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DOE OSTI2024

Towards Precision Photometric Type ia Supernova Cosmology With Machine Learning

The revolutionary discovery of dark energy and accelerating cosmic expansion was made with just 42 type Ia supernovae (SNe Ia) in 1999. Since then, large synoptic surveys, e.g., Dark Energy Survey (DES), have observed thousands more SNe Ia and the upcoming Rubin Legacy Survey of Space and Time (LSST) and Roman Space Telescope promise to deliver millions in the next decade. This unprecedented data volume can produce the required precision to unambiguously test concordance cosmology which could represent a monumental shift in our understanding of dark energy and its role in cosmic history. However, extracting a pure SN Ia sample with accurate redshifts for such a large dataset will be a challenge. Specifically, spectroscopic classification will not be possible for the vast majority of discovered objects, and only ~25% will have spectroscopic redshifts. This thesis presents a series of observational and methodological studies designed to address the questions associated with this new era of photometric SN Ia cosmology. First, we present a machine learning method for photometric classification of SNe, Supernova Classification with a COnvolutional Neural Network (SCONE). Photometric classification enables SNe with no spectroscopic information to be confidently categorized, and is a critical component of current and future analysis pipelines. SCONE achieves >99% accuracy distinguishing simulated SNe Ia from non-Ia SNe, and has been integrated into DES, LSST, and Roman analysis pipelines. We also demonstrate the efficacy of SCONE on early-time photometric classification, which will be vital for optimal allocation of spectroscopic resources. We show that SCONE can distinguish between 6 SN types with 75% accuracy on the night of initial discovery, comparable to results in the literature for full-phase SNe. Next, we study current methods for estimating SN Ia redshifts and propose a machine learning alternative that uses SN photometry alone to extract redshift information. Most SNe Ia inherit redshift information from their host galaxy, but the process of matching SNe to the correct host galaxy can be challenging. We systematically analyze the impact of incorrect redshifts from host galaxy mismatch on 5 years of DES SN data, and conclude that improved host matching or redshift estimation methods can reduce our systematic errors by ~10%. In response to this finding, we present a SN photometry-only method for estimating redshifts independent of host galaxy information, Photo-zSNthesis. We show that Photo-zSNthesis redshift estimates are accurate to within 2% across the full redshift range of LSST, a first in the literature. Finally, we focus on the robustness of machine learning (ML) algorithms for real-world and scientific applications. ML models generalize poorly beyond their training set and often experience severe performance degradation when deployed on new data. We demonstrate a general method for improving robustness that achieves new state-of-the-art results on astronomical object classification, wildlife identification, and tumor detection.

79 ASTRONOMY AND ASTROPHYSICS↗

DOE OSTI2026

Time-of-Flight energy measurements with BPMs

The energy of a bunched non-relativistic ion beam can be deduced from measuring the beam phases in neighboring Beam Position Monitors (BPMs). This report presents estimations on implementation of such a procedure at PIP-II H- linac being constructed at Fermilab. In part, the case when the flight time between BPMs is larger than the period of BPM frequency is considered in detail. When the absolute BPM phase calibration is not available, the BPM phase information can be used to trace deviations of the beam energy from the desired value. Such “energy deviation” parameter is operationally implemented at the transfer line between 400 MeV Linac and the Booster, and its analog is expected to be used in the transfer line from PIP-II as well.

Shemyakin, Alexander [Fermilab] (ORCID:00000001501↗

DOE OSTI2020

Formation energy puzzle in intermetallic alloys: Random phase approximation fails to predict accurate formation energies

We performed density functional calculations to estimate the formation energies of intermetallic alloys. We used two semilocal approximations, the generalized gradient approximation (GGA) by Perdew-Burke- Ernzerhof (PBE) and the strongly constrained and appropriately normed (SCAN) meta-GGA. In addition, we utilized two nonlocal DFT functionals, the hybrid HSE06, and the state-of-the-art random phase approximation (RPA). The nonlocal functionals such as HSE06 and RPA yield accurate formation energies of binary alloys with completely-filled d-band metals, where semilocal functionals underperform. The accuracy at the nonlocal functionals is greatly reduced when a partially-filled d-band metal is present in an alloy, while PBE-GGA outperforms in these cases. We show that the accurate prediction of formation energies by any DFT method depends on its ability to predict the accurate electronic properties, e.g., valence d-band contribution to the density of states (DOS). The SCAN meta-GGA often corrects the PBE-DOS, however, it does not provide accurate formation energies compared to PBE. This is assumed to be due to the lack of proper error cancellation that should be expected due to the similar bulk nature of both alloys and their constituents, which may improve with the modification of meta-GGA ingredients. RPA yields too negative formation energies of alloys with partially-filled d-band metals. RPA results can be corrected by restoring the exchange-correlation kernel, thereby improving the short-range electron-electron correlation in metallic densities.

36 MATERIALS SCIENCE↗

DOE OSTI2026

Surface Quantitative Precipitation Estimates (SQUIRE) of Snow Water Equivalent from the Surface Atmospheric Integrated Field Laboratory

The upper Colorado River basin is the primary source of water for 40 million people. With declining snowpack in the basin, forecasting hydrological budgets in the Southwest United States is more important than ever. However, due in part, to a lack of reliable observations of precipitation in complex terrain, hydrological models struggle to assess and forecast snowpack snow water equivalent (SWE) in the upper Colorado River basin (UCRB). Therefore, the need for more reliable SWE forecasts in the UCRB motivated the U.S. Department of Energy Atmospheric Radiation Measurement Facility’s Surface Atmospheric Integrated Field Laboratory (SAIL) that occurred from June 2021 to June 2023. During SAIL, the X-band precipitation radar from Colorado State University conducted volume scans sampling the precipitation properties over the UCRB. The ARM facility developed a gridded Surface Quantitative Precipitation Estimates (SQUIRE) product from the radar observations. To do this, various daily SWE estimates from radar using the radar reflectivity factor Z e and specific differential phase K dp were compared against ground-based precipitation gauges. SWE in precipitation calculated from Wolfe and Snider’s S–Z e estimator was in best agreement with the rain gauges for the days when SWE < 12 mm. For days with SWE > 12 mm, the WSR-88D Intermountain West relationship had the best agreement with the precipitation gauges. Airborne snow depth observations show that SQUIRE captures regions of orographic enhancement in the mountains to the west and northwest of the SAIL study area, indicating that the scientific community should focus on understanding and ultimately simulating orographic atmospheric precipitation processes to improve UCRB snowpack SWE assessment and forecasting.

Hydrology↗

DOE OSTI2024

Globally optimal interferometry with lossy twin Fock probes

Parity or quadratic spin (e.g., J z 2 ) readouts of a Mach–Zehnder (MZ) interferometer probed with a twin Fock (TF) input state allow saturating the optimal sensitivity attainable among all mode-separable states with a fixed total number of particles but only when the interferometer phase θ is near zero. When more general Dicke state probes are used, the parity readout saturates the quantum Fisher information (QFI) at θ = 0, whereas better-than-standard quantum limit performance of the J z 2 readout is restricted to an o ( N ) occupation imbalance. We show that a method of moments readout of two quadratic spin observables J z 2 and J + 2 + J − 2 is globally optimal for Dicke state probes; i.e., the error saturates the QFI for all θ . In the lossy setting, we derive the time-inhomogeneous Markov process describing the effect of particle loss on TF states, showing that the method of moments readout of four at-most-quadratic spin observables is sufficient for globally optimal estimation of θ when two or more particles are lost. The analysis culminates in a numerical calculation of the QFI matrix for distributed MZ interferometry on the four-mode state | N 4 , N 4 , N 4 , N 4 〉 and its lossy counterparts, showing that an advantage for the estimation of any linear function of the local MZ phases θ 1 and θ 2 (compared to independent probing of the MZ phases by two copies of | N 4 , N 4 〉 ) appears when more than one particle is lost.

71 CLASSICAL AND QUANTUM MECHANICS, GENERAL PHYSIC↗

DOE OSTI2023

EDS-PhaSe: Phase Segmentation and Analysis from EDS Elemental Map Images Using Markers of Elemental Segregation

Scanning electron microscopy (SEM), combined with energy-dispersive spectroscopy (EDS), is an extensively used technique for in-depth microstructural analysis. Here, we present the EDS-Phase Segmentation (EDS-PhaSe) tool that enables phase segmentation and phase analysis using the EDS elemental map images. Importantly, it converts the EDS map images into estimated composition maps for calculating markers of selective elemental redistribution in the scanned area and creates a phase-segmented micrograph while providing approximate fraction and composition of each identified phase. EDS-PhaSe offers two unique advantages. Firstly, it enables the direct processing of EDS elemental map images without requiring any raw or proprietary data/software, thereby allowing the analysis of EDS results available in the published literature as images. Secondly, it enables segmentation and analysis of phases even when the phase contrast is missing in backscattered micrographs, assisting in correlating the XRD and SEM-EDS data as shown in this work for a AlCoCrFeNi high-entropy alloy.

36 MATERIALS SCIENCE↗

DOE OSTI2020

Safety-Related Instrumentation and Control Pilot Upgrade (Initial Scoping Phase Implementation Report)

This research report (1) describes the process followed and products developed during the SR I&C Pilot Project Initial Scoping Phase, and (2) captures lessons learned. Exelon Generation and LWRS collaborated to develop a Digital Transformation Strategy as part of a larger Advanced Concept of Operations. The proposed SR I&C Pilot Upgrade provides a foundation stone for this Digital Transformation that will improve plant safety, reliability, and operational performance while lowering plant Total Cost of Ownership (TCO). Initial Scoping Phase activities for this Pilot Project have been performed in accordance with industry processes that have been adapted to better support digital upgrades. These processes include IP-ENG-001, Standard Design Process (SDP), NISP-EN-04, Standard Digital Engineering Process (SDEP), and Electric Power Research Institute (EPRI) Report 3002011816, Digital Engineering Guide (DEG). Completing Initial Scoping Phase Engineering and Operations, Licensing, and Project Management Activities was necessary to sufficiently bound the scope, schedule, and estimated cost of the Project to enable utility management to authorize moving into the Conceptual Design Phase. A significant finding of the Business Case Analysis (BCA) methodology developed and applied as part of this effort was that the growth rate of material costs for sustaining the operation of obsolete SR I&C equipment is accelerating. This directly contributed to the Project Economic Analysis created to justify continuing the Project. Project Initial Scoping Phase lessons learned have also been captured to assist the larger industry in understanding the Digital Transformation Strategy and SR I&C Pilot Project Initial Scoping Phase efforts. This is in keeping with the public/private partnership that has been established between the Department of Energy (DOE) and Exelon for this effort with engagement from the NRC. By addressing first-of-a-kind (FOAK) risks and capturing lessons learned, the SR I&C Pilot Upgrade Project addresses technical, regulatory, and business risks to enable subsequent implementers of similar upgrade.

22 GENERAL STUDIES OF NUCLEAR REACTORS↗

DOE OSTI2020

Safety-Related Instrumentation & Control Pilot Upgrade Initiation Phase Implementation Report

This research report (1) describes the process followed and products developed during the SR I&C Pilot Project Initial Scoping Phase, and (2) captures lessons learned. Exelon Generation and LWRS collaborated to develop a Digital Transformation Strategy as part of a larger Advanced Concept of Operations. The proposed SR I&C Pilot Upgrade provides a foundation stone for this Digital Transformation that will improve plant safety, reliability, and operational performance while lowering plant Total Cost of Ownership (TCO). Initial Scoping Phase activities for this Pilot Project have been performed in accordance with industry processes that have been adapted to better support digital upgrades. These processes include IP-ENG-001, Standard Design Process (SDP) [Reference 2], NISP-EN-04, Standard Digital Engineering Process (SDEP) [Reference 3], and Electric Power Research Institute (EPRI) Report 3002011816, Digital Engineering Guide (DEG). Completing Initial Scoping Phase Engineering and Operations, Licensing, and Project Management Activities was necessary to sufficiently bound the scope, schedule, and estimated cost of the Project to enable utility management to authorize moving into the Conceptual Design Phase. A significant finding of the Business Case Analysis (BCA) methodology developed and applied as part of this effort was that the growth rate of material costs for sustaining the operation of obsolete SR I&C equipment is accelerating. This directly contributed to the Project Economic Analysis created to justify continuing the Project. Project Initial Scoping Phase lessons learned have also been captured to assist the larger industry in understanding the Digital Transformation Strategy and SR I&C Pilot Project Initial Scoping Phase efforts. This is in keeping with the public/private partnership that has been established between the Department of Energy (DOE) and Exelon for this effort with engagement from the NRC. By addressing first-of-a-kind (FOAK) risks and capturing lessons learned, the SR I&C Pilot Upgrade Project addresses technical, regulatory, and business risks to enable subsequent implementers of similar upgrades.

22 GENERAL STUDIES OF NUCLEAR REACTORS↗

DOE OSTI2026

Relative Source Time Functions, Spectral Ratios, and Near‐Source Spallation in the Source Physics Experiment Phase I Chemical Explosions

The Source Physics Experiment (SPE) Phase I was composed of six chemical explosions at the Nevada National Security Sites (NNSS) between 2011 and 2016. The experiment provided a robust set of dense, local to regional distance observations suitable for characterizing shallow chemical explosions located within the same borehole. We investigate the time-dependent source processes of each chemical explosion using Relative Source Time Function (RSTF) estimation, derived from five linear seismometer profiles located between 100 and 2000 m of the shot location. The RSTF estimate provide a detailed characterization of each chemical explosion's time-history. Subsequent modeling efforts suggest these measurements may be useful for precise characterization of explosion processes and spallation. RSTF estimation allows us to expand our understanding of the SPE Phase I chemical explosion series. Application of these techniques contributes to our understanding of explosion source physics and facilitates future applications to additional seismic source experiments and characterization of explosion phenomenology.

58 GEOSCIENCES↗

DOE OSTI2022

Thin film combinatorial sputtering of Al-Ce alloys: Investigating the phase separation of as-deposited solid solutions and determining the coefficient of thermal expansion

Al x Ce 100–x thin films with a composition range of ~75.0 < x < 99.5 at% (36.5 < x < 97.5 wt%) were synthesized via combinatorial co-sputtering from an Al and an Al 50 Ce 50 target. The crystal structure, phase fraction, film morphology, electrical resistivity, and temperature-dependent coefficients of thermal expansion (CTE) are all correlated to the Al x Ce 100–x composition. The as-deposited films form a metastable solid-solution, and annealing leads to the formation of the thermodynamically stable two-phase system of Al and the α-Al 11 Ce 3 intermetallic. Temperature dependent x-ray diffraction (XRD) reveals that the two phases expand independently of one another, and the thin film Al temperature-dependent CTE is similar to bulk Al. The thin film Al 11 Ce 3 intermetallic phase has a nearly constant CTE of ~1.5 × 10 –5 /°C within the temperature range studied (25–550 °C). To confirm the thin film Al 11 Ce 3 results, bulk stoichiometric Al 11 Ce 3 and +/- 1 wt% Ce samples were prepared and the CTE of each was measured with the same conditions. A Rietveld analysis of the bulk data enabled an estimation of the CTE in each of the 3 orthorhombic lattice parameters, which displayed anisotropic behavior. The thin film and bulk CTE measurements were in very good agreement. Estimations of the temperature dependent CTE of the two-phase alloys are made via the Reuss and Voigt models. Finally, by demonstrating the efficacy of the approach, more complex multi-component rapid materials discovery of low CTE Al-alloys can be pursued via the combinatorial thin film synthesis and XRD measurement.

36 MATERIALS SCIENCE↗

DOE OSTI2022

Effect of Thermal Expansion Coefficient, Viscosity and Melting Range in Simulation of PCM Embedded Heat Exchangers With and Without Fins

Phase change material heat exchangers (PCMHX) have an important role in integrating renewable energy systems. PCMHX can offer high storage density at various temperatures of interest and can be used for grid load shifting purposes. Numerical models enable engineers to estimate PCMHX performance for different design parameters and operating conditions. Modeling phase change phenomena is challenging due to the complex time-dependent nature of the process. The accuracy of models is highly sensitive to PCM thermo-physical properties. Thermal expansion coefficient (β), viscosity (μ) and melting temperature range (MR) of a PCM are important properties, especially when natural convection is not negligible. In PCMHX modeling, using less than accurate values for these properties can have significant impact on the simulation outcomes. These properties and discussions thereof are not readily available in the literature. This paper presents a brief review of the literature and a numerical study investigating the model sensitivity to the above-mentioned properties for PCMHX with and without fins. CFD is used to evaluate the charging (melting) phenomena. The study quantifies the impact of uncertainty in these properties on the melting rate and temperature profile. Constant wall temperature was considered as heat source with no heat loss to ambient. Here, the results show that β and μ has significant effect on the melting rate and evolution of the melting front. For a non-finned domain when comparing results for different published values of β and μ, the deviation in melting time can be up to 12.9% and 57.6% respectively. For high wall temperatures, change in melting range did not impact melting time. But when the wall temperature is reduced, up to 9.8% deviation in melting time is observed.

CFD↗

DOE OSTI2022

Single–Well Injection–Drift Test to Estimate Groundwater Velocity

A simple algebraic equation is presented here to estimate the magnitude of groundwater velocity based on data from a single-well injection-drift test thereby eliminating the time-consuming and costly extraction phase. A volume of tracer-amended water was injected by forced-gradient into a single well followed by monitoring of the conservative solute tracers under natural-gradient conditions as their upgradient portions drifted back through the well. The breakthrough curve data from the single well during the drift phase was analyzed to determine the mean travel times of the tracers. The estimated mean upgradient travel distance back through the single well and the mean travel times of the tracers were used in a simple algebraic equation to estimate groundwater velocity. The groundwater velocity based on the single-well injection-drift test was estimated to be approximately 0.64 ft per day. Two transects of observation wells were used to monitor the natural-gradient tracer transport downgradient of the injection well. The one-dimensional, or dual-well, transport of the tracer from the injection well to the nearest downgradient observation well indicated that the groundwater velocity was 0.55 ft per day. The two-dimensional, or multi-well, transport of the center of mass of the tracers indicated that the groundwater velocity was 0.60 ft per day; the dual- and multi-well results were in excellent agreement with those from the single-well and validated the simple algebraic equation. In conclusion, the new single-well method presented here is relatively simple, rapid, and does not require an extraction phase.

54 ENVIRONMENTAL SCIENCES↗

DOE OSTI2021

Aerosol Composition, Mixing State, and Phase State of Free Tropospheric Particles and Their Role in Ice Cloud Formation

The prediction of ice cloud formation in the atmosphere remains challenging. Free tropospheric aerosols can act as ice nucleating particles (INPs), affecting cloud properties and precipitation. The physicochemical properties of free tropospheric particles are modified upon long-range transport by different atmospheric processes. These modifications affect the ice formation potential of individual particles. We investigated free tropospheric particles collected at the remote Pico Mountain Observatory at 2225m a.s.l. in the North Atlantic Ocean using multimodal microspectroscopy and chemical imaging techniques. We probed their ice nucleation activity using an ice nucleation stage interfaced with an environmental scanning electron microscope. Retroplume analysis, chemical imaging, and micro-spectroscopy analysis indicated that the size-resolved chemical composition, mixing state, and phase state of the articles with similar aging times but different transport patterns were substantially different. Relative humidity-dependent glass transition temperatures estimated from meteorological conditions were consistent with the observed organic component of the particles' phase. More viscous (solid and semi-solid-like) particles are more ice active in deposition mode at temperature ranging from 205-220 K than those less viscous particles. Finally, this study provides a better understanding of the phase and mixing state of long range transported free tropospheric aerosols and their role in ice cloud formation.

54 ENVIRONMENTAL SCIENCES↗

DOE OSTI2023

Analysis of the High-Pressure High-Temperature (HPHT) growth of single crystal diamond

A multi-scale, computational model is developed to describe the growth characteristics of single-crystal diamond in the High-Pressure, High-Temperature (HPHT) process. This model is the first to connect phase-change kinetics governing crystal growth to the continuum transport of carbon through the growth cell. Results show the importance of convective transport driven by buoyant flow in the metallic solvent, which increases the growth rate by nearly an order of magnitude over that obtained under diffusion alone. Parametric studies show how crystal growth may be kinetically-limited or transport-limited, depending on the value of the macroscopic kinetic coefficient. Estimating this kinetic coefficient from growth experiments yields a phase-change Damköhler number of unity, indicating a mixed regime where phase-change kinetics and transport are comparable and strongly coupled in this system. Mechanisms responsible for slowing growth as the crystal size increases are explained. Finally, supersaturation inhomogeneities along the facets of larger crystals are predicted, which may be relevant to solvent inclusion formation during growth.

36 MATERIALS SCIENCE↗

DOE OSTI2021

An Adaptive-Importance-Sampling-Enhanced Bayesian Approach for Topology Estimation in an Unbalanced Power Distribution System

The reliable operation of a power distribution system relies on a good prior knowledge of its topology and its system state. Although crucial, due to the lack of direct monitoring devices on the switch statuses, the topology information is often unavailable or outdated for the distribution system operators for real-time applications. Apart from the limited observability of the power distribution system, other challenges are the nonlinearity of the model, the complicated, unbalanced structure of the distribution system, and the scale of the system. To overcome the above challenges, we, in this paper, propose a Bayesian-inference framework that allows us to simultaneously estimate the topology and the state of a three-phase, unbalanced power distribution system. Specifically, by using the very limited number of measurements available that are associated with the forecast load data, we efficiently recover the full Bayesian posterior distributions of the system topology under both normal and outage operation conditions. This is performed through an adaptive importance sampling procedure that greatly alleviates the computational burden of the traditional Monte-Carlo (MC)-sampling-based approach while maintaining a good estimation accuracy. The simulations conducted on the IEEE 123-bus test system and an unbalanced 1282-bus system reveal the excellent performances of the proposed method.

24 POWER TRANSMISSION AND DISTRIBUTION↗

DOE OSTI2024

Learnability Transitions in Monitored Quantum Dynamics via Eavesdropper’s Classical Shadows

Monitored quantum dynamics—unitary evolution interspersed with measurements—has recently emerged as a rich domain for phase structure in quantum many-body systems away from equilibrium. Here we study monitored dynamics from the point of view of an eavesdropper who has access to the classical measurement outcomes, but not to the quantum many-body system. We show that a measure of information flow from the quantum system to the classical measurement record—the —undergoes a phase transition in correspondence with the measurement-induced phase transition (MIPT). This transition determines the eavesdropper’s (in)ability to learn properties of an unknown initial quantum state of the system, given a complete classical description of the monitored dynamics and arbitrary classical computational resources. We make this learnability transition concrete by defining classical shadow protocols that the eavesdropper may apply to this problem, and show that the MIPT manifests as a transition in the sample complexity of various shadow-estimation tasks, which become harder in the low-measurement phase. We focus on three applications of interest: Pauli expectation values (where we find the MIPT appears as a point of optimal learnability for typical Pauli operators), many-body fidelity, and global charge in U ( 1 ) -symmetric dynamics. Our work unifies different manifestations of the MIPT under the umbrella of and gives this notion a general operational meaning via classical shadows. Published by the American Physical Society 2024

Physics↗

DOE OSTI2022

Negative linear compressibility in Se at ultra-high pressure above 120 GPa

A series of in situ synchrotron X-ray diffraction (XRD) measurements were carried out, combined with first-principles calculations, to study structural phase transitions of selenium at high pressures and room temperature. Several phase transitions were observed, among which an isostructural phase transition was found at around 120 GPa for the first time. Evolved from the rhombohedral (space group R$\bar{3}$m) structure (Se-V), the new phase (Se-V') exhibited an interesting increase of lattice parameter a at pressures from 120 to 148 GPa, known as negative linear compressibility (NLC). The discovery of NLC behavior observed in this work is mainly attributed to the accuracy and fine steps controlled by the membrane system for in situ XRD data collected with an exposure time of 0.5 s. After 140 GPa, a body-centered cubic (b.c.c.) structure Se-VI (space group Im$\bar{3}$m) was formed, which remains stable up to 210 GPa, the highest pressure achieved in this study. The bulk moduli of phases Se-V, Se-V' and Se-VI were estimated to be 83 ± 2, 321 ± 2 and 266 ± 7 GPa, respectively, according to the P–V curve fit by the third-order Birch–Murnaghan equation of state. The Se-V' phase shows a bulk modulus almost 4 times larger than that of the Se-V phase, which is mainly due to the effect of its NLC. NLC in a higher pressure range is always more significant in terms of fundamental mechanism and new materials discovery, yet it has barely been reported at pressures above 100 GPa. This will hopefully inspire future studies on potential NLC behaviors in other materials at ultra-high pressure.

36 MATERIALS SCIENCE↗

DOE OSTI2023

Multi-Sourced Collaboration for the Production and Refining of Rare Elements and Critical Metals (Final Technical Report)

The project objective was to develop a feasible and cost-effective method for recovering rare earth elements (REEs) and critical materials (CMs) from coal and coal byproducts, resulting in high-purity individually separated REEs and CMs. The targeted REEs included Y, Pr, Nd, Gd, Dy, and Sm, with a purity of over 99.5%, while the CMs included Co, Mn, Ga, Sr, Li, Ni, Zn, and Ge, with a purity of over 90%. The project aimed to design a prototype facility capable of producing 1-3 tonnes/day of high-purity REO mixes. The work was divided into four designated circuits: 1) REE extraction and concentration, 2) REE separation and purification, 3) RE metal production, and 4) CM production. To achieve these goals, the project involved 11 tasks, including technology reviews, research, process flow diagram development, mass balance estimation, and preliminary technical-economic analysis. The project team included researchers from the University of Kentucky, University of Alabama and Virginia Tech as well as process specialists from Argonne National Laboratory. MP Materials provided technical support regarding rare earth markets and processing while Alliance Coal performed resource assessment. The project included a market analysis for Nd/Pr, Tb, Dy, Gd, Y, Co, Mn, Li, Sr, Ga, Ni, Zn, and Ge. These analyses provided insights into the supply and demand trends as well as historic and future projections of market price relative to purity requirements for these elements. Two coal resources were selected for the project: the West Kentucky No. 13 (Baker) Seam and an undisclosed lignite resource in the Illinois coal basin. The estimated quantities of REEs in these resources were calculated based on production samples and drilling data. It was estimated that there is adequate supply for an operation producing one metric ton daily of higher purity mixed rare earth oxides (MREO) for approximately 20 years at a site located in western Kentucky. In Circuit 1, project data was obtained from a pilot heap leach and REE concentration facility. It was concluded that the existing circuit, which generated a MREO concentrate, two types of CM mixed products, and Li- and Sr-containing waters, would be suitable feed for circuits 2-4. Data from the first-of-its-kind coal coarse refuse heap leach pilot pad played a crucial role in estimating reliable elemental concentrations of the pregnant leaching solution (PLS). The average total REE concentration in the PLS was found to be 28.6 ppm. In Circuit 2, several concepts were explored including a novel process referred to as solvent-assisted chromatography (SAC). This concept involved a novel columnar reactor that incorporated multiple mixer/settlers, thereby enabling the operation of counter-flowing aqueous and organic phases. Unfortunately, due to project time constraints, a complete fundamental modeling analysis could not be completed to fully evaluate the technology. Molten salt electrowinning was considered as an alternative for circuit 3 following circuit 2 purification circuit utilizing the novel SAC process. A mass and energy balance of Nd reduction to metal in a fluoride containing molten salt electrolyte was conducted. Comparisons were made with the current state of Asian molten salt electrorefining, and potential improvements in siphoning rare earth metals (REM) from the reactor were presented. A cost estimate was performed for the production of 1 tonne per day, which yielded a total of $2.29 million for the nine electrowinning (EW) cells required. The selected option for circuits 2 and 3 was a plasma distillation process, which initially separates rare earth elements (REEs) from other elements. This is followed by selective electrowinning in various ionic liquids. The selection was made on the basis of thermodynamic modeling and experimental data previously published by a project partner. The combination offers an innovative approach to integrated refining and RE metal production. For Circuit 4, an extensive literature review was conducted for the processing of the CMs. The ultimate decision was to utilize a combined plasma and ionic liquid process as well to produce individual high-purity concentrates of Zn, Ni, Co, Mn, and Mg. A separate flowsheet for Li and Sr was recommended, which would yield carbonates of these elements. Due to the lack of suitable experimental data at this time, a process recommendation could not be provided but several methods have been proposed for consideration. Lastly, a techno-economic analysis (TEA) was conducted to assess the effectiveness of the proposed process for further investigation. The TEA results revealed a capital expense (CapEx) of $737 million and an annual operational expense (OpEx) of $220 million. Due to the selected elements, the hypothetical heap leach pad can produce 1 metric tonne per day of REO equivalent, but a conscious decision was made to only treat targeted REEs, resulting in the production of 0.4 metric tonne of REM. An estimated annual revenue of $90.87 million was projected based on standard market pricing information provided by the funding agency. During the TEA, ten different modules were evaluated for costing purposes. The precipitation circuit was identified as the largest single operational expense, followed by the Mg/Mn process due to the amount of treated metal. In terms of capital expenditures, the heap leach process incurred the highest cost, followed by the Mg/Mn process. The scalability of the plasma process is a crucial consideration since the reactors cannot be scaled beyond the largest demonstrated size due to their reliance on surface area of the slag and vapor phase. The purity estimate for the REEs are generally 98%±2% to produce a metal. The purity level being lower than the project objective was due to the lack of specific experimental data needed to tighten the tolerance of the estimates. Based on literature and previous experience, the CMs are estimated as follows; Ga (95%+, metal), Sr (95%+, carbonate), Li (95%+, carbonate), Ni (98%±2%, metal), Zn (95%+, metal sponge), Ge (95%+, metal), Co (98%±2%, metal), and Mn (98%±2%, metal).

01 COAL, LIGNITE, AND PEAT↗