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Search indexed NASA NTRS and DOE OSTI research on propulsion, heat transfer, battery materials and energy systems. Follow report and document links to the original sources.

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All sourcesNASA NTRSDOE OSTI
DOE OSTI2022

Plasma diagnostics and modeling of lithium-containing plasmas

Thin-film deposition from chemically reactive multi-component plasmas is complex, and the lack of electron collision cross-sections for even the most common metalorganic precursors and their fragments complicates their modeling based on fundamental plasma physics. This study focuses on understanding the plasma physics and chemistry in argon (Ar) plasmas containing lithium bis (trimethylsilyl) amide used to deposit Li x Si y thin films. These films are emerging as potential solid electrolytes for lithium-ion batteries, and the Li-to-Si ratio is a crucial parameter to enhance their ionic conductivity. We deposited Li x Si y films in an axial flow-through plasma reactor and studied the factors that determine the variation of the Li-to-Si ratio in films deposited at various points on a substrate spanning the entire reactor axis. While the Li-to-Si ratio is 1:2 in the precursor, the Li-to-Si ratio is as high as 3:1 in films deposited near the plasma entrance and decreases to 1:1 for films deposited downstream. Optical emission from the plasma is dominated by Li emission near the entrance, but Li emission disappears downstream, which we attribute to the complete consumption of the precursor. We hypothesized that the axially decreasing precursor concentration affects the electron energy distribution function in a way that causes different dissociation efficiencies for the production of Li and Si. We used Li line intensities to estimate the local precursor concentration and Ar line ratios to estimate the local reduced electric field to test this hypothesis. This analysis suggests that the mean electron energy increases along the reactor axis with decreasing precursor concentration. As a result, the decreasing Li-to-Si ratio with axially decreasing precursor concentration may be explained by Li release from the precursor having lower threshold energy than Si release.

70 PLASMA PHYSICS AND FUSION TECHNOLOGY↗
DOE OSTI2024

Definition of fragmentation functions and the violation of sum rules

We point out a problem with the formulation and derivations of sum rules for quark fragmentation functions that impacts their validity in QCD, but which potentially points toward an improved understanding of final states in inclusive hard processes. Fragmentation functions give the distribution of final-state hadrons arising from a parton exiting a hard scattering, and the sum rules for momentum, electric charge, etc. express conservation of these quantities. The problem arises from a mismatch between the quark quantum numbers of the initial quark and the fact that all observed final-state hadrons are confined bound states with color zero. We point that, in a confining theory like QCD, the Wilson line in the operator definition of a fragmentation function entails that the final state in a fragmentation function includes a bound state in the external field generated by the Wilson line. We justify this with the aid of general features of string hadronization. The anomalous bound states are restricted to fractional momentum z = 0 . They tend to invalidate sum rules like the one for charge conservation when applied to the fragmentation functions inferred from experimental data but not the momentum sum rule. We propose to exploit our ideas in future studies as a way to relate the fragmentation functions extracted from inclusive cross sections to more detailed nonperturbative descriptions of final state hadronization. We also describe scenarios wherein the traditional sum rules might remain approximately valid with a reasonably high degree of accuracy. Published by the American Physical Society 2024

71 CLASSICAL AND QUANTUM MECHANICS, GENERAL PHYSIC↗
DOE OSTI2025

Experimental scheme for polarizing boron nuclei

Unraveling the internal structure of hadrons and nuclei in terms of the quarks and gluons of quantum chromodynamics is a central focus of current nuclear physics research. Directly observing gluonic states in the nucleus would be groundbreaking and is an objective of the future Electron-Ion Collider (EIC). Over 30 years ago, Jaffe and Manohar [R. L. Jaffe and A. Manohar, Phys. Lett. B 223 , 218 (1989)] identified a new double-helicity flip structure function, directly sensitive to exotic gluons. They pointed out that this could be measured in inclusive high-energy electron scattering from a transversely polarized nuclear target with spin 𝐼 ≥ 1. Here, in this work, we identify the spin-3 nucleus boron-10 as a particularly interesting system to search for exotic gluons. Leveraging technical advances in atomic physics over the past decade, we outline an experimental scheme to directly optically pump a beam of stable boron atoms to polarize the nuclear spin. Technical challenges to realize a spin-polarized beam of boron-10 in the EIC are discussed. The proposed scheme will also polarize the 11 B nucleus, which could significantly enhance the proton-boron fusion cross section.

atomic spectra↗
DOE OSTI2022

Environmental Flow Requirements from FERC Licenses Across the US

Environmental flow requirements included in Federal Energy Regulatory Commission (FERC) hydropower licenses are important for balancing natural properties and benefits of river ecosystems (e.g., healthy species, recreation, water supply, flood control) supporting hydropower production. In some cases, environmental flow requirements may limit operational flexibility given current operational schemes and make a hydropower plant less able to provide power to the electric grid on demand. Hydropower plants may gain some flexibility as hydropower scheduling time periods are made to be more responsive to the short-term needs of an energy grid increasingly reliant on intermittent renewables. However, many flow requirements focus on the daily, monthly, or seasonal flow fluctuations which matches the time scale of most paradigms linking flow alterations to the health of river ecosystems. This dataset seeks to provide a greater understanding of how flexibility in environmental requirements can be leveraged to create positive outcomes for both the power system and the environment. It contains information on environmental flow requirements from the Protection, Mitigation, and Enhancement section of 50 randomly selected FERC licenses: 25 issued from 1998-2013 that were also included in the ORNL Mitigation Database (Schramm et al. 2015) and 25 issued from 2014-present. The information on environmental flow requirements was extracted from the PM&E section of 50 randomly selected FERC licenses: 25 issued from 1998-2013 that were also included in the ORNL Mitigation Database (Schramm et al. 2015) and 25 issued from 2014-present. The flow requirements were then categorized into flow augmentation categories based on whether the license stated a specific water management purpose for the given requirement called augmentation categories (i.e., fisheries or habitat, recreation or boating, industry, and general or unspecified; Table B). Requirements were also grouped into flow type categories (e.g., minimum flow rate, maximum flow rate, ramping rate). Additional information related to flow requirements such as the augmentation time-period and whether the flow rate was continuous (i.e., condition must be present at all-times) or instantaneous (i.e., condition present at a point in time) was also extracted from the licenses. Some licenses had specific flow requirements based on whether the project was in a wet, dry, or normal water year. If that information was presented in the license, it was also included in the data set. The location within the project was noted, hereafter, zone, in the dataset for flow requirements relating to specific areas of hydropower projects (Dam, Powerhouse, Bypass Reach). Maximum discharge capacities of hydropower facilities were also extracted from both the Existing Hydropower Assets (EHA) data set and the National Inventory of Dams (NID) databases. Each facility was coded with project identification codes from the EHA dataset to facilitate cross-referencing between datasets.

13 HYDRO ENERGY↗
DOE OSTI2024

Understanding the High Energy Higgs Sector with the CMS Experiment and Artificial Intelligence

This dissertation describes efforts towards understanding the Higgs boson at the highest energies humanly accessible, using the CMS experiment at the Large Hadron Collider and advances in artificial intelligence (AI) and machine learning (ML). We present searches for resonant and nonresonant Higgs-boson (H) pair production in the all-hadronic two beauty-quark and two vector boson (V) final state, using a novel strategy to measure the quartic HHVV coupling and search for new Higgs-like bosons. By targeting highly Lorentz-boosted Higgs pairs, we probe effects of potential new physics in the high energy Higgs sector, which could hold answers to fundamental mysteries of nature such as baryon asymmetry. To enable these and future searches, we introduce as well significant developments in AI/ML, including in the identification of boosted H$\rightarrow$VV decays with deep transformer networks and advances in AI-accelerated fast simulations of the CMS detector. The latter notably includes the development of the first, highly performant generative models for point-cloud data in high energy physics, which have the potential to improve CMS' computational efficiency by up to three orders of magnitude. We also highlight novel solutions to the important and challenging problems of calibrating and validating these ML techniques. Finally, we present new approaches to search for new physics in a model-agnostic manner, using physics-informed ML methods equivariant to Lorentz transformations. The quartic HHVV coupling is observed (expected) to be constrained to $[-0.04, 2.05]$ ($[0.05, 1.98]$) at the 95% confidence level relative to the standard model prediction, representing the second-most sensitive measurement of this coupling by CMS to date. Exclusion limits on the production cross section of new heavy resonances decaying to two Higgs-like bosons are expected to be as low as 0.3 fb for high resonance masses.

72 PHYSICS OF ELEMENTARY PARTICLES AND FIELDS↗
DOE OSTI2022

Global Patterns and Controls of Nutrient Immobilization on Decomposing Cellulose in Riverine Ecosystems

Microbes play a critical role in plant litter decomposition and influence the fate of carbon in rivers and riparian zones. When decomposing low-nutrient plant litter, microbes acquire nitrogen (N) and phosphorus (P) from the environment (i.e., nutrient immobilization), and this process is potentially sensitive to nutrient loading and changing climate. Nonetheless, environmental controls on immobilization are poorly understood because rates are also influenced by plant litter chemistry, which is coupled to the same environmental factors. Here we used a standardized, low-nutrient organic matter substrate (cotton strips) to quantify nutrient immobilization at 100 paired stream and riparian sites representing 11 biomes worldwide. Immobilization rates varied by three orders of magnitude, were greater in rivers than riparian zones, and were strongly correlated to decomposition rates. In rivers, P immobilization rates were controlled by surface water phosphate concentrations, but N immobilization rates were not related to inorganic N. The N:P of immobilized nutrients was tightly constrained to a molar ratio of 10:1 despite wide variation in surface water N:P. Immobilization rates were temperature-dependent in riparian zones but not related to temperature in rivers. However, in rivers nutrient supply ultimately controlled whether microbes could achieve the maximum expected decomposition rate at a given temperature. Collectively, we demonstrated that exogenous nutrient supply and immobilization are critical control points for decomposition of organic matter.

54 ENVIRONMENTAL SCIENCES↗
DOE OSTI2020

Temporal covariance structure of multi-spectral phenotypes and their predictive ability for end-of-season traits in maize

Vegetation indices (VIs) derived from multi-spectral imaging (MSI) platforms can be used to study properties of crop canopy, providing non-destructive phenotypes that could be used to better understand growth curves throughout the growing season. To investigate the amount of variation present in several VIs and their relationship with important end-of-season traits, genetic and residual (co)variances for VIs, grain yield and moisture were estimated using data collected from maize hybrid trials. The VIs considered were Normalized Difference Vegetation Index (NDVI), Green NDVI, Red Edge NDVI, Soil-Adjusted Vegetation Index, Enhanced Vegetation Index and simple Ratio of Near Infrared to Red (Red) reflectance. Genetic correlations of VIs with grain yield and moisture were used to fit multi-trait models for prediction of end-of-season traits and evaluated using within site/year cross-validation. To explore alternatives to fitting multiple phenotypes from MSI, random regression models with linear splines were fit using data collected in 2016 and 2017. Heritability estimates ranging from (0.10 to 0.82) were observed, indicating that there exists considerable amount of genetic variation in these VIs. Furthermore, strong genetic and residual correlations of the VIs, NDVI and NDRE, with grain yield and moisture were found. Considerable increases in prediction accuracy were observed from the multi-trait model when using NDVI and NDRE as a secondary trait. Finally, random regression with a linear spline function shows potential to be used as an alternative to mixed models to fit VIs from multiple time points.

59 BASIC BIOLOGICAL SCIENCES↗
DOE OSTI2024

NIST: Soil Respiration, Moisture, Temperature, Chemistry; and Fine Root Measurements from a Transect Through a Forest Edge, Gaithersburg, Maryland, 2017-2021

This dataset contains soil respiration, moisture, temperature, and chemistry, as well as fine root measurements from the National Institute of Standards and Technology (NIST) Forested Optical Reference for Evaluating Sensor Technology (FOREST) research facility at Gaithersburg, Maryland. Measurements were taken at an existing transect array that begins in a grassy meadow, crosses a sharp forest edge, then a small stream, and finally extends upwards in the interior of the forest at the top of a ridge. There are 6 different landscape positions replicated across three transects in the array. Soil respiration was measured during growing seasons in 2017-2019 (2017-06-02 to 2020-02-27). Pedons (1 m3) were isolated from surrounding tree roots using trenching and a fabric to inhibit root ingrowth. Flux measurements inside the pedons were thus assumed to represent heterotrophic only respiration in 2019, and these fluxes were paired with nearby fluxes assumed to represent total respiration. Deep vertical probes measured volumetric moisture content and temperature at the same points in the array every 10 cm in depth to either 90 cm or 120 cm total depth, at 15 minute intervals, from 2019-2021 (2019-07-09 to 2021-09-10). Soil core samples were collected from each of the array points for three different months in early- to mid-2019 (2019-03-19 to 2019-07-10), at three depths each. Soils were analyzed for gravimetric moisture content; pH; total carbon, nitrogen, and phosphorus; texture; microbial biomass carbon, nitrogen, and phosphorus; extractable dissolved organic carbon, nitrogen, and phosphorus; extractable nitrate and ammonia; and extracellular hydrolytic enzyme activities. The fine roots were separated from the cores and segregated by plant functional type (grass or tree species) and if they were dead or alive. Fine roots were then measured for length, surface area, diameter, and dry mass. This dataset contains four data files in comma separated (*.csv) format. These data serve to deepen our understanding of root and soil processes at forest edges and in transitional zones.

54 ENVIRONMENTAL SCIENCES↗
DOE OSTI2020

Fisher for complements: extracting cosmology and neutrino mass from the counts-in-cells PDF

In this work, we comprehensively analyse the cosmology dependence of counts-in-cells statistics. Furthermore, we focus on the shape of the one-point probability distribution function (PDF) of the matter density field at mildly non-linear scales. Based on large-deviation statistics, we parametrize the cosmology dependence of the matter PDF in terms of the linear power spectrum, the growth factor, the spherical collapse dynamics, and the non-linear variance. We extend our formalism to include massive neutrinos, finding that the total matter PDF is highly sensitive to the total neutrino mass Mν and can disentangle it from the clustering amplitude σ 8 . Additionally, using more than a million PDFs extracted from the Quijote simulations, we determine the response of the matter PDF to changing parameters in the νΛCDM model and successfully cross-validate the theoretical model and the simulation measurements. We present the first νΛCDM Fisher forecast for the matter PDF at multiple scales and redshifts, and its combination with the matter power spectrum. We establish that the matter PDF and the matter power spectrum are highly complementary at mildly non-linear scales. The matter PDF is particularly powerful for constraining the matter density Ωm, clustering amplitude σ 8 and the total neutrino mass Mν. Adding the mildly non-linear matter PDF to the mildly non-linear matter power spectrum improves constraints on Ω m by a factor of 5 and σ 8 by a factor of 2 when considering the three lowest redshifts. In our joint analysis of the matter PDF and matter power spectrum at three redshifts, the total neutrino mass is constrained to better than 0.01 eV with a total volume of 6 (Gpc h -1 ) 3 . We discuss how density-split statistics can be used to translate those encouraging results for the matter PDF into realistic observables in galaxy surveys.

79 ASTRONOMY AND ASTROPHYSICS↗
DOE OSTI2024

Test Beam Results of Planar Pixel Sensor for the CMS Phase 2 Inner Tracker Upgrade

Results of the test beam measurements that characterise the performance of CMS Readout Chip (CROC) sensors to be used in the High Luminosity era of the Large Hadron Collider (HL-LHC) are presented. The HL-LHC peak instantaneous luminosity of $7.5 \times 10^{34} \ \text{cm}^{-2} s^{-1}$ corresponds to an average of around 200 inelastic proton-proton collisions per beam-crossing every 25 ns. In order to efficiently reconstruct and track particles in this extreme and challenging conditions, the present CMS tracking detector will be completely replaced. The new tracking detector consists of an Inner Tracker closest to the beamline and an Outer Tracker surrounding it. These are populated with modules that comprise of readout chips and silicon sensors. The test beam measurements of these modules are vital to understand the performance of the related technologies. Using a primary 120 GeV proton beam from the Main Injector at Fermilab, data was collected at the Fermilab Test Beam Facility (FTBF) using the silicon tracker telescope that provides a precision position measurement of the track impact point with less than 5 $\mu$m uncertainty. The proton beam was incident on a 1x2 planar CROC module developed by Hamamatsu. The sensor has 100x25 $\mu m^2$ standard pixels and also a smaller number of 225x25 $\mu m^2$ longer pixels at the boundary between the two ROCs. We present characterization of these modules that includes pixel efficiency, resolution, cluster size and charge distributions.

72 PHYSICS OF ELEMENTARY PARTICLES AND FIELDS↗
DOE OSTI2023

The Circular Home: Development and Demonstration of a Net Negative Carbon, Reusable Residence

This project started the development of an innovative modular building system intended for residential construction. The project was centered around single-family homes that were carbon-negative cradle-to-grave over a 100 year time frame, which is approximately double the current standard for operational life. The project sought to accomplish this objective by designing the modular home in a manner that ensures circularity, where the main house components can be used over several consecutive 50-year lifespans. To accomplish these objectives, this project utilized integrated design with the inclusion of life-cycle assessment to design the single-family house for architectural, structural, energy, mechanical, thermal, and moisture demands, while ensuring carbon negativity and annual net-zero energy use. The core technology of this project was the use of cross-laminated timber and biogenic materials, such as wood-fiber insulation, in the construction of the modular building units. The robustness and factory manufacturing ability of cross-laminated timber allow for factory construction of most of the home, which minimizes on-site time, saving money and reducing construction waste. During this project, initial milestones were met that delivered the architectural plans for the circular home and an initial structural testing matrix. Compared to current code-built homes, which average 13 kg CO2eq. / ft2 and are demolished at their end of life, the circular home has an estimated -30 kg CO2eq. / ft2 of embodied carbon emissions during its first build iteration. It is estimated that approximately 60%-70% of the total building mass could be reused and/or recycled during subsequent rebuilds. This project was concluded at approximately the 1/3 point and a separate project was established to conclude the remaining milestones. This project promises to benefit the public by delivering another option for single-family, and eventually multi-family, housing using a novel building construction system. The system of reusable modular construction facilitates not only lower emissions during the first building iteration, but also lower emissions during subsequent iterations that drastically reduce waste and help society meet its climate goals. Many other industries, such as clothing and technology sectors, are starting to focus on circularity and this project adds the residential building construction industry to that list.

32 ENERGY CONSERVATION, CONSUMPTION, AND UTILIZATI↗
DOE OSTI2026

The Strength of Coupling to the Southern Ocean Modulates Tropical Eastern Pacific Variability and Forced Response

Despite rising global-mean temperatures, large parts of the Southern Ocean and tropical eastern Pacific Ocean have cooled during the satellite era. These regions may be linked by teleconnections, with Southern Ocean cooling contributing to tropical eastern Pacific cooling. We demonstrate that, on average, state-of-the-art Earth system models (ESMs) underestimate the magnitude of interaction between the Southern Ocean and tropical eastern Pacific Ocean. The strength of the teleconnection is shown to be mediated by the magnitude of the positive cloud–sea surface temperature (SST) feedback in the subtropical eastern Pacific Ocean and the strength of the wind–evaporation–SST (WES) feedback. We link excessive precipitation in the tropical Pacific south of the equator to the strength of the Southern Ocean–eastern Pacific teleconnection. This model bias, known as the double intertropical convergence zone (ITCZ), is shown to be related to erroneous convection south of the equator, weakened cross-equatorial trade winds, and unfavorable meteorological conditions for marine boundary layer subtropical clouds. We postulate there is a two-way interaction, in which a double-ITCZ occurs with weaker cloud–SST and WES feedbacks, which in turn impact local SSTs and amplify the double-ITCZ. Models with a stronger Southern Ocean to tropical Pacific teleconnection tend to exhibit more multidecadal variability in the Walker circulation, ITCZ, and west–east equatorial SST gradient, as well as greater delayed warming in the tropical eastern Pacific Ocean resulting from delayed Southern Ocean warming under greenhouse gas forcing. These results provide insight into why ESMs struggle to replicate observed tropical Pacific temperature trend patterns and point to ITCZ location as a key target for improvement in future model development.

Climate change↗
DOE OSTI2021

Integrated, Coordinated, Open, and Networked (ICON) Science to Advance the Geosciences: Introduction and Synthesis of a Special Collection of Commentary Articles

The sciences struggle with poor integration across disciplines, the absence of coordination within and across data generation and modeling activities, scarce or disconnected open data, and weaknesses of networks to engage diverse stakeholders within and beyond the scientific community. The American Geophysical Union (AGU) is divided into 25 sections intended to encompass the breadth of the geosciences. Here, we introduce a special collection of commentary articles spanning 19 AGU sections on the challenges and opportunities associated with the use of ICON science principles. These principles focus on research intentionally designed to be Integrated, Coordinated, Open, and Networked (ICON) with the goal of maximizing mutual benefit (among stakeholders) and cross-system transferability of science outcomes. This article summarizes the ICON principles; discusses the crowdsourced approach to creating the collection; and explores insights from across the articles. There were multiple common themes among the commentary articles, including the broad agreement that the benefits of using ICON principles outweigh the costs, but that using ICON principles has important risks that need to be understood and mitigated. It was also clear that the ICON principles are not monolithic or static, but should instead be considered a heuristic tool that can and should be modified to meet changing needs. As a whole, the collection is intended as a resource for scientists pursuing ICON science and represents an important inflection point in which the geosciences community has come together around ICON principles as a unified approach for improving how science is done across the geosciences and beyond.

58 GEOSCIENCES↗
DOE OSTI2025

An analytically tractable marked power spectrum

The increasing precision of cosmology data in the modern era is calling for methods to allow the extraction of non-Gaussian information using tools beyond two-point statistics. The marked power spectrum has the potential to extract beyond two-point information in a computationally efficient way while using much of the infrastructure already available for the power spectrum. In this work we explore the marked power spectrum from an analytical perspective. In particular, we explore a low-order polynomial for the mark that allows us to better control the theoretical uncertainties and we show that with minimal new degrees of freedom the analytical results match measurements from N-body simulations for both the matter field and biased tracers in redshift space. Finally, we show that even within the limited forms of mark that we consider, there are degeneracies that can be broken by inclusion of the marked auto-spectrum or the cross-spectrum with the unmarked field. I n conclusion, we discuss future theoretical developments that would enable us to apply this approach to survey data.

79 ASTRONOMY AND ASTROPHYSICS↗
DOE OSTI2022

MINERvA results and prospects

MINERvA is a dedicated neutrino cross section experiment that ran in the NuMI beamline at Fermilab from 2009 through 2019. MINERvA has made a broad suite of measurements that are informing the neutrino interaction models in use by not only today's oscillation experiments but also by future generations of oscillation experiments. Of particular interest are MINERvA's measurements of the quasielastic-like and pion production processes, since those channels dominate the oscillation landscape. MINERvA has also ushered in the era of using neutrino electron scattering to make precise flux predictions, another important input for oscillation experiments. This paper briefly describes a few recently published results from MINERvA's neutrino and antineutrino scattering sample on the hydrocarbon target including its new flux constraints, and points to some upcoming quasielastic and pion production results that will showcase simultaneous measurements of exclusive final states across different nuclei, ranging from carbon and water to iron and lead.

72 PHYSICS OF ELEMENTARY PARTICLES AND FIELDS↗
DOE OSTI2022

Integrated, Coordinated, Open, and Networked (ICON) Science to Advance the Geosciences: Introduction and Synthesis of a Special Collection of Commentary Articles

Abstract The sciences struggle to integrate across disciplines, coordinate across data generation and modeling activities, produce connected open data, and build strong networks to engage stakeholders within and beyond the scientific community. The American Geophysical Union (AGU) is divided into 25 sections intended to encompass the breadth of the geosciences. Here, we introduce a special collection of commentary articles spanning 19 AGU sections on challenges and opportunities associated with the use of ICON science principles. These principles focus on research intentionally designed to be Integrated, Coordinated, Open, and Networked (ICON) with the goal of maximizing mutual benefit (among stakeholders) and cross‐system transferability of science outcomes. This article (a) summarizes the ICON principles; (b) discusses the crowdsourced approach to creating the collection; (c) explores insights from across the articles; and (d) proposes steps forward. There were common themes among the commentary articles, including broad agreement that the benefits of using ICON principles outweigh the costs, but that using ICON principles has important risks that need to be understood and mitigated. It was also clear that the ICON principles are not monolithic or static, but should instead be considered a heuristic tool that can and should be modified to meet changing needs. As a whole, the collection is intended as a resource for scientists pursuing ICON science and represents an important inflection point in which the geosciences community has come together to offer insights into ICON principles as a unified approach for improving how science is done across the geosciences and beyond.

Goldman, A. E.↗
DOE OSTI2020

Evaluating the Effectiveness of an Ultrasonic Acoustic Deterrent in Reducing Bat Fatalities at Wind Energy Facilities

This project was designed to use thermal video cameras and fatality monitoring to evaluate the effectiveness of an ultrasonic acoustic deterrent (UAD) on bat activity and mortality, respectively. Our goals were to redesign the UAD device and installation infrastructure, determine the placement on wind turbines to optimize safety, compatibility and functionality, and to compare the mortality among the following conditions: Control (deterrents off and turbines feathered up to the manufacturer’s cut-in speed of 3.5 m/s), Deterrent (deterrents on and turbines feathered up to the manufacturer’s cut-in speed of 3.5 m/s), Curtailment (deterrents off and turbines feathered up to 5/ m/s), and combination (deterrents on and turbines feathered up to 5 m/s). The project was divided into a Feasibility Study and Comparative Study. The objectives for the Feasibility Study were to develop an installation strategy, redesign a previous iteration of a UAD to improve performance and weatherization, and test the effectiveness of the deterrents on bat activity. The Feasibility Study was intended to work out potential issues using a relatively small number of devices prior to manufacturing and installing numerous devices for a larger-scale comparative study. The division of the project into these separate studies was based on previous experience and the challenges of assessing the capabilities of an untested UAD. During the initial development and manufacturing of the UAD, NRG Systems decided to use a piezoelectric transducer rather than an electrostatic transducer, which was used by a previous device (i.e. Deaton UAD). NRG Systems conducted lab testing (i.e., IP67 or Ingress Protection) to ensure no water or dust ingress. In addition, shock/drop trials and variations in temperature exposure were conducted as part of the reliability testing. NRG Systems also developed a communications system to allow for continuous performance monitoring of the UADs. For the Feasibility Study, we installed 6 UADs on each of 2 Gamesa G90 2-MW wind turbines (Turbine 14 and 8) at the South Chestnut Wind Energy Facility, Pennsylvania and monitored activity under control and treatment (i.e. Deterrent) conditions using thermal video monitoring. There are two major sources of variation in bat activity (beyond the anticipated treatment effect): 1) environment around the turbines might inherently favor more activity at one than the other; 2) weather conditions on any given night or within season difference (e.g., migration later during the study period) might favor more activity on some nights than on other nights. Because we could only monitor two turbines on any night, we sought to control the potential influences of these two sources by alternating the turbine on which deterrents were activated each night. If there were no loss of data due to technical failures, this design would result in an equal number of deterrent and control nights at each turbine through the monitoring period, balancing the effects of both sources of variation. We compared the time bats spent and the number of events that occurred in overlapping cameras FOV as an indicator of risk, since 80% of the overlapping FOV of the cameras was in the RSA. Equipment failures, majority due to lightning, resulted in only 17 nights with useable data, with unbalanced treatment assignment within turbines and uneven distribution of treatment assignment throughout the observational period. This resulted in a confounding of treatment assignment and seasonal change. Deterrent treatment was measured at Turbine 14 on only 2 of the first 8 usable nights (spanning the period from 8/18-9/17), whereas 6 times on Turbine 8. From 9/18-927, deterrent was on at Turbine 14 on 6 of the remaining 10 nights, and 4 on Turbine 8. We recorded a total of 1,057 bats and observed a reduction in number of events and duration of events at the UAD-activated turbine when it was Turbine 14. When Turbine 8 had the UAD activated, we observed no difference in number or duration of events. Variation between turbines is not unusual and can cause issues when study designs have no true replication, i.e., multiple turbines per treatment. Within-turbine differences suggested a trend for reduced activity when UADs were activated, particularly for Turbine 14. These results may be caused by the overall higher bat activity at Turbine 8 and confounding of treatment assignment and seasonal trends. We mapped 58 bat events in 3-dimensional space (3D), 30 and 28 events during control and treatment conditions, respectively. We observed bats crossing the rotor plane under both control and treatment conditions and observed a total of 40 confirmed or near-collisions (i.e., target close to blade but no visual confirmation of a strike) out of a total of 1,491 medium and high confidence bat observations (880 control, 611 at treatment). Twice as many collisions/possible collisions were observed during control conditions. Given the challenges with the equipment and potential confounding of the data (i.e., different activity levels at the two wind turbines), we were unable to determine whether this initial turbine placement and orientation was optimal. Given no new information on how best to install the devices, we elected to use the same placement and orientation for the comparative study. For the Comparative Study, the objectives were to investigate the relative mortality rates among 4 treatments. We searched the area within 90 m of each turbine daily to recover the highest number of fresh fatalities possible. We were unable to detect a clear reduction in mortality from deterrents alone for any individual species. Surprisingly, mortality rate of the eastern red bat (Lasiurus borealis) was estimated to be 1.3–4.2 times as much when turbines were operating normally and UADs were on than when UADs were off. Reduction in mortality of all bat species combined due to curtailment of turbines was estimated to be between 0%–38%. This effect was nullified when, in addition to curtailment, UADs were on, with 95% confidence interval ranging from a 45% reduction to a 36% increase in mortality. This was likely due to the large proportion of eastern red bats in the total carcass population. Mortality of all low-frequency echolocating bats combined (i.e. hoary bat [L. cinereus], big brown bat [Eptesicus fuscus], silver-haired bat [Lasionycteris noctivagans]) relative to control was lower when curtailed (95% CI: 0%–74%), but the addition of UADs had no detectable effect (95%CI: 13%–79%). The combined treatment reduced mortality in silver-haired bats relative to control by 11%–99%, compared to curtailment (81% reduction–67% increase) or deterrent (82% reduction–67% increase) alone. Because silver-haired bats comprised a large proportion of low-frequency calling bats found during this study, a similar effect was seen for that group. The higher mortality observed for eastern red bats at UAD compared to control could have been caused by several factors, such as the effective range of the UAD, particularly at higher frequencies, behavior, positioning of the devices on the nacelle, or a combination of these. We used 3D thermal videography to compare control and UAD bat behavior from two turbines using a total of 203 3D bat-tracks across 34 nights. We recorded a similar number of bat-tracks between treatment groups, with 51% and 49% for control and UAD, respectively. Due to potential differences in bat behavior around spinning vs stationary turbine blades, we examined UAD effectiveness separately for non-operating turbines (feathered below cut-in speed of 3.5 m/s) and operating (normal operation above wind speed of 3.5 m/s). We found a higher proportion of bat-tracks at operating turbines (82%) compared to non-operating turbines (18%), although this does not account for overall time turbines were operating versus not. At non-operating turbines the UAD appears to be effective at reducing the amount of time, flight length, and number of passes through the rotor plane, compared to control. In addition, we found bats approached turbines similarly between control and treatment turbines, with 61% of control and 63% of UAD bat-tracks originating leeward of the hub. In contrast, at operating turbines, we saw little change in bat behavior in response to UADs. For example, we found an increase in the average duration of bat-tracks between non-operating and operating turbines for UAD but at control turbines we found average duration decreased once turbines became operational. Both control and UAD had a high proportion of bat-tracks that crossed the rotor plane (i.e., collision risk) originate from the windward side when turbines were operational 65% to 92%, respectively. Given that the UAD devices closest to the blades were orientated parallel to the blades, its possible bats were not exposed to the signal until they were close to the turbine blades, as suggested by the slightly higher mean duration within 5 meters of the blades for UAD turbines. Future research should consider concentrating UAD intensity on the areas of risk (i.e. blades) with enough buffer to allow bats to react to the sound before entering the rotor-swept area (RSA). In addition, investigating the potential of installing UAD units windward of the turbine blades (e.g. a hub-mounted UAD), particularly since even under control conditions, a relatively high proportion (65%) of crosses through the blade plane originated windward. 3D thermal videography provided valuable information on future testing strategies (e.g. device placement, UAD orientation) to improve UAD effectiveness when bats are at risk (i.e., operating wind turbines). Across the entire project we experienced issues with the operation and communication with the UADs. Most of the issues occurred during the Feasibility Study and were resolved prior to the Comparability Study. Additional challenges surfaced during the Comparability Study but were remedied immediately and are thought to have little impact on the results. We had logistical constraints at the project that limited our ability use traditional methods in our camera calibration. Several calibrations showed inaccurate scales, which may have been related to inadequate spatial coverage of “points” in the camera calibration volume. Because we were using actual video recordings of bats at a wind turbine, the behavior of bats could have concentrated “points” in specific areas of the turbine (i.e. leeward of nacelle), and limited “points” in other areas, resulting in camera calibration issues. We have plans to address these inconsistencies and improving the software and related methodologies by early 2020.

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