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DOE OSTI2024

Impact of Sr-Containing Secondary Phases on Oxide Conductivity in Solid-Oxide Electrolyzer Cells

Solid-oxide electrolyzer cells (SOECs) based on a yttria-stabilized zirconia (YSZ) oxide electrolyte produce hydrogen from water with the assistance of excess thermal energy; however, Sr diffusion within the Gd-doped CeO 2 (GDC) barrier layer during processing or operation can lead to the formation of unwanted secondary phases such as SrO and SrZrO 3 . Here, to establish and compare the degree of impact of these phases on SOEC performance, we conduct first-principles calculations to study their bulk oxide conductivities and compare them to that of the YSZ electrolyte. We find that SrO has a low conductivity arising from the poor mobility and low concentration of mobile oxygen vacancies, and its presence in SOECs should therefore be avoided. SrZrO 3 also has a lower oxide conductivity than YSZ; however, this discrepancy is primarily due to lower vacancy concentrations rather than low mobility. We find that sufficient levels of Y-doping on the Zr site can increase oxygen vacancy concentrations in SrZrO 3 to achieve an oxide ionic conductivity on par with that of YSZ, thereby mitigating any potential deleterious effect on transport performance. Energy-dispersive X-ray spectroscopy confirms that Y is the most common minority element present in SrZrO 3 forming near the GDC–YSZ interface, alleviating concerns regarding the impact of SrZrO 3 on device performance. These results from our combined computational–experimental analysis can inform future engineering strategies designed to limit the detrimental effects of Sr-induced secondary phase formation on SOEC performance.

08 HYDROGEN↗

DOE OSTI2025

A split luciferase system for studying coronavirus Mpro dimerization in vitro and in living cells

The main protease enzyme (Mpro) of coronaviruses cleaves the viral polyprotein into functional units essential for virus replication. Prior work has demonstrated that Mpro functions as a homodimer. However, studies on the mechanism of dimerization have been challenging because the purified protease is mostly dimeric, dimerization-defective mutants lack proteolytic activity, and robust cell-based assays have yet to be reported. To enable work on Mpro dimerization, we have developed a quantitative luciferase-based SARS-CoV-2 (SARS2) Mpro biosensor that accurately reports protein dimerization in living cells and, upon purification, also in vitro. Co-transfection of cells with a construct expressing Mpro fused to the 18 kDa LargeBiT of luciferase (LgBiT) and a second construct with Mpro fused to the 1 kDa SmallBiT of luciferase (SmBiT) results in a reconstitution of luciferase activity in a dose-dependent manner that requires conserved residues within the dimerization interface. Proteolytic activity is dispensable for dimerization and, uniquely, a C145A catalytically inactive mutant exhibits enhanced dimerization signal likely due to lower cytotoxicity. Mpro enzymes from multiple different coronaviruses also dimerize in this system, indicating mechanistic conservation. Interestingly, this dimerization biosensor also provides a quantitative read-out of inhibitor-facilitated dimerization. Covalent SARS2 Mpro inhibitors such as nirmatrelvir cause a 3- to 5-fold increase in luciferase activity. Together with corroborating structural, biophysical, and molecular dynamics experiments, our studies support a model in which covalent Mpro inhibitors such as nirmatrelvir simultaneously block catalytic activity and induce allosteric stabilization of the dimeric complex.

SARS-CoV-2 main protease (Mpro/3CLpro)↗

DOE OSTI2024

Enhanced UV–Vis Rejection Ratio in Metal/BaTiO 3 /β–Ga 2 O 3 Solar–Blind Photodetectors

The fabrication and characterization of metal/BaTiO 3 /β-Ga 2 O 3 solar-blind photodetectors are reported. β-Ga 2 O 3 is a promising material for solar-blind photodetectors due to its large bandgap and the availability of low defect-density melt-grown substrates. In this work, structures are introduced that employ high-permittivity dielectric/semiconductor heterojunctions to enhance the performance of a Schottky photodetector. It is shown that integrating the high-k dielectric BaTiO 3 reduces the dark current by ≈10 4 , all but eliminates illumination induced Schottky barrier lowering, and increases the UV–vis rejection ratio by a factor greater than 9 × 10 3 compared to a Schottky photodetector. It is hypothesized that the high permittivity of the dielectric overcomes the influence of self-trapped holes in Ga 2 O 3 to reduce the peak electric field at the dielectric/metal interface, thereby eliminating the effects of Schottky barrier lowering on illuminated β-Ga 2 O 3 photodetectors. Additionally, it is hypothesized that the increase in the UV–vis rejection ratio is caused by the “dead layer” that forms at the BaTiO 3 /Pt interface.

36 MATERIALS SCIENCE↗

DOE OSTI2023

Self Assembled Monolayers for Passivated Contacts

Passivated contacts mitigate defects typically encountered due metallization of solar cells. We deposit amorphous silicon (a-Si:H) on an oxidized silicon wafer via PECVD and anneal at high temperature to crystallize into polysilicon passivated contact. One drawback is the absorption of the polysilicon between grid fingers, so removal of this material is desirable to maximize Jsc. Alternatively, interdigitated back contact cells rely on a gap between n- and p- fingers, which is commonly etched to ensure electronic isolation. We utilize a self assembled monolayer (SAM) using hexamethyldisilazane (HMDS) as a precursor to pattern and etch amorphous silicon (a-Si:H) and polysilicon without the need for photoresist. Ultraviolet light exposure oxidizes the HMDS by photocleaving the organic groups [1] of the SAM leaving a patterned SiO2. Directly soaking this in TMAH will eventually etch the SAM and the silicon, where the SiO2 serves as an etch mask. Inversely, a dilute HF dip selectively etches this SiO2 and the SAM remains. A subsequent soak in TMAH selectively etches the underlying silicon, where the SAM serves as an etch mask. Importantly, we find that the SAM can remain intact for metallization, where we measure 10 mO-cm2 specific contact resistivity on n-type polysilicon.

passivation↗

DOE OSTI2025

ACHILLES-GENIE Interface for Neutrino Simulations, ADRIANO2 Tile Prototype for High-Granularity Dual-Readout Calorimetry

ICARUS (Imaging Cosmic And Rare Underground Signals) is a liquid argon time projection chamber (LArTPC) detector that pursues the sterile neutrino, which relies on accurate simulations of neutrino-argon interactions. REDTOP (Rare Eta Decays To Observe new Physics) is a proposed low-energy, high-intensity meson factory designed to explore rare $\eta$/$\eta'$ meson decays and probe physics beyond the Standard Model. As a next-generation experiment, this requires both accurate simulations and innovative detector technologies. This project contributes to both ICARUS, from a simulation perspective, and REDTOP, from both a simulation and detection perspective, through the event generation of lepton-nucleon interactions and the physical enhancement of the calorimeter technology within the REDTOP detector. We developed an interface between ACHILLES (A CHIcago Land Lepton Event Simulator), a theory-driven lepton-level event generator, and GENIE, a robust event generator framework used for neutrino physics. By incorporating the precise theoretical cross-section calculations of ACHILLES into the experimental realism of GENIE, the interface allows for improved accuracy of neutrino-nucleon simulations, which can be adapted for the proton beam specifications of the REDTOP meson factory as well as for the ICARUS experiment. In parallel, we developed an improved prototype for the ADRIANO2 (A Dual Readout Integrally Active Non-segmented Option) dual-readout calorimeter tiles for the REDTOP detector. To improve the efficiency of the lead-glass tiles trapping Cherenkov light for energy reconstruction and particle identification, we optimized the application of a highly reflective coating. Through viscosity and thickness control, masking, and a custom spray technique, we refined the coating process to reduce surface defects and improve light yield. Together, these efforts strengthen the ICARUS neutrino program and REDTOP's capability of detecting rare decay events.

Visser, Erin [Michigan State U.]↗

DOE OSTI2025

Enhancing ICARUS and REDTOP Software and Hardware: Event Generator Interface Development and Calorimeter Tile Prototype

Visser, Erin [Michigan State U.] (ORCID:0009000184↗

NASA NTRS2004

Enhanced Software for Scheduling Space-Shuttle Processing

The Ground Processing Scheduling System (GPSS) computer program is used to develop streamlined schedules for the inspection, repair, and refurbishment of space shuttles at Kennedy Space Center. A scheduling computer program is needed because space-shuttle processing is complex and it is frequently necessary to modify schedules to accommodate unanticipated events, unavailability of specialized personnel, unexpected delays, and the need to repair newly discovered defects. GPSS implements constraint-based scheduling algorithms and provides an interactive scheduling software environment. In response to inputs, GPSS can respond with schedules that are optimized in the sense that they contain minimal violations of constraints while supporting the most effective and efficient utilization of space-shuttle ground processing resources. The present version of GPSS is a product of re-engineering of a prototype version. While the prototype version proved to be valuable and versatile as a scheduling software tool during the first five years, it was characterized by design and algorithmic deficiencies that affected schedule revisions, query capability, task movement, report capability, and overall interface complexity. In addition, the lack of documentation gave rise to difficulties in maintenance and limited both enhanceability and portability. The goal of the GPSS re-engineering project was to upgrade the prototype into a flexible system that supports multiple- flow, multiple-site scheduling and that retains the strengths of the prototype while incorporating improvements in maintainability, enhanceability, and portability.

Barretta, Joseph A.↗

DOE OSTI2025

Applications of Nickelate perovskites for neuromorphic computing from electronic structure and Machine Learning

While the limit of Moore's law is presently being reached with current microelectronic technologies, we need to develop new paradigms that overcome this limitation. In that respect, neuromorphic computing is a concept that emulates the neural behavior and response of the human brain, and it has been recognized as a promising alternative approach. In this research project, we will perform multi-fidelity scale bridging to explore the potential use of materials with metal to insulator transition for neuromorphic applications. In particular, rare earth nickelates are promising for such purposes, as the transition in these materials is quite sensitive to a broad set of different external stimuli. Our multi-fidelity approach will bridge the high-fidelity electronic structure calculations with classical potentials. We will bridge dynamical mean field theory with a classical atomistic representation via a deep learning force field. The neural network is trained with energies, charges, and forces obtained by accurate electronic structure theories based on Dynamical Mean Field Theory. The configurational space is generated from known crystal phases, ab initio molecular dynamics with exchange-correlation functionals corrected with the Hubbard model, disordered phases with different concentrations of oxygen vacancies, and nonsymmetrical positions and induced strain by grain interfaces or contact with a substrate. Strategies to train the model with a reduced number of training examples are obtained from active learning methods, and new structures for improving the learning process are generated by using machine learning autoencoders. This classical potential will be validated through a diversity of electronic structure methods and represents an important step to combine the flexibility and accuracy of first-principles with the speed of classical potentials. The generated multi-fidelity surrogate model will be used to understand the role of strain, oxygen vacancies, proton doping, the variation of the crystal phase, substrate effects, vibrational effects as the octahedral rotation, grain boundaries and defect effects on the response of a Metal to Insulator Transition (MIT) in correlated materials. Long time and large-scale simulations will help understand the role of different stimuli to control the hysteresis of the MIT, as it has been experimentally suggested. Selected configurations will be analyzed with higher-level theories to provide an accurate electronic description and to study how the orbitals and charges are rearranged under different conditions.

36 MATERIALS SCIENCE↗

NASA NTRS2003

Influence of Solutocapillary Convection on Macrovoid Defect Formation in Polymeric Membranes

The focus of this research project involved the dry-cast process for polymeric membrane formation, whereby evaporation of solvent from an initially homogeneous polymer/solvent/ nonsolvent solution results in phase separation and the formation of polymer-rich and polymer-lean phases. Under certain conditions the polymer-lean phase gives rise to very large and usually undesirable, tear-drop-shaped pores (size approx. 10 - 50 microns) termed macrovoids (MVs). Although in many cases the presence of MV pores has deleterious effects on membrane performance, there are a number of innovative applications where the presence of such pores is highly desirable. Although researchers have proposed a variety of mechanisms for MV formation over the past three decades, two main hypotheses are currently favored: one asserts that MV growth can be attributed solely to diffusion (the diffusive growth hypothesis), whereas the other states that solutocapillary convection (the SC hypothesis) at the MV interface contributes to growth. The overall goal of this research was to obtain a more comprehensive understanding of the fundamental mechanism of MV growth. This research incorporates a coupled modeling and experimental approach to test a solutocapillary convection hypothesis for the growth of macrovoid pores in polymeric membranes. Specifically, we utilized a modification of the first principles model developed by two of the PIs (ARG and WBK) for dry-cast CA membranes. For the experimental component, two separate and mutually complementary approaches were used to study MV growth. In the first, membranes cast in a zero-g environment aboard the NASA KC-135 aircraft were compared with those cast on the ground to assess the effect of the buoyancy force on membrane morphology and MV size and shape. In the second approach, videomicroscopy flow visualization (VMFV) was utilized to observe MV formation and growth in real time and to assess the effect of surface tension on the MV growth dynamics. As a result of these fundamental studies, our research group advanced a new hypothesis for MV pore development in polymeric membranes.

Greenberg, Alan R.↗

DOE OSTI2021

Code interoperability extends the scope of quantum simulations

The functionality of many materials is critically dependent on the integration of dissimilar components and on the interfaces that arise between them. The description of such heterogeneous components requires the development and deployment of first principles methods, coupled to appropriate dynamical descriptions of matter and advanced sampling techniques, in order to capture all the relevant length and time scales of importance to the materials’ performance. It is thus essential to build simple, streamlined computational schemes for the prediction and design of multiple properties of broad classes of materials, by developing interoperable codes which can be efficiently coupled to each other to perform complex tasks. We discuss the use of interoperable codes to simulate the structural and spectroscopic characterization of materials, including chemical reactions for catalysis, the description of defects for quantum information science, and heat and charge transport.

36 MATERIALS SCIENCE↗

DOE OSTI2021

Analytical modeling of the evolution of the nonlinearity parameter of sensitized stainless steel

Austenitic stainless steels are subject to the precipitation of chromium carbides (M 23 C 6 ) during exposure to high temperatures, causing these alloys to be susceptible to intergranular corrosion due to chromium depletion along grain boundaries. The acoustic nonlinearity parameter, β, shows sensitivity to the formation of carbides in these alloys. The Thermo-Calc TC-PRISMA module was used to model the nucleation and growth of grain boundary M 23 C 6 carbides. The model was verified with scanning transmission electron microscopy analysis that allowed measurements of the grain boundary precipitates. The paper introduces a reduced-order model of the acoustic nonlinearity based on the formation of misfit dislocations at the interface of the grain boundary precipitate and matrix to explain the change in β during isothermal aging. Furthermore, a direct relationship between the radius of the M 23 C 6 grain boundary carbides and β was observed and verified with nonlinear ultrasound measurements on 304L and 316L stainless steels.

36 MATERIALS SCIENCE↗

NASA NTRSDate not supplied

Detached Melt and Vapor Growth of InI in SUBSA hardware

Indium iodide (InI) single crystals, grown by the Bridgman process, have shown a significant promise as room temperature detector material for X-rays and γ-rays due to the large, close to ideal, bandgap of Eg = 2 eV, and high electrical resistivity. Yet the transport properties of the charge and the detector performance remain inadequate. The Bridgman growth of semiconductor crystals in microgravity have typically resulted in partial dewetting and Marangoni convection, which disturbed the diffusion-controlled growth and produced nonuniform dopant distribution. However, unconfined or partially confined solidification drastically reduced the number of stress-induced defects compared to the confined growth in crucibles on Earth.The goal of the present investigation was to explore melt growth of a heavy metal halide in microgravity, focusing on dewetting, in order to improve the crystalline perfection, i.e., to reduce the number of stress-related defects. InI was chosen because it is non-toxic and has a low melting point of only 365 C (~150 C below the melting point of InSb, used in the SUBSA experiments in 2002). Furthermore, InI melts and evaporates congruently, making it suitable for both growth by directional solidification and growth from the vapor phase. In preparation for the flight experiments, ground-based experiments were conducted in the SUBSA ground unit, consisting of 4 melt growth and 2 vapor growth experiments. The crystals were grown by a gradient freeze method by lowering the setpoint of the furnace. The transparent section of the SUBSA furnace did not allow observations of the solid-liquid interface. Contrary to our expectations, the possible occurrence of dewetting during growth could not be observed. We will present i) the ampoule design and preparation, ii) the experiments conducted in the SUBSA ground unit, iii) the images obtained during the microgravity experiments and iv) the results of the characterization of the grown crystals and detector fabrication.

Crystal Growth↗

DOE OSTI2021

Mechanisms for long carrier lifetime in Cd(Se)Te double heterostructures

II–VI semiconductors are used in numerous electro-optical applications. For example, CdTe-based solar technology is cost competitive with other electricity generation sources, yet there is still significant room to improve. Carrier lifetime has historically been well below the radiative recombination limit. Lifetimes reaching beyond 100 ns can significantly enhance performance and enable novel device structures. Here, double heterostructures (DHs) with passivated interfaces demonstrate lifetimes exceeding 1 µs, yet this appears only for CdSeTe and not for CdTe DHs. We compare the passivation mechanisms in CdTe and CdSeTe DHs. CdSeTe lifetimes on the order of 1 µs correspond to a combination of superior intragrain lifetime, extremely low grain boundary recombination and greater Te4+ interfacial presence compared to CdTe.

36 MATERIALS SCIENCE↗

DOE OSTI2021

Dissimilar joining of ZEK100 and AA6022 for automotive application

Mg and Al joining is problematic due to different high temperature flow characteristics that often results in weld defects and brittle intermetallic compounds (IMC). We present process development on lap joining of 1.27 mm 6022 (top sheet) and 1.5mm ZEK100 (bottom sheet) for an automotive door application. We conducted process development in linear welding using power control mode (modulating torque and spindle speed) with multiple tool designs, and welding parameters. Process variables were correlated to joint micro-structure and mechanical properties. A 2D computational model was created to understand the failure mechanism and contribution of mechanical interlocking towards joint strength. For a thin (< 2 mm) automotive sheet with softer material as a bottom sheet, adequate control of process variables is critical to maintain weld stability and avoid excessive IMC layer at the interface. A combination of mechanical anchoring and metallurgical reaction is likely responsible for bonding.

Das, Hrishikesh↗

DOE OSTI2020

Effect of Solute Elements on Boron Segregation in Boron-Containing Steels

The addition of boron to steel alloys results in an increase in both hardenability and casting defects. The casting difficulties are predicted to stem from a metatectic reaction, δ + γ → L + γ, where a fully solidified material begins to locally remelt as the temperature decreases. Another possible source of casting defects is a boride-rich phase that is predicted to remain liquid at low temperatures. To experimentally determine which reaction is the likely source of the casting defects, the predicted reactions and the effect of solute elements on those reactions are investigated. Levitation zone melting is used to control segregation in a ternary Fe–C–B alloy and a commercial 22MnB5 alloy. Carbon segregation and a peritectic reaction result in a peritectic jump during directional solidification where the first directionally solidified (DS) zone undergoes δ-bcc solidification followed by a peritectic jump to steady state planar solidification of γ-fcc in the second DS zone. The presence of other solute elements in the zone melted 22MnB5 alloy lead to a breakdown in the planar solidification front before steady state solidification could be achieved in the second DS zone. With a cellular solid/liquid interface, boron-rich intercellular liquid formed low melting iron boro-carbide particles. The controlled solidification conditions in a levitation zone melter were unable to prevent ~0.003 wt% boron from segregating to high enough levels to form boride particles. Therefore, it is likely that during commercial casting, the formation of the low melting boride phase from interdendritic segregation is a key source of the casting issues.

36 MATERIALS SCIENCE↗

NASA NTRS1996

Epitaxial Growth of beta-Silicon Carbide (SiC) on a Compliant Substrate via Chemical Vapor Deposition (CVD)

Many lattice defects have been attributed to the lattice mismatch and the difference in the thermal coefficient of expansion between SiC and silicon (Si). Stacking faults, twins and antiphase boundaries are some of the lattice defects found in these SiC films. These defects may be a partial cause of the disappointing performance reported for the prototype devices fabricated from beta-SiC films. The objective of this research is to relieve some of the thermal stress due to lattice mismatch when SiC is epitaxially grown on Si. The compliant substrate is a silicon membrane 2-4 microns thick. The CVD process includes the buffer layer which is grown at 1360 C followed by a very thin epitaxial growth of SiC. Then the temperature is raised to 1500 C for the subsequent growth of SiC. Since silicon melts at 1415 C, the SiC will be grown on molten Silicon which is absorbed by a porous graphite susceptor eliminating the SiC/Si interface. We suspect that this buffer layer will yield less stressed material to help in the epitaxial growth of SiC.

Mitchell, Sharanda L.↗

DOE OSTI2020

Effect of indium alloying on the charge carrier dynamics of thick-shell InP/ZnSe quantum dots

In this work, thick-shell InP/ZnSe III–V/II–VI quantum dots (QDs) were synthesized with two distinct interfaces between the InP core and ZnSe shell: alloy and core/shell. Despite sharing similar optical properties in the spectral domain, these two QD systems have differing amounts of indium incorporation in the shell as determined by high-resolution energy-dispersive x-ray spectroscopy scanning transmission electron microscopy. Ultrafast fluorescence upconversion spectroscopy was used to probe the charge carrier dynamics of these two systems and shows substantial charge carrier trapping in both systems that prevents radiative recombination and reduces the photoluminescence quantum yield. The alloy and core/shell QDs show slight differences in the extent of charge carrier localization with more extensive trapping observed in the alloy nanocrystals. Despite the ability to grow a thick shell, structural defects caused by III–V/II–VI charge carrier imbalances still need to be mitigated to further improve InP QDs.

37 INORGANIC, ORGANIC, PHYSICAL, AND ANALYTICAL CH↗

DOE OSTI2020

Hydropower Geotechnical Foundations: Current Practice and Innovation Opportunities for Low-Head Applications

Hydropower is a renewable energy resource that produces electricity from flowing water under pressure. Engineered hydropower structures, such as dams, are used to create a hydraulic head, enabling a turbinegenerator unit to convert pressurized flow into electricity. While hydropower has been a source of renewable energy since antiquity, new development in the United States has slowed in recent decades. Based on recent resource assessments, the largest opportunity to expand hydropower in the United States is from new stream-reach development (i.e., new hydropower development along stream-reaches that do not currently have hydroelectric facilities or other forms of infrastructure, such as dams). Roughly 75% of identified new stream-reach development potential is from low-head sites (less than 30 ft of head), which typically suffer from smaller power densities and higher normalized costs, given economies of scale. Hydropower developers and other stakeholders are thus interested in strategies to reduce initial capital costs while practicing sustainable development to maximize environmental compatibility with minimal disruption to natural aquatic life, sediment, and water flows. Historically, civil works have represented a significant cost driver for new hydropower development, with the foundation system representing a major cost component and source of uncertainty. The foundation system is the collection of engineered structural features (e.g. cutoff trenches, walls, grouting, anchors) constructed at or below the preconstruction ground surface that interfaces between the overlying structures (superstructures) and the bed material below (subsurface). Development of a hydropower foundation system must consider the various characteristics of the surrounding stream environment and subsurface while adhering to the engineering requirements of the superstructure that it supports. The care of water, excavation, and other construction activities are important features of foundation design and construction. The design and construction cost of the foundation system is largely dependent on the site geology and riverbed composition and is influenced by the level of geotechnical assessment required and conducted. Thus, a hydropower facility’s geotechnical foundation is often highly site-specific, with proper site selection and assessment being important to project success. The foundation system is designed to provide structural stability (of the foundation and dam), limit seepage, ensure public safety, and maintain functionality for the project life, during both construction and facility operations. Inadequate foundation or dam design can result in dam failure and the uncontrolled release of significant volumes of water, which could cause a high number of casualties and extensive property damage downstream of the failure. According to the Association of State Dam Safety Officials, approximately 30% of all historical dam failures in the United States are attributed to foundation or abutment defects, and another 20% are attributed to piping or seepage through the embankment, foundation, or abutment. To ameliorate these safety considerations, foundations often require massive amounts of construction material (e.g., grout, concrete, engineered dam fill) and long construction times. Foundation design also requires significant analysis prior to construction because the initial in-stream and abutment subsurface conditions are site-specific, and sufficient data for them often are lacking. Current practice requires on-site assessment, using expensive drilling and invasive and non-invasive investigation methods, to determine the expected cost of foundation material and treatment. Additionally, foundation construction often requires site dewatering (and other care of water activities), which involves constructing temporary diversion structures upstream and often downstream, called cofferdams, and water diversion systems that route water around the construction site. Cofferdams and water diversion systems can drastically increase construction costs and contribute to environmental disruption, including modification of flow patterns and benthic habitats. Given the technical, economic, and environmental challenges associated with hydropower foundations, opportunities exist to improve the current state of practice and to develop new and innovative solutions to Hydropower is a renewable energy resource that produces electricity from flowing water under pressure. Engineered hydropower structures, such as dams, are used to create a hydraulic head, enabling a turbinegenerator unit to convert pressurized flow into electricity. While hydropower has been a source of renewable energy since antiquity, new development in the United States has slowed in recent decades. Based on recent resource assessments, the largest opportunity to expand hydropower in the United States is from new stream-reach development (i.e., new hydropower development along stream-reaches that do not currently have hydroelectric facilities or other forms of infrastructure, such as dams). Roughly 75% of identified new stream-reach development potential is from low-head sites (less than 30 ft of head), which typically suffer from smaller power densities and higher normalized costs, given economies of scale. Hydropower developers and other stakeholders are thus interested in strategies to reduce initial capital costs while practicing sustainable development to maximize environmental compatibility with minimal disruption to natural aquatic life, sediment, and water flows. Historically, civil works have represented a significant cost driver for new hydropower development, with the foundation system representing a major cost component and source of uncertainty. The foundation system is the collection of engineered structural features (e.g. cutoff trenches, walls, grouting, anchors) constructed at or below the preconstruction ground surface that interfaces between the overlying structures (superstructures) and the bed material below (subsurface). Development of a hydropower foundation system must consider the various characteristics of the surrounding stream environment and subsurface while adhering to the engineering requirements of the superstructure that it supports. The care of water, excavation, and other construction activities are important features of foundation design and construction. The design and construction cost of the foundation system is largely dependent on the site geology and riverbed composition and is influenced by the level of geotechnical assessment required and conducted. Thus, a hydropower facility’s geotechnical foundation is often highly site-specific, with proper site selection and assessment being important to project success. The foundation system is designed to provide structural stability (of the foundation and dam), limit seepage, ensure public safety, and maintain functionality for the project life, during both construction and facility operations. Inadequate foundation or dam design can result in dam failure and the uncontrolled release of significant volumes of water, which could cause a high number of casualties and extensive property damage downstream of the failure. According to the Association of State Dam Safety Officials, approximately 30% of all historical dam failures in the United States are attributed to foundation or abutment defects, and another 20% are attributed to piping or seepage through the embankment, foundation, or abutment. To ameliorate these safety considerations, foundations often require massive amounts of construction material (e.g., grout, concrete, engineered dam fill) and long construction times. Foundation design also requires significant analysis prior to construction because the initial in-stream and abutment subsurface conditions are site-specific, and sufficient data for them often are lacking. Current practice requires on-site assessment, using expensive drilling and invasive and non-invasive investigation methods, to determine the expected cost of foundation material and treatment. Additionally, foundation construction often requires site dewatering (and other care of water activities), which involves constructing temporary diversion structures upstream and often downstream, called cofferdams, and water diversion systems that route water around the construction site. Cofferdams and water diversion systems can drastically increase construction costs and contribute to environmental disruption, including modification of flow patterns and benthic habitats. Given the technical, economic, and environmental challenges associated with hydropower foundations, opportunities exist to improve the current state of practice and to develop new and innovative solutions to challenges frequently encountered with traditional approaches. With this understanding, it is critically important to understand and document the current state of practice for hydropower geotechnical foundations, identify key challenges, and define opportunities for innovative solutions. To this end, this report documents the current state of practice across the three main phases of geotechnical foundation development: (1) geotechnical site assessment, (2) design, and (3) construction for hydropower systems. It also describes the major challenges with conventional approaches and identifies opportunities for innovation to reduce hydropower foundations costs, timelines, and risks. Key takeaways from this report include the following: Approximately 80% of available low-head sites are expected to have foundations on soil beds rather than rock beds, suggesting that rockfill and earthfill dams may be the most cost-effective conventional dam type for new projects.; Geotechnical and geologic investigation activities are time-consuming and expensive but are essential to define the parameters and criteria needed for foundation design.; Certain riverbed soil and bedrock types present significant technical challenges or require expensive foundation construction, which can prove financially prohibitive for low-head project development.; Modular hydropower design and prefabricated modular foundations represent a promising but unproven paradigm for new hydropower development. Design and construction approaches using optimized and highly repeatable, reliable components would benefit project cost, time, and risk but require additional research and development.; Temporary construction features for foundations, including cofferdams, water diversion, and water control systems, can prove costly and have inherent construction risk.; For economically viable development, hydropower geotechnical foundations should be limited to 4 to 15% of the project’s total initial capital costs. Many proposed projects have experienced cost overruns attributable to foundation difficulties or surprises during construction. These overruns may have been due to inadequate investigations, lack of adequate engineering effort to tailor the structures to site geology and topography, and/or contractual terms, among other considerations.; Challenges for hydropower foundations and opportunities for innovative technology solutions are identified in the following areas (consistent with the three main phases of foundation development): Geotechnical site assessment, Foundation design and materials, Construction methods and technology. Ultimately, this report aims to provide information about geotechnical foundations for low-head hydropower and to motivate transformative technologies to support hydropower growth.

13 HYDRO ENERGY↗