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DOE OSTI2021

Above-ground net primary productivity in regenerating seasonally dry tropical forest: Contributions of rainfall, forest age and soil

Identifying factors controlling forest productivity is critical to understanding forest-climate change feedbacks, modelling vegetation dynamics and carbon finance schemes. However, little research has focused on productivity in regenerating tropical forests which are expanding in their fraction of global area have an order of magnitude larger carbon uptake rates relative to older forest. Here We examined above-ground net primary productivity (ANPP) and its components (wood production and litterfall) over 10 years in forest plots that vary in successional age, soil characteristics and species composition using band dendrometers and litterfall traps in regenerating seasonally dry tropical forests in northwestern Costa Rica. We show that the components of ANPP are differentially driven by age and annual rainfall and that local soil variation is important. Total ANPP was explained by a combination of age, annual rainfall and soil variation. Wood production comprised 35% of ANPP on average across sites and years, and was explained by annual rainfall but not forest age. Conversely, litterfall increased with forest age and soil fertility yet was not affected by annual rainfall. In this region, edaphic variability is highly correlated with plant community composition. Thus, variation in ecosystem processes explained by soil may also be partially explained by species composition. These results suggest that future changes in annual rainfall can alter the secondary forest carbon sink, but this effect will be buffered by the litterfall flux which varies little among years. In determining the long-term strength of the secondary forest carbon sink, both rainfall and forest age will be critical variables to track. We also conclude that detailed understanding of local site variation in soils and plant community may be required to accurately predict the impact of changing rainfall on forest carbon uptake. Synthesis. We show that in seasonally dry tropical forest, annual rainfall has a positive relationship with the growth of above-ground woody tissues of trees and that droughts lead to significant reductions in above-ground productivity. These results provide evidence for climate change—carbon cycle feedbacks in the seasonal tropics and highlight the value of longitudinal data on forest regeneration.

54 ENVIRONMENTAL SCIENCES↗

DOE OSTI2022

Dynamically robust coordinated set point tracking of distributed DERs at point of common coupling

Low-inertia operation of small-scale power systems, such as a microgrid or a portion of a long feeder, requires careful coordination of the controller performance of the constituting devices. This challenge is exacerbated in microgrids serving the functionalities of a conventional synchronous-based generation unit while comprised of smaller DERs operating mainly interfaced through power electronics converters. This paper builds on the idea of set point modulation and proposes a two-level control strategy that aims to achieve superior performance at the point of common coupling (PCC) of microgrids by combining a local control level with a distributed and coordinated level. Several case studies on both AC and DC systems, the CIGRE low-voltage benchmark system as the AC system and a test DC microgrid, validate the performance of the proposed approach. The real-world applicability of the approach is established via a high-fidelity power hardware-in-the-loop (PHIL) experimental setup and an application case study on grid frequency regulation. The proposed approach enables a microgrid to participate in ancillary service provisions where speed and quality of regulation are critical.

24 POWER TRANSMISSION AND DISTRIBUTION↗

NASA NTRS2006

Cooperative Collision Avoidance Step 1 - Technology Demonstration Flight Test Report. Revision 1

The National Aeronautics and Space Administration (NASA) Access 5 Project Office sponsored a cooperative collision avoidance flight demonstration program for unmanned aircraft systems (UAS). This flight test was accomplished between September 21st and September 27th 2005 from the Mojave Airport, Mojave, California. The objective of these flights was to collect data for the Access 5 Cooperative Collision Avoidance (CCA) Work Package simulation effort, i.e., to gather data under select conditions to allow validation of the CCA simulation. Subsequent simulation to be verified were: Demonstrate the ability to detect cooperative traffic and provide situational awareness to the ROA pilot; Demonstrate the ability to track the detected cooperative traffic and provide position information to the ROA pilot; Demonstrate the ability to determine collision potential with detected cooperative traffic and provide notification to the ROA pilot; Demonstrate that the CCA subsystem provides information in sufficient time for the ROA pilot to initiate an evasive maneuver to avoid collision; Demonstrate an evasive maneuver that avoids collision with the threat aircraft; and lastly, Demonstrate the ability to assess the adequacy of the maneuver and determine that the collision potential has been avoided. The Scaled Composites, LLC Proteus Optionally Piloted Vehicle (OPV) was chosen as the test platform. Proteus was manned by two on-board pilots but was also capable of being controlled from an Air Vehicle Control Station (AVCS) located on the ground. For this demonstration, Proteus was equipped with cooperative collision sensors and the required hardware and software to place the data on the downlink. Prior to the flight phase, a detailed set of flight test scenarios were developed to address the flight test objectives. Two cooperative collision avoidance sensors were utilized for detecting aircraft in the evaluation: Traffic Alert and Collision Avoidance System-II (TCAS-II) and Automatic Dependent Surveillance Broadcast (ADS-B). A single intruder aircraft was used during all the flight testing, a NASA Gulfstream III (G-III). During the course of the testing, six geometrically different near-collision scenarios were evaluated. These six scenarios were each tested using various combinations of sensors and collision avoidance software. Of the 54 planned test points 49 were accomplished successfully. Proteus flew a total of 21.5 hours during the testing and the G-III flew 19.8 hours. The testing fully achieved all flight test objectives. The Flight IPT performed an analysis to determine the accuracy of the simulation model used to predict the location of the host aircraft downstream during an avoidance maneuver. The data collected by this flight program was delivered to the Access 5 Cooperative Collision Avoidance (CCA) Work Package Team who was responsible for reporting on their analysis of this flight data.

Trongale, Nicholas A.↗

DOE OSTI2025

The Influence of African Easterly Waves on Atlantic Tropical Cyclone Tracks and Landfall in Large Ensembles

African easterly waves (AEWs) are an important precursor or “seed” for Atlantic tropical cyclones (TCs), with 60%–80% of major hurricanes observed to originate from AEWs. However, climate model simulations indicate that AEWs are not necessary to maintain annual Atlantic TC frequency. Furthermore, small ensembles suggest that AEWs may impact the spatial distribution and landfall of Atlantic TCs. Here, we investigated the influence of AEWs on the spatial distribution of Atlantic TC tracks and landfall using 50-member ensembles of TC-permitting regional model simulations for five hurricane seasons characterized by different levels of TC activity. The control simulations are seasonal hindcasts in which AEWs were prescribed through the eastern lateral boundary condition using reanalysis. In the experiments, we suppressed AEWs by applying a 2–10 day filter to the eastern lateral boundary condition. In response to AEW suppression, we discovered statistically significant increases in Atlantic TC frequency (10%–26%) and landfall (16%–44%), a westward shift in TC genesis location and tracks with increased landfall over the Caribbean Islands, southwestern Gulf Coast, and southeastern US coast, and increases in mid-tropospheric relative humidity in the main development region. In addition, we evaluated TC genesis mechanisms in the absence of AEWs and found evidence that the intertropical convergence zone (ITCZ) intensified and extended northward, resulting in ITCZ wave-breaking that shed vortices which served as TC seeds. By uncovering the connections between TC seed types and the likelihood of TC landfall, this research can provide Atlantic coastal and island communities with useful information to prepare for TC impacts.

African easterly waves↗

DOE OSTI2025

Kinetic Modeling of Secondary Organic Aerosol in a Weather-Chemistry Model: Parameterizations, Processes, and Predictions for GOAmazon

Secondary organic aerosol (SOA) forms and evolves in the atmosphere through many pathways and processes, over diverse spatial and time scales. Hence, there is a need to represent these widely-varying kinetic processes in large-scale atmospheric models to allow for accurate predictions of the abundance, properties, and impacts of SOA. In this work, we integrated a kinetic, process-level model (simpleSOM-MOSAIC) into a weather-chemistry model (WRF-Chem) to simulate the oxidation chemistry and microphysics of atmospheric SOA. simpleSOM-MOSAIC simulates multigenerational gas-phase chemistry, autoxidation reactions, heterogeneous oxidation, oligomerization, and phase-state-influenced gas/particle partitioning of SOA. As a case study, the integrated WRF-Chem-simpleSOM-MOSAIC (WC-SSM) model was used to simulate the photochemical evolution downwind of a large city (Manaus, Brazil) in the Amazon and, in turn, study the anthropogenic and biogenic interactions in an otherwise pristine environment. Consistent with previous work, we found that OA was enhanced by up to a factor of four in the urban plume due to elevated hydroxyl radical (OH) concentrations, relative to the background, and that this OA was dominated by SOA from biogenic precursors (80%). Further, in addition to accurately simulating the OA enhancement in the urban plume, the model reproduced the magnitude of the OA oxygen-to-carbon (O:C) ratio and broadly tracked the evolution of the aerosol size distribution. Our work highlights the importance of including an integrated, kinetic representation of SOA processes in an atmospheric model

54 ENVIRONMENTAL SCIENCES↗

NASA NTRS2012

Wavefront Compensation Segmented Mirror Sensing and Control

The primary mirror of very large submillimeter-wave telescopes will necessarily be segmented into many separate mirror panels. These panels must be continuously co-phased to keep the telescope wavefront error less than a small fraction of a wavelength, to ten microns RMS (root mean square) or less. This performance must be maintained continuously across the full aperture of the telescope, in all pointing conditions, and in a variable thermal environment. A wavefront compensation segmented mirror sensing and control system, consisting of optical edge sensors, Wavefront Compensation Estimator/Controller Soft ware, and segment position actuators is proposed. Optical edge sensors are placed two per each segment-to-segment edge to continuously measure changes in segment state. Segment position actuators (three per segment) are used to move the panels. A computer control system uses the edge sensor measurements to estimate the state of all of the segments and to predict the wavefront error; segment actuator commands are computed that minimize the wavefront error. Translational or rotational motions of one segment relative to the other cause lateral displacement of the light beam, which is measured by the imaging sensor. For high accuracy, the collimator uses a shaped mask, such as one or more slits, so that the light beam forms a pattern on the sensor that permits sensing accuracy of better than 0.1 micron in two axes: in the z or local surface normal direction, and in the y direction parallel to the mirror surface and perpendicular to the beam direction. Using a co-aligned pair of sensors, with the location of the detector and collimated light source interchanged, four degrees of freedom can be sensed: transverse x and y displacements, as well as two bending angles (pitch and yaw). In this approach, each optical edge sensor head has a collimator and an imager, placing one sensor head on each side of a segment gap, with two parallel light beams crossing the gap. Two sets of optical edge sensors are used per segment-to-segment edge, separated by a finite distance along the segment edge, for four optical heads, each with an imager and a collimator. By orienting the beam direction of one edge sensor pair to be +45 away from the segment edge direction, and the other sensor pair to be oriented -45 away from the segment edge direction, all six degrees of freedom of relative motion between the segments can be measured with some redundancy. The software resides in a computer that receives each of the optical edge sensor signals, as well as telescope pointing commands. It feeds back the edge sensor signals to keep the primary mirror figure within specification. It uses a feed-forward control to compensate for global effects such as decollimation of the primary and secondary mirrors due to gravity sag as the telescope pointing changes to track science objects. Three segment position actuators will be provided per segment to enable controlled motions in the piston, tip, and tilt degrees of freedom. These actuators are driven by the software, providing the optical changes needed to keep the telescope phased.

Redding, David C.↗

NASA NTRS2014

Modeling of Commercial Turbofan Engine With Ice Crystal Ingestion: Follow-On

The occurrence of ice accretion within commercial high bypass aircraft turbine engines has been reported under certain atmospheric conditions. Engine anomalies have taken place at high altitudes that have been attributed to ice crystal ingestion, partially melting, and ice accretion on the compression system components. The result was degraded engine performance, and one or more of the following: loss of thrust control (roll back), compressor surge or stall, and flameout of the combustor. As ice crystals are ingested into the fan and low pressure compression system, the increase in air temperature causes a portion of the ice crystals to melt. It is hypothesized that this allows the ice-water mixture to cover the metal surfaces of the compressor stationary components which leads to ice accretion through evaporative cooling. Ice accretion causes a blockage which subsequently results in the deterioration in performance of the compressor and engine. The focus of this research is to apply an engine icing computational tool to simulate the flow through a turbofan engine and assess the risk of ice accretion. The tool is comprised of an engine system thermodynamic cycle code, a compressor flow analysis code, and an ice particle melt code that has the capability of determining the rate of sublimation, melting, and evaporation through the compressor flow path, without modeling the actual ice accretion. A commercial turbofan engine which has previously experienced icing events during operation in a high altitude ice crystal environment has been tested in the Propulsion Systems Laboratory (PSL) altitude test facility at NASA Glenn Research Center. The PSL has the capability to produce a continuous ice cloud which is ingested by the engine during operation over a range of altitude conditions. The PSL test results confirmed that there was ice accretion in the engine due to ice crystal ingestion, at the same simulated altitude operating conditions as experienced previously in flight. The computational tool was utilized to help guide a portion of the PSL testing, and was used to predict ice accretion could also occur at significantly lower altitudes. The predictions were qualitatively verified by subsequent testing of the engine in the PSL. In a previous study, analysis of select PSL test data points helped to calibrate the engine icing computational tool to assess the risk of ice accretion. This current study is a continuation of that data analysis effort. The study focused on tracking the variations in wet bulb temperature and ice particle melt ratio through the engine core flow path. The results from this study have identified trends, while also identifying gaps in understanding as to how the local wet bulb temperature and melt ratio affects the risk of ice accretion and subsequent engine behavior.

Jorgenson, Philip C. E.↗

NASA NTRS2014

Modeling of Commercial Turbofan Engine with Ice Crystal Ingestion; Follow-On

Jorgenson, Philip C. E.↗

NASA NTRS2022

Ten Years of VIIRS On-Orbit Geolocation Calibration and Performance

The first innovative Visible Infrared Imaging Radiometer Suite (VIIRS) sensor aboard the Suomi National Polar-orbiting Partnership (SNPP) satellite has been in operation for 10 years since its launch on 28 October 2011. The second VIIRS sensor aboard the first Join Polar Satellite System (JPSS-1) satellite has been in operation for 4 years since its launch on 18 November 2017, which became NOAA-20. Well-geolocated and radiometrically calibrated Level-1 sensor data records (SDRs) from VIIRS are crucial to numerical weather prediction (NWP) and Level-2+ environmental data record (EDR) algorithms and products. The high quality of Level-2+ EDRs is a requirement for the continuity of NASA Earth science data records (ESDRs) and climate data records (CDRs), one of the two objectives of the SNPP mission and one of the three elements in the JPSS mission objective. The other objective of the SNPP mission is risk reduction for the follow-on JPSS missions. This paper summarizes the on-orbit geolocation calibration and validation (Cal/Val) activities for both VIIRS sensors onboard SNPP and NOAA-20 in the past 10 years. These activities include nominal geolocation Cal/Val activities, risk reduction activities, and improvements for the on-orbit VIIRS sensor operations. After these activities, sub-pixel geolocation accuracy is achieved. Nadir equivalent geolocation uncertainty is generally within 75 m (1-σ), or 20% imagery band pixels, in either the along-scan or along-track direction for both SNPP and NOAA-20 VIIRS sensors. The worst 16-day measured geolocation errors (radial, 3-σ) are 280 m and 267 m, respectively, in the latest SNPP and NOAA-20 VIIRS data collections, which are better than the required accuracy of 375 m (radial, 3-σ). The risk reduction activities also improved VIIRS builds for JPSS-3 and JPSS-4 satellites, and provide lessons learned for other VIIRS-like sensor builds.

VIIRS↗

NASA NTRS2015

Double-Diffusive Convection During Growth of Halides and Selenides

Heavy metal halides and selenides have unique properties which make them excellent materials for chemical, biological and radiological sensors. Recently it has been shown that selenohalides are even better materials than halides or selenides for gamma-ray detection. These materials also meet the strong needs of a wide band imaging technology to cover ultra-violet (UV), midwave infrared wavelength (MWIR) to very long wavelength infrared (VLWIR) region for hyperspectral imager components such as etalon filters and acousto-optic tunable filters (AO). In fact AOTF based imagers based on these materials have some superiority than imagers based on liquid crystals, FTIR, Fabry-Perot, grating, etalon, electro-optic modulation, piezoelectric and several other concepts. For example, broadband spectral and imagers have problems of processing large amount of information during real-time observation. Acousto-Optic Tunable Filter (AOTF) imagers are being developed to fill the need of reducing processing time of data, low cost operation and key to achieving the goal of covering long-wave infrared (LWIR). At the present time spectral imaging systems are based on the use of diffraction gratings are typically used in a pushbroom or whiskbroom mode. They are mostly used in systems and acquire large amounts of hyperspectral data that is processed off-line later. In contrast, acousto-optic tunable filter spectral imagers require very little image processing, providing new strategies for object recognition and tracking. They are ideally suited for tactical situations requiring immediate real-time image processing. But the performance of these imagers depends on the quality and homogeneity of acousto-optic materials. In addition for many systems requirements are so demanding that crystals up to sizes of 10 cm length are desired. We have studied several selenides and halide crystals for laser and AO imagers for MWIR and LWIR wavelength regions. We have grown and fabricated crystals of several materials such as mercurous chloride, mercurous bromide, mercurous iodide, lead chloride lead bromide, lead iodide, thallium arsenic selenide, gallium selenide, zince sulfide zinc selenide and several crystals into devices. We have used both Bridgman and physical vapor transport (PVT) crystal growth methods. In the past have examined PVT growth numerically for conditions where the boundary of the enclosure is subjected to a nonlinear thermal profile. Since past few months we have been working on binary and ternary materials such as selenoiodides, doped zinc sulfides and mercurous chloro bromide and mercurous bromoiodides. In the doped and ternary materials thermal and solutal convection play extremely important role during the growth. Very commonly striations and banding is observed. Our experiments have indicated that even in highly purified source materials, homogeneity in 1-g environment is very difficult. Some of our previous numerical studies have indicated that gravity level less than 10-4 (-g) helps in controlling the thermosolutal convection. We will discuss the ground based growth results of HgClxBr(1-x) and ZnSe growth results for the mm thick to large cm size crystals. These results will be compared with our microgravity experiments performed with this class of materials. For both HgCl-HgBr and ZnS-ZnSe the lattice parameters of the mixtures obey Vagard's law in the studied composition range. The study demonstrates that properties are very anisotropic with crystal orientation, and performance achievement requires extremely careful fabrication to utilize highest figure of merit. In addition, some parameters such as crystal growth fabrication, processing time, resolution, field of view and efficiency will be described based on novel solid solution materials. It was predicted that very similar to the pure compounds solid solutions also have very large anisotropy, and very precise oriented and homogeneous bulk and thin film crystals is required to achieve maximum performance of laser or imagers. Some of the parameters controlling the homogeneity such as thermos-solutal convection driven forces can be controlled in microgravity environments to utilize the benefits of these unique materials.

Singh, N. B.↗

NASA NTRS1999

The Lunar Prospector Mission: Final Results of Trajectory Design, Quasi-Frozen Orbits, Extended Mission Targeting, and Lunar Topography and Potential Models

The National Aeronautics and Space Administration (NASA) selected Lunar Prospector (LP) as one of the discovery missions to conduct solar system exploration science investigations. The mission was NASA's first lunar voyage to investigate key science objectives since Apollo and was launched in January 1998. In keeping with discovery program requirements to reduce total mission cost and utilize new technology, Lunar Prospector's mission design and control will focus on the use of innovative and proven trajectory analysis programs. As part of this effort, the Goddard Space Flight Center and the Ames Research Center became partners in the Lunar Prospector trajectory team to provide the trajectory analysis and orbit determination support. At the end of 1998, Lunar Prospector completed its one-year primary mission at 100-km altitude above the lunar surface. On December 19, 1998, Lunar Prospector entered its extended mission phase. The mission orbit was lowered from 100 km to a mean altitude of 40 km. Due to lunar potential effects, the altitude of Lunar Prospector varied from 25 to 55 km above the mean lunar geoid. After one month at 40 km, the lunar potential model was updated based upon the new tracking data at 40 km. On January 15, 1999, the altitude was lowered again to a mean altitude of 30 km. The spherical altitude varied between 15 km and 45 km above the mean lunar geoid while the topographical altitude varied between 10 km and 50 km. Various means were employed to get accurate lunar surface elevation including Clementine altimetry and LOS analysis. Based upon the best available terrain maps, Lunar Prospector reached actual altitudes of 8 km above lunar mountains in the southern polar region. This extended mission phase of six months will enable LP to obtain science data up to 3 orders of magnitude better than at the mission orbit. At the end of the operations mission, LP was targeted for impact at a chosen location that allowed optical observation of the lunar ejecta as LP ended its mission at 1.6 km/sec. This paper details the trajectory design and orbit determination planning and actual results of the Lunar Prospector nominal and extended mission including maneuver design, eccentricity vs. argument of perigee evolution, topographical altitude estimation, and lunar potential modeling. This paper provides understanding of the quasi-frozen orbit design of the LP mission, the optimization process of lunar orbit targets, the impacts that the selected lunar potential models play, and discusses the feasibility of meeting the mission goals. Observed evolution of the Keplerian orbit elements are compared to the theoretical predictions using the latest lunar potential model available which incorporates the Lunar Prospector Doppler data. Mapping orbit maintenance maneuver design along with results of the actual maneuvers to maintain the orbital requirements are also presented.

Folta, David↗

NASA NTRS2010

Active Debris Removal - A Grand Engineering Challenge for the Twenty-First Century

The collision between Iridium 33 and Cosmos 2251 in 2009 underlined the potential of an ongoing collision cascade effect (the Kessler Syndrome ) in the near-Earth orbital debris environment. A 2006 NASA analysis of the instability of the debris population in the low Earth orbit (LEO, the region below 2000 km altitude) shows that the environment has reached a point where the debris population will continue to increase in the next 200 years, even without any future launches. The increase is driven by fragments generated via collisions among existing objects in LEO. In reality, the situation will be worse than this prediction because satellite launches will continue and unexpected major breakups may continue to occur. Mitigation measures commonly adopted by the international space community (such as the 25-year rule) will help, but will be insufficient to stop the population growth. To better preserve the near-Earth space environment for future generations, active debris removal (ADR) should be considered. The idea of active debris removal is not new. However, due to the monumental technical, resource, operational, legal, and political challenges associated with removing objects from orbit, it has not yet been widely considered feasible. The recent major breakup events and the environment modeling efforts have certainly reignited the interest in using active debris removal to remediate the environment. This trend is further highlighted by the National Space Policy of the United States of America, released by the White House in June 2010, where the President explicitly directs NASA and the Department of Defense to pursue research and development of technology and techniques, to mitigate and remove on-orbit debris, reduce hazards, and increase understanding of the current and future debris environment. A 2009 modeling study by the NASA Orbital Debris Program Office has shown that, in order to maintain the LEO debris population at a constant level for the next 200 years, an active debris removal of about five objects per year is needed. The targets identified for removal are those with the highest mass and collision probability products. Analyses from the study indicate that the majority of those objects are spent upper stages with masses ranging from 1 to more than 8 metric tons, residing in several altitude regions and concentrated in about 10 inclination bands. To remove five of those objects per year in a cost-effective manner truly represents a grand challenge in engineering and technology development. An end-to-end debris removal operation includes, in general terms, launches orbit rendezvous, precision tracking, stabilization (of the tumbling motion), capture, and deorbit of the targets. An ADR system deigned to remove a single object is not very cost-effective. Therefore, the repeatability of the removal system is almost a requirement. Some of the technologies involved in the ADR process do exist, but the difficulty is to make them more cost effective. Other technologies, such as ways to stabilize a massive tumbling upper stage and the capture mechanisms, are new and will require major innovative research and development efforts. This paper summarizes an updated assessment of the environment, including what needs to be done to control the population growth, and outlines the major engineering and technology challenges to carry out active debris removal to preserve the environment.

Liou, Jer-Chyi↗

DOE OSTI2021

Pilot-Scale Testing of an Integrated Circuit for the Extraction of Rare Earth Minerals and Elements from Coal and Coal Byproducts Using Advanced Separation Technologies

The primary objective of this project was to develop and demonstrate an integrated pilot-scale circuitry for recovering high-value rare earth elements (REEs) from coal and coal byproducts. The target performance was to produce a mixed REE product with content of at least two percent by weight on a dry mass basis in a cost-effective and environmentally benign manner. During the first nine months of the project period (Phase 2 Budget Period 2), pilot plant construction was completed including all field site startup activities such as permitting, engineering design, procurement/bidding, unit fabrication, site construction, equipment installation, module assembly, safety training, and circuit shakedown. During the remaining 21 months of project period (Phase 2 Budget Period 3), detailed field-testing activities were performed including feedstock sample collection and preparation, exploratory testing, circuit modification, detailed parametric study, and performance optimization. A detailed techno-economic analysis was performed based on the pilot plant testing findings which provided various scenarios for REE production. The project successfully accomplished the proposed target performance by producing mixed rare earth oxide (REO) with greater than 90% purity by weight in a continuous pilot scale operation from two distinctly different coarse refuse materials (i.e., West Kentucky No. 13 and Fire Clay coal seams), and at least three secondary sources (i.e., heap leach process and naturally formed acid mine drainage system). Project partners included the University of Kentucky, Virginia Tech, West Virginia University, Alliance Coal, Blackhawk Mining, Mineral Refining Company, and Mineral Separation Technologies. The pilot scale test facility was constructed at a former mining complex owned by Alliance Natural Resource Partners (Alliance Coal). The site was rehabilitated to accommodate the equipment installation, construction and fabrication, electrical power requirement, water line management and containment. The process units constructed and installed included X-ray sorting unit, crushing and grinding unit, physical separation unit, acid leaching unit, solvent extraction unit, and wastewater management unit. A rare earth mineral concentration unit was constructed as a standalone unit for flexible operation. A detailed environmental assessment and control plan was carried out to identify and quantify any potential impacts of the pilot-scale processing circuitry on the human and eco-system health and well-being. Corresponding mitigation strategies and control measures were provided. A conceptual flowsheet was developed to effectively remove thorium and uranium from high purity rare earth oxide mix or any potential radionuclide enriched stream. The two distinct feedstock materials were secured from the Blackhawk Mining Complex in eastern Kentucky where the Fire Clay (Hazard No. 4) seam is processed. The West Kentucky No. 13 (Baker) coarse refuse material was collected from an active process stream at an Alliance coal preparation plant located in western Kentucky. Characterization analysis indicated that both of feed materials generated from the two sources contained >300 ppm of TREEs on a dry whole mass basis which met the requirements for a qualified feed stock. The two feedstocks were further upgraded using a dual x-ray sorter to prepare the feed material for hydrometallurgical circuit. Thermal treatment on feed material prior to leaching was found to: 1) improve the leaching recovery of REEs, 2) increase the leaching kinetics, and 3) allow the leaching reaction to occur at lower acidity. Roasting at 600°C was selected as the pre-treatment condition for both West Kentucky No. 13 and Fire Clay coarse refuse material. Over 40% of leaching recovery was achieved by roasting West Kentucky No. 13 material having a top particle size of 3 mm in the pilot scale operation using 1.2M sulfuric acid leaching at 75OC. Initial pilot scale testing involved continuous operation of the pilot plant for 94 hours. The leaching unit was operated at solid-to-liquid ratio of 1 to 10 (w/v) using 0.5M sulfuric acid solution at a temperature of 75°C. The continuous solvent extraction circuit utilized rougher and cleaner units with DEHPA and TBP as the extractants. An innovative stripping circuit was developed to accumulate the REE concentration in the stripping solution to a level above 600 ppm. A bleed stream from the recycled strip solution was treated using oxalic acid precipitation which produced a high grade rare earth oxalate. The oxalate product was roasted to remove the oxalate which produced a rare earth oxide product having a purity greater 90%. Due to high concentrations of contaminant ions in the pregnant leach solution (PLS), a modified flowsheet was developed that involved pre-concentration of the REEs using multiple stages of precipitation and redissolution. The advantage of this process was improved removal of contamination before the downstream purification process and a significant cost reduction relative to the circuit that utilized the solvent extraction process. The modified circuitry included processes involving leaching, multistage precipitation, redissolution, and oxalate precipitation followed by roasting of the oxalate product. The circuit produced a mixed REO that was 92.96% pure from the initial test. A detailed parametric test plan was carried out which involved varying key parameters including solids feed rate, acid flowrate, acid concentration, multistage precipitation pH, redissolution pH, oxalate precipitation dosage and pH. The response variables included REE recovery, contaminant recovery, REO product grade and overall chemical consumption. Test results indicated that the acid-to-solid ratio is the key parameter to leaching efficiency as performance deteriorated with an increase in solids concentration. The optimal pH determined for REE precipitation and redissolution was 6.5 and 2.5, respectively. Additional tests were conducted to further improve the flowsheet. Recirculating a portion of the PLS to the feed of the leach tanks improved the leaching performance by lowering the pH of the leaching system and reducing the contamination recovery by shortening the residence time. Moreover, the removal of Al prior to REE precipitation significantly reduced the oxalic acid consumption in the oxalate precipitation circuit. The modified circuit produced over 90% grade REO by weight from both West Kentucky No. 13 and Fire Clay coarse refuse material in pilot scale continuous test programs. A case analysis model was developed to project the REE and major contaminants concentration in each PLS stream based on the leaching condition, pH cut point, and oxalic acid dosage. A correlation was established using empirical and semi-empirical models. Using the models, chemical consumption required for each stage was predicted based on the projected performance of the hydrometallurgy circuit. After identifying the optimum conditions, validation tests were carried out for the treatment of both West Kentucky No. 13 and Fire Clay coarse refuse materials in the pilot plant. The actual circuit performance and chemical consumptions were very close to the model predictions. Other than the two coarse refuse sources, several secondary feedstocks were also tested in the pilot plant facility. A “heap leach” system was constructed using the coarse refuse material generated from cleaning the West Kentucky No. 13 seam coal. Using the two stage SX rougher and cleaner circuit, a concentrate with a grade >90% REO was produced while recovering >97% of the REEs from the heap leach PLS. Naturally generated acid mine drainage (AMD) from West Kentucky No.13 mine was processed using the multistage precipitation circuit in the pilot plant in a test conducted for a period of 32 hours. The final grade of the mix RE oxide produced from the AMD was 90.84% with an overall circuit recovery of 64%. The primary source of REE was the selective precipitation steps involving iron and aluminum rejection. The hydrophobic-hydrophilic separation (HHS) process was proven to effectively recover coal from fine waste materials. For REM recovery, the HHS process was able to produce concentrates at grades of approximately 1.8% REE on an ash basis; however, recovery values were typically low, <10%, under the optimal conditions determined in the laboratory-scale testing. Staged testing of the pilot-scale HHS process for coal recovery and semi-continuous laboratory testing for REM testing showed that a total concentration ratio of more than 15x was observed for the REM recovery process. A circuit simulation package was developed for REE extraction and purification using a spreadsheet-based platform (Microsoft Excel). The REESim circuit simulation package is configured to track the mass and volume flows of components passing through a series of unit operations specified and configured by the user. The mass rates can then be utilized by the user to determine important performance indicators such as product mass yields, concentrate purity levels, element-by-element recoveries, and so forth. The techno-economic analysis showed that the roasting and leaching operations were the most expensive capital items, each contributing approximately 30% to the total capital cost. One notable contributor to the high production costs was the low REE recovery observed in the pilot scale trials. The product basket price was shown to have a strong influence on the economic viability of the scenarios, with the scandium price being the most significant influencer. Operating cost was shown to be extremely sensitive to REE recovery, REE feed grade, and leaching acid consumption. An analysis of ten different scenarios for a 500 t/h commercial operation revealed that three were economically favorable, producing internal rates of return varying from 27.7% to 33.1% and payback periods of 4 to 5 years. The project successfully developed and demonstrated a process to recover REEs from coal and coal byproducts in a pilot-plant operation which consistently produced over 90% grade REO mix from varies types of feedstocks. Commercialization analysis showed that the technology readiness level successfully achieved TRL 6 at the end of the project and demonstrated the need and the potential for scaling the process to further advance the technologies toward the goal of providing a domestic supply of REEs at a commercial scale.

01 COAL, LIGNITE, AND PEAT↗