russia, and she uses a variety of tools, including lab and survey experiments and analysis of detailed observational data to conduct comparative studies of authoritarian institutions. Her work appeared in Post-Soviet Affairs, Comparative Political Studies, Demokratizatsiya, and Europe-Asia Studies.

CDDRL Postdoctoral Fellow, 2022-2023
-
Guzel seminar

Comparative institutional studies have shown that the way we select public officials affects their behavior in office. Much less is known about how different selection procedures impact the types of individuals that choose to seek a political career, which would constitute one of the mechanisms connecting institutions and leader behavior. 

Guzel Garifullina argues that certain properties of the selection process lead to self-selection based on risk attitudes. Using a series of laboratory experiments in Russia, she demonstrates that higher costs of candidacy and public accountability of the selected officials lead to an increased role of risk-seeking in the decision to pursue an office. These findings imply, for example, that in hybrid regimes pro-regime candidates would be more risk-averse than the opposition candidates. The study expands the scholarship on ambition and candidacy in electoral autocracies. 

ABOUT THE SPEAKER 

 

Image
Guzel Garifullina

Guzel Garifullina is a Postdoctoral Scholar at Stanford’s Center on Democracy, Development, and the Rule of Law. She holds a Ph.D. in Political Science from the University of North Carolina at Chapel Hill. Her research focuses on authoritarian politics, Russian local politics and governance, and bureaucratic behavior. Guzel is currently working on several projects that try to improve our understanding of the Russian state and the incentives faced by its local agents. Furthermore, she explores public participation both online and through regime-approved local initiatives to identify the potential for citizen self-organization at the local level, even as the national regime pressure on any forms of dissent has grown exponentially. Guzel's co-authored work on Russian regional elites appeared in Post-Soviet Affairs, Comparative Political Studies, Demokratizatsiya, and Europe-Asia Studies.

Virtual to Public. Only those with an active Stanford ID with access to E008 in Encina Hall may attend in person.

Didi Kuo

Virtual to Public. Only those with an active Stanford ID with access to E008 in Encina Hall may attend in person.

0
garifullina_square.png

Guzel Garifullina is a postdoctoral fellow at the Center for Democracy, Development, and Rule of Law (CDDRL). She earned a Ph.D. in Political Science from the University of North Carolina at Chapel Hill in 2021 and was a Postdoctoral Fellow at the Skalny Center for Polish and Central European Studies (University of Rochester) in 2021-2022.

Guzel's research focuses on local politics and governance in Russia, and she uses a variety of tools, including lab and survey experiments and analysis of detailed observational data to conduct comparative studies of authoritarian institutions. Her work appeared in Post-Soviet Affairs, Comparative Political Studies, Demokratizatsiya, and Europe-Asia Studies.

CDDRL Postdoctoral Fellow, 2022-2023
Seminars
Authors
News Type
Commentary
Date
Paragraphs

With an ugly war of attrition in Ukraine threatening to drag on for months, some fear possible escalation and suggest Washington should start talking to Moscow about a cease-fire and ending the war, or offer proposals to foster diplomatic opportunities.

Ending the fighting may well require talks, but the decision to negotiate should lie with Kyiv.

The Russian army launched a large-scale invasion of Ukraine on three fronts on February 24. However, by the end of March, it had to abandon its goal of capturing the Ukrainian capital and withdrew from much of northern Ukraine. The Kremlin said its forces would then focus on Donbas, consisting of Ukraine’s easternmost oblasts of Donetsk and Luhansk.

By mid-July, Russian soldiers had occupied most of Luhansk. That represented a symbolic victory, but in reality three months of grinding fighting gained little new territory. The Russian army, which has seen roughly 15,000 to 25,000 soldiers killed in action and lost much equipment, appears exhausted.

The Ukrainian military has also taken heavy losses but has been bolstered by flows of new arms from the West. Among other things, Russian war crimes have provoked sharp anger among Ukrainians and strengthened their resolve to resist.

Now hardly seems a propitious time for negotiations.

To begin with, Russian President Vladimir Putin and his Kremlin show no sign of readiness to talk seriously. Russian officials articulated their war aims for Ukraine early on: denazification (of a government headed by a Jewish president), demilitarization, neutrality, recognition of occupied Crimea as Russian territory, and recognition of Donetsk and Luhansk as independent so-called “people’s republics.”

In early July, Russian National Security Council Secretary Nikolai Patrushev restated basically the same goals. Foreign Minister Sergey Lavrov on July 20 said that Russia had broadened its military aims and would seek to seize territory beyond Donbas. He later added that Moscow sought to end the “unacceptable regime” in Kyiv.

The Kremlin’s goals remain unchanged — Ukraine’s almost total capitulation — despite the fact that Russia’s performance on the battlefield has fallen well short of expectations and could deteriorate as the Ukrainians take military actions such as systematically destroying Russian ammunition dumps. Do those who urge talks see space for any compromise that would not leave Ukraine in a substantially worse position than before the most recent invasion began in February?

Even a cease-fire presents peril for the Ukrainian side. It would leave Russian troops occupying large parts of eastern and southern Ukraine, with no guarantee they would leave. The Ukrainians have learned from bitter experience. Cease-fires agreed in September 2014 and February 2015, supposedly to end the fighting in Donbas, left Russian and Russian proxy forces in control of territory that they never relinquished and did not fully stop the shooting. Moreover, the Russian military might use a cease-fire to regroup, rearm, and launch new attacks on Ukraine.

This is not to say that a cease-fire or negotiation should be ruled out. But, given the risks inherent in either course for Ukraine, the decision to engage in talks on a cease-fire or broader negotiations should be left to President Volodymyr Zelenskyy and his government.

If Ukraine’s leadership were now to conclude that it should seek a settlement, Moscow’s unyielding negotiating demands would require that Kyiv consider concessions. They would be painful for the Ukrainian side and would almost certainly encounter stiff public opposition: A July poll showed that 84% of Ukrainians opposed any territorial concessions. That included 77% in Ukraine’s east and 82% in the south, the two areas where most fighting now occurs.

Any negotiation thus would be fraught with risk for Zelenskyy and his team. Only they can decide when — or if — it is time to talk. Battlefield developments and future military realities may affect the calculation in Kyiv. If Ukraine’s leaders choose to begin negotiations, the West should not hinder them, but the West also should not press them to negotiate before they see a net benefit in doing so. Western officials should be leery of opening any channel to Moscow that the Russians would seek to turn into a negotiation over the heads of the Ukrainians.

To be clear, this war has an aggressor, and it has a victim. Those who advocate that Washington talk to Moscow fear that, if the war continues, Russia might consider launching attacks on targets in North Atlantic Treaty Organization (NATO) member states. One should not wholly exclude that possibility, but the Russian military has its hands full with Ukraine. It likely does not want to take on NATO directly as well.

The United States and NATO certainly have a major interest in avoiding direct military conflict with Russia. However, in order to minimize that risk, is it right to ask the Ukrainian government to make concessions to the aggressor, concessions that could reduce the size and economic viability of the Ukrainian state, that would provoke a sharp domestic backlash in the country, and that might not end the Russian threat to Ukraine?

One last point to weigh. If the West pressed Kyiv to accept such an outcome, what lesson would Putin draw should his stated desire to “return” Russia’s historic lands extend beyond Ukraine?

Published on Brookings.edu

Hero Image
Russia Tank Photo credit: via Getty Images
All News button
1
Subtitle

Ending the fighting may well require talks, but the decision to negotiate should lie with Kyiv.

Authors
News Type
Commentary
Date
Paragraphs

Vladimir Putin and the Kremlin had a number of reasons for invading Ukraine in February and starting the largest military conflict in Europe since World War II.  Putin sought to portray the pre-invasion crisis that Moscow created with Ukraine as a NATO-Russia dispute, but that framing does not stand up to serious scrutiny.

Putin tried hard.  In late 2021, he complained of NATO’s “rising” military threat on Russia’s western borders and demanded legal guarantees for Russia, as if the country with the world’s largest nuclear arsenal and largest army in Europe needed such guarantees.  Moscow proposed draft agreements with NATO and the United States that would have ruled out further NATO enlargement and required the Alliance to withdraw all military forces and infrastructure from members that had joined after 1997.

Washington and NATO offered to engage on other elements of the draft agreements regarding arms control and risk reduction measures, which could have made a genuine contribution to Europe’s security, including Russia.  However, U.S. and NATO officials would not foreswear further enlargement.  That became another grievance—along with false claims of neo-Nazis in Kyiv, genocide in Donbas and a Ukrainian pursuit of nuclear arms—that Putin cited in his February 24 explanation of his unjustifiable decision to launch a new invasion of Ukraine.

Some Western analysts continue to accept Putin’s argument that lays blame on NATO.  The history does not support that argument.

In July 1997, NATO invited Poland, Hungary and the Czech Republic to begin accession negotiations—but only after first laying the basis for a cooperative relationship with Russia.  In May 1997, NATO and Russia concluded the Founding Act on Mutual Relations, Cooperation and Security, which set up a permanent body for consultation and coordination.

Among other things, the Founding Act reiterated that NATO had “no intention, no plan and no reason” to place nuclear weapons on the territory of new member states.  The Act also noted that NATO saw no need for the “permanent stationing of substantial combat forces” on the territory of new members.  These statements reflected the Alliance’s effort to make enlargement for Moscow as non-threatening as possible in military terms.

From 1997 to early 2014, NATO deployed virtually no combat forces on the territory of its new members.  That changed following Russia’s use of military force to seize Crimea and its involvement in the conflict in Donbas in eastern Ukraine in March and April 2014.  Even then, NATO moved to deploy, on a rotating basis, multinational battlegroups numbering 1,000-1,600 troops in each of the three Baltic states and Poland—no more than tripwire forces.

As for advancing the Alliance to Russia’s borders, five current NATO members border on Russia or the Russian exclave of Kaliningrad (this does not include Finland, which requested membership only in May 2022).  Of the five current members, the last to join the Alliance, the three Baltic states, did so in 2004.  That was 18 years ago.  Putin did not raise a fuss then.

In fact, in May 2002, Putin met NATO leaders in Rome and agreed to a joint declaration on deepening and giving a new quality to NATO-Russia relations.  In his address at that NATO-Russia summit, Putin expressed no concern about NATO enlargement, even though the Alliance planned a second summit later that year, and the Russian president had to know that NATO then would invite additional countries, quite probably including the Baltic states, to join.

Putin has in recent years played up grievances against NATO enlargement in ways that he did not when NATO was enlarging in Russia’s neighborhood.  The four countries that joined the Alliance after 2004 are all in the Balkans, quite distant from Russia’s borders.  The Russian president reacted calmly to this year’s Finnish and Swedish decisions to apply to join—even though Finland’s addition will more than double the length of Russia’s borders with NATO.

As for Moscow’s concerns about Ukraine entering NATO, Russian diplomats and spies surely understood there is little enthusiasm within the Alliance for putting Ukraine on a membership track.  With Russian troops occupying parts of Ukraine (even before the February attack), membership would invariably raise the question of allies going to war against Russia.

Ironically, Russia had a neutral Ukraine in 2013.  A 2010 Ukrainian law enshrined non-bloc status for the country, and then-Ukrainian President Victor Yanukovych showed no desire to join NATO.  He was interested in concluding an association agreement with the European Union, but he came under massive pressure from Moscow not to do so in late 2013.  He succumbed to that pressure, and the announcement that Kyiv would not sign the completed association agreement triggered protests that same evening that began the Maidan Revolution.

Putin’s decision to launch a new attack on Ukraine appears to have several motivations.  One is geopolitical, the Kremlin’s desire to have a Russian sphere of influence in the post-Soviet space and its fear that Ukraine was invariably moving away from Moscow.  This is a broader question than Ukraine’s relationship with NATO.  But nothing has done more than Russian policy and actions since 2014 to push Ukraine away from Russia and toward the West.

Russian domestic politics looks like a second key factor.  For the Kremlin, a democratic, Western-oriented, economically successful Ukraine poses a nightmare, because that Ukraine would cause Russians to question why they cannot have the same political voice and democratic rights that Ukrainians do.  For the Kremlin, regime preservation is job number one.

The third factor is Putin himself.  Reading his July 2021 essay on Ukraine or his February 24 speech on Russia’s recognition of the so-called “people’s republics” in Donbas makes clear that Putin does not accept the legitimacy of a sovereign and independent Ukrainian state.  He regards most of Ukraine as part of historical Russia.

On June 9, the Russian president voiced the quiet part aloud, implicitly comparing himself to Peter the Great on “returning” historic Russian lands to Moscow’s control.  Putin said, “Apparently, it is also our lot to return [what is Russia’s] and reinforce [the country].”  He said not one word about NATO or NATO enlargement.

Case closed. 

Hero Image
Nato Russia Flags Photo Credit: accessed via Wikimedia Commons
All News button
1
Subtitle

Vladimir Putin and the Kremlin had a number of reasons for invading Ukraine in February and starting the largest military conflict in Europe since World War II.  Putin sought to portray the pre-invasion crisis that Moscow created with Ukraine as a NATO-Russia dispute, but that framing does not stand up to serious scrutiny.

Authors
News Type
Commentary
Date
Paragraphs

The Russian nuclear saber-rattling that has accompanied the invasion of Ukraine represents a level of nuclear risk unprecedented since the end of the Cold War. One wonders how global nuclear politics will adapt to these changing circumstances. The ongoing Russia-Ukraine war poses major challenges for several core international institutions and issues, from the upcoming Non-Proliferation Treaty review conference to President Biden’s proposed arms control efforts with Russia and China. Read more at thebulletin.org

Hero Image
Nuclear Chess Image credit: Thomas Gaulkin, from thebulletin.org
All News button
1
Subtitle

The Russian nuclear saber-rattling that has accompanied the invasion of Ukraine represents a level of nuclear risk unprecedented since the end of the Cold War.

Authors
Rose Gottemoeller
News Type
Commentary
Date
Paragraphs

Just days into Russia’s invasion of Ukraine, Dmitri Medvedev, the former president and prime minister of Russia, took to social media to post a chilling message. He raged against Western sanctions on his country and suggested darkly that Russia could rip up some of its most important agreements with the West. He mentioned the New START treaty, the nuclear arms reduction agreement signed with the United States over a decade ago, but the threat was broader still: the sundering of all diplomatic ties with Western countries. “It’s time to hang huge padlocks on the embassies,” he wrote.

Read the rest at Foreign Affairs

Hero Image
rocket shooting in the air U.S. Military
All News button
1
Subtitle

With Russia Going Rogue, America Must Cooperate With China

Authors
News Type
News
Date
Paragraphs

A vast array of critical new technologies rely on rare earth metals, a group of elements that are difficult to mine because they are so well dispersed in the earth and often contain radioactive elements such as thorium and uranium.

Over the last 20 years, demand for these elements in the U.S. has increased while domestic supply and production have fallen off. And globally, the supply chain is tightly controlled by just a few countries.

To explore the significant challenges created by this imbalanced supply chain, Gorakh Pawar, a visiting scholar at CISAC, and CISAC Co-Director Rod Ewing edited “Rare Earth Elements in Material Science,” a special theme issue of the MRS Bulletin, a journal of the Materials Research Society.

“With China's rapid rise and the reemergence of Russia as a major power, the global stage is set for multipolar competition to secure the critical materials supply chains and control the rare earth elements (REE) derived high-end products and relevant technologies,” Ewing and Pawar write in the introduction to the issue.

The issue includes six articles that delve into the material science aspects of the rare earth elements supply chain. Researchers from Australia, Germany, Korea and the US contributed articles on mineralogy, separation and extraction, mining economics and the environmental impact of rare earth element mining.

“REE recycling is no longer just a choice, but it has become necessary in a world where resources are constrained,” Pawar and Ewing write.

The MRS Bulletin includes recommendations that the US and other countries can follow to reduce dependence on China for rare earth elements.

The March issue of the MRS Bulletin can be found here

Hero Image
Journal Cover for MRS Bulletin
All News button
1
Subtitle

A vast array of critical new technologies rely on rare earth metals, a group of elements that are difficult to mine because they are so well dispersed in the earth and often contain radioactive elements such as thorium and uranium.

Authors
News Type
Q&As
Date
Paragraphs

A recent study has found small modular reactors (SMRs) may actually produce more radioactive waste than larger conventional nuclear power reactors has drawn reaction from vendors and supporters of SMRs.

Small modular reactors are often described as nuclear energy’s future. Nuclear power can generate electricity with limited greenhouse gas emissions, but large reactor plants are expensive, and they also create radioactive waste that pose a threat to people and the environment for hundreds of thousands of years. In an attempt to address this challenge, the nuclear industry is developing smaller reactors that industry analysts say will be cheaper, safer and yield less radioactive waste than the larger ones.

The study on SMRs noted above was conducted by Lindsay Krall, lead author and a former MacArthur Postdoctoral Fellow at the Center for International Security and Cooperation (CISAC), and co-authors Allison Macfarlane, professor and director of the School of Public Policy and Global Affairs at the University of British Columbia, and Rodney Ewing, the Frank Stanton Professor in Nuclear Security at Stanford and co-director of CISAC.

Summing up their findings, Krall wrote in the study, “Our results show that most small modular reactor (SMR) designs will actually increase the volume of nuclear waste in need of management and disposal, by factors of 2 to 30 per unit of energy generated for the reactors in our case study. These findings stand in sharp contrast to the cost and waste reduction benefits that advocates have claimed for advanced nuclear technologies.”

In a recent interview, Krall, Macfarlane and Ewing elaborated on the fuller context of and industry reaction to their study:

What have you learned from publishing this research?

Lindsay Krall: I would like to emphasize the positive responses to this article, particularly among experts in Europe’s nuclear waste management and disposal community, who found the results surprising and very important. It appears that the article has swiftly brought the discussion of SMR waste issues (or lack thereof) to the forefront and attracted the attention of decision- and policy-makers in certain European countries. This makes me hopeful that the results of this study and follow-up research will have a real-world impact and improve the viability of nuclear energy, at least in Europe.

Nevertheless, it is also apparent that the scarcity of practical expertise in nuclear waste management in the U.S., exacerbated by the 12 year-long absence of a waste management and disposal strategy, may make it difficult for the results of the study to reach policy- and decision-makers here.

Did your research involve contacting NuScale for information or clarifications regarding NuScale fuel burnup. If yes or no, please describe why?

Lindsay Krall: As part of the background research to the study, I attended advanced nuclear events around Washington, D.C., where I discussed the study with vendors, NGOs, university researchers, national laboratories, and the Nuclear Regulatory Commission (NRC). The reactor certification application that NuScale had already submitted to the NRC contained much of the information needed to estimate and characterize the waste streams for their reactor, with the exception of the fuel burnup, which was redacted.  In an attempt to obtain the fuel burnup, I filed a Freedom of Information Act request with the NRC, but the burnup was not released. Therefore, I calculated the burnup as described in the appendix that was published with the article.

Why was the 160 MWth NuScale iPWR design chosen for study?

Lindsay Krall: The design certification application submitted to and reviewed by the NRC provided a comprehensive, high quality dataset for the iPWR analysis. In general, the analysis aimed to assess SMR designs that are undergoing or have undergone the regulatory approval process, rather than hypothetical future SMR designs that might be achievable provided significant technical or policy breakthroughs. Although the industry tends to market the benefits of SMRs around the latter “ideal” designs, these are not as “technologically ready” as the certified designs. Therefore, SMR vendors have levied some unfair criticism against this study, because the article and its accompanying appendix clearly state our preference for NRC-reviewed designs.

Please describe the challenges of completing your analysis in light of the lack of access to relevant design specifications?

Allison Macfarlane: It’s essential that quantitative analyses of waste production and management for new reactor designs be completed.  Our paper was an attempt to do so in an open way, to provide the beginning of the discussion of this issue.  Availability of quality data to do such analyses, especially by independent academic researchers, such as ourselves, will improve public confidence in small modular reactors.

What is your response to NuScale’s claim that its 250-MWt design does not produce more spent nuclear fuel than the small quantities typically observed in the existing light-water reactor fleet?

Rod Ewing: The fundamental point is that the information on the design and operational parameters for the 250MWth have not yet been submitted to the Nuclear Regulatory Commission. Our understanding is that the application will be submitted in December of this year. When the required data are available, then it will be possible to do the analysis.

What responsibility do the vendors, who are proposing and receiving federal support to develop advanced reactors, have in addressing concerns about the waste and conducting research that can be reviewed in open literature settings?

Allison Macfarlane: Vendors should have first-hand knowledge of all issues associated with their reactor designs.  These include waste production, of course (and all wastes – low-, intermediate-, and high-level), as well as fuel supply issues, supply chain issues, awareness of security challenges, and proliferation hazards (one assumes they understand safety issues already).  Many of these designers are early in their progress towards one day making their reactors a reality and so, perhaps, the blanks will be filled.  It will be important to do so transparently and in dialogue with other experts and the public to ensure public support of this technology.

What were your most significant findings in this research that people and the nuclear industry should be aware of?

Rod Ewing: The most important point of our paper is that with different reactor designs with new and more complex fuels and coolants, there will be an impact on the approaches that are required for the safe, final disposal of fuels and activated materials. Of particular significance is that at this time the United States has no long-term strategy for dealing with its highly radioactive waste streams, even from its present reactor fleet.

What have you learned from the reaction to this paper?

Rod Ewing: That many of the negative comments have been misplaced in that our paper has been taken as being anti-nuclear. Our paper had a simple purpose, that is to understand the implications of SMRs for the back-end of the nuclear fuel cycle, particularly for the permanent and safe disposal of nuclear wastes from SMRs. Although the question is a reasonable and an obvious question to ask, I now understand that it was an unwelcomed question to pose. We have been criticized for not seeing and acknowledging the bigger picture – the role of nuclear power in reducing greenhouse gas emissions – and instead focusing only on the nuclear waste issue. I see no reason why a paper about nuclear waste and disposal should also be a cheerleader for nuclear power. These are really two separate issues.

Another surprise was the lack of a technical response. Letters were written to the editor of the Proceedings of the National Academy of Sciences (which published the study), but these letters were not copied to the authors. Letters appeared on the web, but were not copied to the authors. This was a public relations response not a technical, scientific response. Public relations may win the day, but I do not think that this builds public confidence in nuclear power. The public has to see that important issues are discussed openly and in a way that converges on solutions rather than polarized positions.

There was one important, bright spot during the past week. Jose Reyes (chief technology officer and co-founder) of NuScale published his letter to the editor of PNAS in the Nuclear Newswire of the American Nuclear Society. We prepared a response to Dr. Reyes and submitted it to Nuclear Newswire, and it was accepted and published promptly on June 13.  This effort to foster discussion certainly reflects well on the American Nuclear Society.

Any other points?

Allison Macfarlane: I would like to emphasize a point Lindsay Krall made: no country has an operating geologic repository for spent nuclear fuel yet.  A few countries are moving in that direction, but the U.S. has fallen to the back of the pack in this regard.  The U.S. is at a stalemate with regards to developing a deep geologic repository for high-level nuclear waste and is largely uninterested in solving this problem.  Since a waste issue essentially brought us the climate catastrophe, is it responsible to ignore the waste problem from another energy source?

Hero Image
Headshots of three people
From left to right: Dr. Allison Macfarlane, Dr. Rod Ewing, Dr. Lindsay Krall
All News button
1
Subtitle

A recent study has found small modular reactors (SMRs) may actually produce more radioactive waste than larger conventional nuclear power reactors has drawn reaction from vendors and supporters of SMRs. In a recent interview, Lindsay Krall, Allison Macfarlane and Rod Ewing elaborated on the fuller context of and industry reaction to their study.

Subscribe to Russia and Eurasia