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All sourcesNASA NTRSDOE OSTI
DOE OSTI2023

Project: Corbomite - Product: ConsoleWorks REACT

TDi Technologies presents ConsoleWorks REACT, an advanced platform designed to tackle the complexities of cyber and operational risk assessment. This comprehensive solution goes beyond asset-focused approaches by considering the impact of both assets and people have on the security and operation of critical infrastructure, specifically targeting preventing gird mis-operation by evaluating real-time human interaction or commands with critical assets. The hypothesis suggests that by integrating the assessment of user commands into the overall risk assessment process, organizations can make more informed decisions, prioritize resources effectively, and respond promptly to potential threats. This hypothesis forms the basis for the development of a proactive and holistic risk management approach that is more comprehensive and context aware than traditional models which only look at assets, patch levels, configuration and threat intel by collecting that information off the network vs directly from the asset, human, and human interaction all in real-time. ConsoleWorks' unique man-in-the-middle architecture is a key feature that sets it apart in the cybersecurity landscape. This architecture enables the real-time observation, enforcement, and commands or interaction risk transparency of user interaction with critical infrastructure to be risk mitigated and audited as they are aggregated with device and human risk factors for a more comprehensive risk threat score across a device or group of devices. This architecture allows ConsoleWorks to act as a secure intermediary between users and critical assets, monitoring all interactions and ensuring that only authorized commands are sent to the asset to be executed. This not only enhances security but also provides a comprehensive audit trail of all user activities, contributing to compliance efforts and facilitating incident investigation and risk management. By integrating this unique architecture with our comprehensive risk assessment methodology, ConsoleWorks REACT provides a powerful solution for managing cyber and operational risks, enabling organizations to maintain a robust security posture and effectively mitigate potential threats. To that end, the primary objective of this project was to research and develop a robust solution that enables the energy industry to mitigate the risks associated with human actions that can compromise the security or operations of assets critical to energy delivery, generation, transmission and operation. ConsoleWorks REACT plays a pivotal role in achieving this goal by leveraging its unique capabilities to monitor and track all user activity. Through its Zero Trust approach, which emphasizes continuous verification, the platform ensures secure access to assets and serves as the centralized human response and notification platform for addressing cyber and operational issues.

97 MATHEMATICS AND COMPUTING↗
NASA NTRS2011

Teleoperated Marsupial Mobile Sensor Platform Pair for Telepresence Insertion Into Challenging Structures

A platform has been developed for two or more vehicles with one or more residing within the other (a marsupial pair). This configuration consists of a large, versatile robot that is carrying a smaller, more specialized autonomous operating robot(s) and/or mobile repeaters for extended transmission. The larger vehicle, which is equipped with a ramp and/or a robotic arm, is used to operate over a more challenging topography than the smaller one(s) that may have a more limited inspection area to traverse. The intended use of this concept is to facilitate the insertion of a small video camera and sensor platform into a difficult entry area. In a terrestrial application, this may be a bus or a subway car with narrow aisles or steep stairs. The first field-tested configuration is a tracked vehicle bearing a rigid ramp of fixed length and width. A smaller six-wheeled vehicle approximately 10 in. (25 cm) wide by 12 in. (30 cm) long resides at the end of the ramp within the larger vehicle. The ramp extends from the larger vehicle and is tipped up into the air. Using video feedback from a camera atop the larger robot, the operator at a remote location can steer the larger vehicle to the bus door. Once positioned at the door, the operator can switch video feedback to a camera at the end of the ramp to facilitate the mating of the end of the ramp to the top landing at the upper terminus of the steps. The ramp can be lowered by remote control until its end is in contact with the top landing. At the same time, the end of the ramp bearing the smaller vehicle is raised to minimize the angle of the slope the smaller vehicle has to climb, and further gives the operator a better view of the entry to the bus from the smaller vehicle. Control is passed over to the smaller vehicle and, using video feedback from the camera, it is driven up the ramp, turned oblique into the bus, and then sent down the aisle for surveillance. The demonstrated vehicle was used to scale the steps leading to the interior of a bus whose landing is 44 in. (.1.1 m) from the road surface. This vehicle can position the end of its ramp to a surface over 50 in. (.1.3 m) above ground level and can drive over rail heights exceeding 6 in. (.15 cm). Thus configured, this vehicle can conceivably deliver the smaller robot to the end platform of New York City subway cars from between the rails. This innovation is scalable to other formulations for size, mobility, and surveillance functions. Conceivably the larger vehicle can be configured to traverse unstable rubble and debris to transport a smaller search and rescue vehicle as close as possible to the scene of a disaster such as a collapsed building. The smaller vehicle, tethered or otherwise, and capable of penetrating and traversing within the confined spaces in the collapsed structure, can transport imaging and other sensors to look for victims or other targets.

Krasowski, Michael J.↗
NASA NTRS2015

Multi-Shock Shield Performance at 15 MJ for Catalogued Debris

While orbital debris of ten centimeters or more are tracked and catalogued, the difficulty of finding and accurately accounting for forces acting on the objects near the ten centimeter threshold results in both uncertainty of their presence and location. These challenges result in difficult decisions for operators balancing potential costly operational approaches with system loss risk. In this paper, the assessment of the feasibility of protecting a spacecraft from this catalogued debris is described using numerical simulations and a test of a multi-shock shield system against a cylindrical projectile impacting normal to the surface with approximately 15 MJ of kinetic energy. The hypervelocity impact test has been conducted at the Arnold Engineering Development Complex (AEDC) with a 598 g projectile at 6.905 km/s on a NASA supplied multi-shock shield. The projectile used is a hollow aluminum and nylon cylinder with an outside diameter of 8.6 cm and length of 10.3 cm. Figure 1 illustrates the multi-shock shield test article, which consisted of five separate bumpers, four of which are fiberglass fabric and one of steel mesh, and two rear walls, each consisting of Kevlar fabric. The overall length of the test article was 2.65 m. The test article was a 5X scaled-up version of a smaller multi-shock shield previously tested using a 1.4 cm diameter aluminum projectile for an inflatable module project. The distances represented by S1 and S1/2 in the figure are 61 cm and 30.5 cm, respectively. Prior to the impact test, hydrodynamic simulations indicated that some enhancement to the standard multi-shock system is needed to address the effects of the cylindrical shape of the projectile. Based on the simulations, a steel mesh bumper has been added to the shield configuration to enhance the fragmentation of the projectile. The AEDC test occurred as planned, and the modified NASA multi-shock shield successfully stopped 598 g projectile using 85.6 kg/m(exp 2). The fifth bumper layer remained in tact, although it was torn free from its support structure and thrown into the first rear wall. The outer Kevlar layer of the first rear wall tore likely from the impact of the fifth bumper's support structure, but the back of the rear wall was intact. No damage occurred to the second rear wall, or to the witness plate behind the target.

Miller, J. E.↗
DOE OSTI2026

UCB-GLOBES: An open-access mass spectral database of identified and unidentified atmospheric organic compounds

Chemical characterization of atmospheric organic aerosols using gas chromatography with 70 eV electron ionization mass spectrometry (GC/EI-MS) has been used for decades in advancing molecular marker detection and identification, though primarily through suspect screening and/or targeted analyses. To advance non-targeted analyses of environmental samples, we have catalogued approximately 27 000 mass spectra (MS) of the trimethylsilyl derivatives of semi-volatile organic aerosol (OA) analytes in the open-access University of California Berkeley Goldstein Library of Organic Biogenic Environmental Spectra (UCB-GLOBES). Analytes were observed in ambient samples from the U.S. and the Central Amazon and/or laboratory simulations of secondary OA (SOA) formation. These samples are representative of OA under urban and biomass burning influences as well as SOA derived from biogenic precursors (e.g., isoprene, monoterpenes, sesquiterpenes) and biomass burning intermediates. MS are documented in UCB-GLOBES without regard to known chemical identity, annotated with extensive metadata such as sample source/experimental conditions, any structural information gained from MS analyses, and predicted chemical properties such as average carbon oxidation state and carbon number. UCB-GLOBES MS are compatible for importing into the NIST MS Search program, and we have also provided a Jupyter Notebook for MS visualization and comparisons. We demonstrate the utility of UCB-GLOBES through MS reanalyses of prior analytes observed in ambient data, finding a 20 % reduction in the number of analytes assigned to OA source categories reliant solely on time series correlation and an overall 11 % increase in new MS-based OA source categorization for the Southeast U.S. For 1513 analytes observed previously in the Central Amazon, we found 375 MS matches using UCB-GLOBES vs. 136 MS matches during prior analyses, representing a 14 % gain in newly confirmed or newly categorized OA species. While OA from laboratory oxidation experiments in UCB-GLOBES are highly diverse chemically, on average only 29 % of UCB-GLOBES MS have a mass spectral match to another MS entry in UCB-GLOBES and/or in databases of known compounds (i.e. NIST MS Database, Adams Essential Oil, MANE Flavor and Fragrance Company). This indicates that roughly 70 % of UCB-GLOBES MS are unique thus far, not observed more than once among the laboratory oxidation samples and ambient data in UCB-GLOBES MS. Further, only 18 % can be positively identified using these databases or known authentic standards. This points to a large gap between these laboratory simulations and ambient OA. Overall, the UCB-GLOBES database can be utilized for improving confidence in OA source categorization and/or identification, novel chemical marker discovery, tracking chemical diversity, de novo structure and properties prediction, and improving MS search and matching algorithms. This can ultimately inform future research priorities for the chemical characterization of atmospheric organic samples.

Mass spectrometry↗
DOE OSTI2023

Evaluation of Minimum Detectable Activities for Stack Sample Analyses

The Rad-NESHAP program takes samples at major point sources to track how much of select nuclides are being emitted out of the stack. Samples are taken at the site where the radiological operations are being performed. The samples are then sent to analytical laboratories for analysis to determine what nuclides exist in the sample. However, due to the sensitivity of the instruments, false positives are often reported. To reduce the number of false positives, the results reported from the analytical labs are compared to set detection limits. Anything below the set detection limit is considered part of the background while anything above the limit is considered a positive hit. Therefore, the detection limit must be set low enough that any false negatives do not result in a significant dose missed at the end of the year but high enough that there are not enough false positives to skew the annual dose being reported. All detection limits listed in this section for the analyses below were designed to meet the stated equivalent emissions rate and subsequent off-site doses. These minimum detectable activities (MDAs) were developed in the 1990s and documented in the memo cited for each analysis below. These limits and memos are all currently referenced in the Quality Assurance Project Plan (QAPP) for the Rad-NESHAP Compliance Task, which is being updated to a Project Implementation Plan (PIP) concurrently with this document. As part of this update process, the original MDAs defined in this section needed to be verified that they were still conservative and meet the off-site dose levels stated.

2019 MDA↗
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.

17 WIND ENERGY↗
DOE OSTI2025

Evaluation of PBR Spent Fuel Criticality and Dose Rate Compliance for Storage and Transportation

Spent tri-structural isotropic (TRISO)–based fuels have a strong track record in storage and transportation without documented incidents. This work seeks to reduce uncertainty to aid in more informed spent fuel management of TRISO-based fuels by modeling both fresh and spent pebble bed reactor (PBR) fuel and comparing the results to the regulatory standards from 10 CFR 71. SCALE was used for all modeling due to it having fast and accurate methods for handling PBR fuel modeling, as well as having an efficient method for shielding calculations in monaco with automated variance reduction using importance calculations (MAVRIC), which utilizes the consistent adjoint-driven importance sampling (CADIS) and the forward-weighted consistent adjoint-driven importance sampling (FW-CADIS) methods. KENO-VI was used for all criticality calculations, TSUNAMI was used for uncertainty quantification on k-effective, TRITON and the Oak Ridge isotope generation code (ORIGEN) were both used for depletion of the fuel, and MAVRIC was used for shielding calculations. For criticality assessments, this study focused on the requirement that the value of the neutron multiplication factor, k-effective (k-eff), would not exceed a peak value of 0.95, including uncertainty, with 95% confidence. Criticality was initially examined by modeling fresh fuel from three different designs—HTR-10 fuel, PBMR-400 fuel, and demonstration fuel representative of a TRISO-fueled modern high-temperature gas reactor (HTGR) design, henceforth referred to as Demo HTGR—and placing them into various sized containers with conditions described in 10 CFR 71 to quantify the peak k-eff state. When the peak value of 0.95 k-eff was exceeded, mitigation methods were examined in those scenarios. Burnup credit, pebble displacement in areas of strong neutron multiplication, and random pebble replacement using pebbles of various compositions and replacement fractions were examined. In summary, the criticality of PBR fuels can be well accounted for by restricting container size, taking credit for burnup, or by displacing/replacing pebbles. Uncertainty of the k-eff due to nuclear data uncertainties was recorded at ~0.6644%Δk/k, or roughly 664% mil (pcm). The nuclear data–induced uncertainty was relatively small and should not require significant modification in the design to be accounted for. Revisions to the evaluated nuclear data file values have been shown to have a larger impact than nuclear data–induced uncertainty. For dose rate aspects, U.S. Nuclear Regulatory Commission regulations require a maximum dose rate of 10 millirem per hour (mrem/h) at 2 meters. In examining the dose rate behavior of spent PBR fuel, the representative Demo HTGR fuel was modeled exclusively due to it possessing the highest target burnup of the examined fuels. Equilibrium cycle modeling methods were used to produce a higher-fidelity discharge isotopic composition than simple assumptions, such as reflected pebbles. The discharge composition was used as a source term in the fixed-source transport shielding calculations, and dose rates were calculated at 2 m for the shortest possible cooling time. The low concentration of fuel material led to dose rates that were in line with regulatory limits, despite the high burnup when compared to traditional light water reactor fuels. In conclusion, the methods employed in this study would require more work to further verify and validate and are limited to the criticality and dose rate analyses performed.

11 - NUCLEAR FUEL CYCLE AND FUEL MATERIALS↗
NASA NTRS2018

Mars Planetary Network for Human Exploration Era – Potential Challenges and Solutions

During 2016-2017, a study was conducted under the sponsorship of the NASA’s Space Communications and Navigation (SCaN) Program to investigate the deep space communications capacity taking into account the needs of all the present and envisioned future missions toward 2030s. It was soon recognized that planning for human exploration to Mars would impose certain unprecedent challenges, both fiscal and technical, to the current space communications paradigm. Targeting the assumed missions concepts, i.e., Crewed Mission to Phobos (CMTP) and Mars Short Stay Mission (MSSM), a Mars Planetary Network for the human exploration era has been formulated. The activity modeling and network traffic simulation/modeling we performed gave some insight into the technical challenges in space communications for the envisioned human Mars exploration era. Chief among the potential challenges are: (1) the high demand on the deep space network (DSN) assets for achieving the high-rate links, both return and forward, from Mars farthest/farther distance (up to 2.67 AU); (2) the need for resilient, persistent communication coverage for crewed vehicles, on surface and in orbits; (3) the significant period of outage for the Mars-Earth link due to superior solar conjunction; (4) the need for on-demand, simultaneous access to the proximity link by multiple vehicles and astronauts in the exploration zone; (5) the capability of determining precise, real-time, positions of surface vehicles and astronauts by the deep space habitat and/or other tele-operations entities. Solution space to each of the above challenges has been explored and analyzed in the context of the individual problem domain and, more importantly, in conjunction with that for the other challenges. This has led to an end-to-end definition of a Mars Planetary Network that would feature: (1) the fusion of deep space Ka-band and optical communications for achieving Mars-Earth high-rate links taking advantage of the optical/RF hybrid 8m/34m antennas in DSN; (2) the integrated application of the Multiple Spacecraft Per Antenna (MSPA) technique, for return link data acquisition, and the Multiple Uplink Per Antenna (MUPA) technique, for forward link data trasnmission, to reduce the number of 34m beam-wave guide (BWG) antennas needed for the era; (3) the integration of three, arrayed, 34m beam-wave guide (BWG) antennas, to provide a high G/T aperture, with the MSPA/MUPA techniques, and a dual “trunk link”approach to cut down the needed G/T -- hence, reducing the number of 34m antennas, relative to that in the single trunk approach by 50%; (4) the deployment of two areostationary/areosynchronous Mars relay orbiters; one of them could also function as (or be served by) a notional Deep Space Habitat (DSH); (5) the opportunistic deployment of a science orbiter in a Pioneer-6 type orbit, equidistant Mars/Earth, that could also serve as an intermediary relay during the Mars superior solar conjunction perod; (6) the existence of the multi-function Mars proximity link that provides the demand-assigned, multiple access (DAMA) capability; and (7) the provision of tracking observables, by leveraging on the planned Mars orbiting and surface infrastructure, to enable the in-situ navigation for surface and orbiting vehicles. This paper provides the description of the proposed Mars Planetary Network in the human exploration era, the trade-off analysis for the various alternative architectures, and the optimal solutions to the key challenges in defining this end-to-end network.

Cheung, Kar-Ming↗
NASA NTRS2000

Antennas Designed for Advanced Communications for Air Traffic Management (AC/ATM) Project

The goal of the Advanced Communications for Air Traffic Management (AC/ATM) Project at the NASA Glenn Research Center at Lewis Field is to enable a communications infrastructure that provides the capacity, efficiency, and flexibility necessary to realize a mature free-flight environment. The technical thrust of the AC/ATM Project is targeted at the design, development, integration, test, and demonstration of enabling technologies for global broadband aeronautical communications. Since Ku-band facilities and equipment are readily available, one of the near-term demonstrations involves a link through a Kuband communications satellite. Two conformally mounted antennas will support the initial AC/ATM communications links. Both of these are steered electronically through monolithic microwave integrated circuit (MMIC) amplifiers and phase shifters. This link will be asymmetrical with the downlink to the aircraft (mobile vehicle) at a throughput rate of greater than 1.5 megabits per second (Mbps), whereas the throughput rate of the uplink from the aircraft will be greater than 100 kilobits per second (kbps). The data on the downlink can be narrow-band, wide-band, or a combination of both, depending on the requirements of the experiment. The AC/ATM project is purchasing a phased-array Ku-band transmitting antenna for the uplink from the test vehicle. Many Ku-band receiving antennas have been built, and one will be borrowed for a short time to perform the initial experiments at the NASA Glenn Research Center at Lewis Field. The Ku-band transmitting antenna is a 254-element MMIC phased-array antenna being built by Boeing Phantom Works. Each element can radiate 100 mW. The antenna is approximately 43-cm high by 24-cm wide by 3.3-cm thick. It can be steered beyond 60 from broadside. The beamwidth varies from 6 at broadside to 12 degrees at 60 degrees, which is typical of phased-array antennas. When the antenna is steered to 60 degrees, the beamwidth will illuminate approximately five satellites on the orbital arc. Spread spectrum techniques will be employed to keep the power impinging on the adjacent satellites below their noise floor so that no interference results. This antenna is power limited. If the antenna elements (currently 254) are increased by a factor of 4 (1024) or 16 (4096), the gain will increase and the beamwidth will decrease in proportion. For the latter two antenna sizes, the power must be "backed off" to prevent interference with the neighboring satellites. The receiving antenna, which is approximately 90-cm high, 60-cm wide, and 3.5-cm thick, is composed of 1500 phased-array elements. The system phased-array controller can control both a 1500-element receiving antenna and a 500-element transmitting antenna. For ground testing, this controller will allow manual beam pointing and polarization alignment. For normal operation, the system can be connected to the receiving antenna and the navigation system for real-time autonomous track operation. This will be accomplished by first pointing both antennas at the satellite using information from the aircraft data bus. Then, the system phased-array controller will electronically adjust the antenna pointing of the receiving antenna to find the peak signal. After the peak signal has been found, the beam of the transmitting antenna will be pointed to the same steering angles as the receiving antenna. For initial ground testing without an aircraft, the ARINC 429 data bus (ARINC Inc., Annapolis, Maryland) will be simulated by a gyro system purchased for the follow-on to the Monolithic Microwave Integrated Circuit (MMIC) Arrays for Satellite Communication on the Move (MASCOM) Project. MASCOM utilized the Advanced Communications Technology Satellite (ACTS) with a pair of Ka-band experimental phased-array antennas.

Zakrajsek, Robert J.↗
NASA NTRS1998

Selection and Assessment of Predictions of the Mars Pathfinder Landing Site

The successful landing of the Mars Pathfinder spacecraft on Mars allows the review of the process of selecting the landing site and assessing predictions made for the site based on Viking and Earth-based data. Selection of the landing site for Mars Pathfinder was a two-phase process. The first phase took place from October 1993 to June 1994 and involved: initial identification of engineering constraints, definition of environmental conditions at the site for spacecraft design, and evaluation of the scientific potential of different landing sites. This phase culminated with the first "Mars Pathfinder Landing Site Workshop", held at the Lunar and Planetary Institute in Houston, Texas on April 18-19, 1994, in which suggested approaches and landing sites were solicited from the entire scientific community. A preliminary site was selected by the project for design purposes in June 1994. The second phase took place from July 1994 to March 1996 and involved: developing criteria for evaluating site safety using images and remote sensing data, testing of the spacecraft and landing subsystems (with design improvements) to establish quantitative engineering constraints on landing site characteristics, evaluating all potential landing sites on Mars, and certification of the site by the project. This phase included a second open workshop, "Mars Pathfinder Landing Site Workshop II: Characteristics of the Ares Vallis Region and Field Trips in the Channeled Scabland, Washington" held in Spokane and Moses Lake September 24-30, 1995 and formal acceptance of the site by NASA Headquarters. Engineering constraints on Pathfinder landing sites were developed from the initial design of the spacecraft and the entry, descent and landing scenario. The site must be within 5 degrees of the subsolar latitude at the time of landing (15N for maximum solar power and flexible communications with Earth. It also must be below 0 km elevation to enable enough time for the parachute to bring the lander to the proper terminal velocity for landing. The entire landing ellipse, which is 70 km by 200 km due to navigational, ephemeris and atmospheric uncertainties, must be free of steep slopes, scarps and obvious hazards in Viking orbiter images, have acceptable radar reflectivity, moderate rock abundances and have little or no dust. Scientific considerations of the Mars Pathfinder payload and mission indicate that analyses of "grab bag" samples at the mouths of outflow channels can offer a first order assessment of a variety of rock types on Mars. Highland sites offer the advantage of in situ analysis of ancient rocks on Mars that record crustal differentiation and the nature of the early environment. Dark gray sites offer the potential of analyzing unweathered and unoxidized materials. Following a general assessment of the safety of different sites, a preliminary selection of a "grab bag" site was made. This site, Ares Vallis, is near the mouth of an outflow channel that may contain ancient Noachian terrain, Hesperian ridged plains, and reworked channel materials. All potential landing sites on Mars that met basic safety criteria were analyzed in detail. Sites (100 by 200 km target ellipses) were considered safe if they were below 0 km elevation, were free of obvious hazards (high relief surface features) in high-resolution (< 50 m/pixel) Viking orbiter images and had acceptable reflectivity and roughness at radar wavelengths, high thermal inertia, moderate rock abundance, low red to violet ratio, and low albedo. Only 4 sites on Mars met all the above criteria, which included 1995 opposition 3.5 cm delay-Doppler radar data. Complete data were evaluated for 7 sites and the Viking landing sites for comparison for all the above criteria as well as crater abundance, hill and mesa abundance, slopes over meter to kilometer scales, low altitude winds (from global circulation models and slopes), the size-frequency distribution of large rocks, as well as rover trafficability and science potential. Discussion of potential hazards at Ares Vallis using a variety of data sets (including radar) at a second open workshop, indicated this site cannot be shown to be any more hazardous than the Viking landing sites. Field trips to the Channeled Scabland and the Ephrata Fan, analogs for Ares Vallis and the landing site, respectively, provided valuable insight into possible geologic processes and potential surface characteristics. Three sites met all the data requirements and safety criteria for landing Pathfinder. Ares Vallis was selected by the project because it appeared acceptably safe (although it appeared to have greater rock abundances than other sites, its elevation was likely the best known) and offered the prospect of analyzing a variety of rock types expected to be deposited by catastrophic floods, which would enable addressing first-order scientific questions such as differentiation of the crust, the development of weathering products, and the nature of the early martian environment and its subsequent evolution. The selection was reviewed by an external board at a number of meetings and accepted, and the site was approved by NASA Headquarters. Data gathered by the Pathfinder lander' and rover provides the opportunity to test the predictions made for the site in the selection process based on remote observations from Earth, orbit, and the surface. The discussion below is taken from Golombek et al. to which the reader is referred for a more complete discussion and a complete list of references, which are omitted here for brevity. Many characteristics of the landing site are consistent with its being shaped and deposited by the Ares and Tiu catastrophic floods. The rocky surface is consistent a depositional plain comprising semi-rounded pebbles, cobbles and tabular boulders (some of which appear imbricated and/or inclined in the direction of flow) that appear similar to depositional plains in terrestrial catastrophic floods. The Twin Peaks appear to be streamlined hills in lander images, which is consistent with interpretations of larger hills in Viking orbiter images of the region that suggest the lander is on the flank of a broad, gentle ridge trending northeast from Twin Peaks. This ridge, which is the rise to the north of the lander, is aligned in the downstream direction from the Ares and Tiu Valles floods, and may be a debris tail deposited in the wake of the Twin Peaks. Channels visible throughout the scene may be a result of late stage drainage. As predicted by delay-Doppler radar measurements and tracking results, the average elevation of the center of the site was about the same as Viking Lander I relative to the 6.1 mbar geoid. The Doppler tracking and two-way ranging estimate for the elevation of the spacecraft is only 45 in lower than the Viking I Lander and within 100 in of that expected, which is within the uncertainties of the measurements. After landing, surface pressures and winds (5-10 m/s) were found to be similar to expectations based on Viking data, although temperatures were about 10 K warmer. The temperature profile below 50 km was also roughly 20 K warmer. As a result, predicted densities were 5% higher near the surface and up to 40% lower at 50 km but within the entry, descent and landing design margins. The populations of craters and small hills and the slopes of the hills measured in high-resolution (38 m/pixel) Viking orbiter images and the radar derived slopes of the landing site are all consistent with observations of these properties in the lander images. A rocky surface was expected from Viking Infra-Red Thermal Mapper (IRTM) observations and comparisons with the Viking landing sites. The observed cumulative fraction of area covered by rocks with diameters greater than 3 cm and heights greater than 0.5 in (potentially hazardous to landing) at Ares is similar to that predicted by IRTM observations and models of Viking lander and Earth analog rock size-frequency distributions. The IRTM prediction postulated an effective thermal inertia of 30 (10(exp -3) cgs units - cal/cubic cm/s(exp 0.5)/K) for the rock population, but we obtain a slightly different effective thermal inertia for the actual rock population. The validity of interpretations of radar echoes prior to landing are supported by a simple radar echo model, an estimate of the reflectivity of the soil from its bulk density, and the fraction of area covered by rocks. In the calculations, the soil produces the quasi-specular echo and the rocks produce the diffuse echo. The derived quasispecular cross section is comparable to the cross-sections and reflectivities reported for 3.5-cm wavelength observations. The model yields a diffuse echo that is modestly larger than the polarized diffuse echo reported for 3.5-cm wavelength observations. At 12.5-cm wavelength, similar rock populations at Ares and the Viking I site were expected because the diffuse echoes are comparable, but the large normal reflectivities suggests that bulk densities of the soils at depth are greater than those at the surface. We also obtain a fine-component inertia near 8.4 which agrees with the fine-component inertia of 8.7 (in 10(exp -3) cgs units) estimated from thermal observations from orbit by the IRTM; for this estimate, we used a bulk thermal inertia of 10.4 for the landing site, an effective thermal inertia near 40 (10(exp -3) cgs units) for the rock population, and a graphical representation of Kieffer's model. Color and albedo data for Ares suggested surfaces of materials at Ares Vallis would be relatively dust free or unweathered prior to landing compared with the materials at the Viking landing sites. This suggestion is supported by the abundance of relatively dark-gray rocks at Ares and their relative rarity at the Viking landing sites, where rocks are commonly coated with bright red dust. Finally, the 40 km long Ephrata Fan of the Channeled Scabland in Washington state, which was deposited where c

Golombek, M. P.↗
NASA NTRS2011

Methodology and Results of the Near-Earth Object (NEO) Human Space Flight (HSF) Accessible Targets Study (NHATS)

Near-Earth Asteroids (NEAs) have been identified by the current administration as potential destinations for human explorers during the mid-2020s. While the close proximity of these objects' orbits to Earth's orbit creates a risk of highly damaging or catastrophic impacts, it also makes some of these objects particularly accessible to spacecraft departing Earth, and this presents unique opportunities for solar system science and humanity's first ventures beyond cislunar space. Planning such ambitious missions first requires the selection of potentially accessible targets from the growing population of nearly 7,800 NEAs. To accomplish this, NASA is conducting the Near-Earth Object (NEO) Human Space Flight (HSF) Accessible Targets Study (NHATS). Phase I of the NHATS was executed during September of 2010, and Phase II was completed by early March of 2011. The study is ongoing because previously undetected NEAs are being discovered constantly, which has motivated an effort to automate the analysis algorithms in order to provide continuous monitoring of NEA accessibility. The NHATS analysis process consists of a trajectory filter and a minimum maximum estimated size criterion. The trajectory filter employs the method of embedded trajectory grids to compute all possible ballistic round-trip mission trajectories to every NEA in the Jet Propulsion Laboratory (JPL) Small-Body Database (SBDB) and stores all solutions that satisfy the trajectory filter criteria. An NEA must offer at least one qualifying trajectory solution to pass the trajectory filter. The Phase II NHATS filter criteria were purposely chosen to be highly inclusive, requiring Earth departure date between January 1st, 2015 and December 31st, 2040, total round-trip flight time <= 450 days, stay time at the NEA >= 8 days, Earth departure C(sub 3) energy <= 60 km(exp 2)/s(exp 2), total mission delta-v <= 12 km/s (including an Earth departure maneuver from a 400 km altitude circular parking orbit), and a maximum atmospheric re-entry speed of 12 km/s. After determining which NEAs offer at least one trajectory solution meeting the criteria, the estimated size constraint is then imposed whereby those NEAs may only be considered NHATS- qualifying NEAs if their maximum estimated size is >= 30 m. This corresponds to an absolute magnitude H <= 26.5 with an assumed albedo p = 0:05. The following is a brief high-level summary of the Phase II study results. Of the 7,665 NEAs in the SBDB as of February 3rd, 2011, 765 NEAs passed the trajectory filter and yielded a total of 79,157,604 trajectory solutions. The trajectory solutions for each NEA are post-processed into Pork Chop Contour (PCC) plots which show total mission delta-v as a function of Earth departure date and total mission duration. Although the PCC plots necessarily compress a very multi-dimensional design space into a two-dimensional plot, they permit rapid assessment of the breadth and quality of an NEA's available Earth departure season and clearly indicate the regions of the trajectory design space which warrant further analysis and optimization. The PCC plot for the NEA with the greatest number of NHATS-qualifying trajectory solutions, 2000 SG-344, is shown. Of the 765 NEAs which passed the Phase II trajectory filter, a total of 590 NEAs also satisfied the further constraint of maximum estimated size >= 30 m. The distributions of osculating heliocentric orbital semi-major axis (a), eccentricity (e), and inclination (i), for those 590 NEAs are shown. Note that the semi-latus rectum used is equal to alpha (1-e(exp 2)). To further our understanding of round-trip trajectory accessibility dynamics, it is instructive to examine the distribution of the NHATS-Qualifying NEAs according to orbit classification. NEAs are grouped into four orbit families: Atiras (aphelion < 0.983 AU), Atens (aphelion > 0.983 AU, alpha < 1.0 AU), Apollos (perihelion < 1.017 AU, alpha > 1.0 AU), and Amors (1.017 < perihelion < 1.3 AU). Of the 765 NEAhich satisfied the NHATS trajectory criteria, none are Atiras, 193 are Atens (31% of known Atens), 456 are Apollos (11% of known Apollos), and 116 are Amors (4% of known Amors). While Apollos comprise 60% of the NEAs which pass the NHATS trajectory filter and Atens comprise only 25%, the percentages according to orbit family are perhaps more relevant. Note that only 11% of known Apollos passed the trajectory filter while 31% of known Atens passed. These simple statistics alone strongly suggest that Aten orbits possess features which tend to enhance their round-trip trajectory accessibility as compared to Apollos or Amors. This is significant because Atens' orbits cause them to spend considerable time in Earth's daytime sky, making them difficult to discover and track using ground-based observing assets. In this paper we will detail the NHATS analysis algorithms, present and analyze all NHATS results to date, and discuss aspects of HSF mission architecture design for future NEA missions.

Barbee, Brent↗
DOE OSTI2023

Laboratory-Scale Coal-Derived Graphene Process (Final Report)

The Energy & Environmental Research Center (EERC) conducted a laboratory-scale coal-derived graphene (CDG) project focused on developing a technological process for making graphene from four U.S. domestic coal or coal wastes, including lignite from North Dakota, subbituminous coal from Wyoming, bituminous coal from Utah, and anthracite from Pennsylvania. The project was divided into two performance or budget periods (BPs), with BP1 comprising the up-front laboratory experiments to make graphene materials from coal beginning on May 1, 2020, to April 30, 2022. BP2 was conducted from May 1, 2022, to April 30, 2023, and was focused on analyzing the CDG process economic feasibility and the technical gaps for technological scale-up and commercialization. During this project, a few different coal-derived high-value products have been demonstrated, including graphite, graphene oxide (GO), reduced graphene oxide (rGO), and graphene quantum dots (GQDs). A new graphite microstructure was discovered and named “croissant graphite” because of the exterior morphological and textural resemblance to croissant food items sold in commercial groceries stores. The new graphite structure and the associated preparation from coal or coal waste feedstocks has been the subject of a U.S. patent application. The systematic experimental processes involving coal cleaning, upgrading, and conversion to high-value carbon products culminated into a developed upgraded coal-to-products (UCP) technology that is being pursued for potential fast-track commercialization, if funding is available. It is envisioned that commercialization of the UCP technology would increase consumption of U.S. domestic coals or coal wastes to make environmentally sustainable high-value products for the electronics industry, high-energy-storage applications, and clean energy technologies such as electric vehicle (EV) lithium-ion batteries (LIBs), for which graphite has become a critical mineral commodity. Croissant graphite microstructures, when observed by field emission scanning electron microscopy (FESEM), display wavy surface morphology and often grow from a base that is made of graphitized particles with honeycomb-like layers, which are believed to be graphene layers. While more studies are needed to fully ascertain the mechanisms of the croissant graphite microstructure formation, it is postulated that their growth may begin from curling of the graphene sheets into ribbon-like structures, and continuous growth and densification of the ribbon-like structures forms croissant microstructures. Additional studies are ongoing to evaluate the electrochemical performance of croissant graphite for LIB applications and to determine the experimental conditions necessary to tune on/off croissant formation so that it can be either optimized or suppressed depending on performance evaluation results. In addition to the discovery of croissant graphite, the graphitization process from the four coal ranks in general was successful. X-ray diffraction (XRD) analysis showed that the degree of graphitization (DoG) ranged from 12% to 80% in an early sample set, and further optimization on lignite coal produces a DoG of about 92%, which was spectacular to see as lignite is the lowest-rank coal. Thus, it is expected that the graphitization performance for higher-rank coals will be similar or better when optimized as well. The coal-derived graphite was used to make GO and rGO. Analytical characterization, e.g., by methods such as Raman spectroscopy, XRD, Fourier transform infrared (FTIR) spectroscopy and FESEM, showed that the sequence of converting the coal to graphite, exfoliating it to GO, and then chemically reducing the GO to rGO was successful. Although coal naturally contains aromatic compounds and some relatively small-sized condensed aromatic units, it does not contain graphene sheets. In the UCP process, the aromatic domains in the coals, particularly low-rank coals, are concentrated and condensed further into graphene sheets, which are ordered into a 3D stack during graphitization. The synthesized graphite is then unpacked by methods such as exfoliation to various graphene products. GQDs were synthesized from all four coal types, and their optical properties were demonstrated to be tunable by the coal precursor preprocessing treatments. In all four coal types, enhanced optical properties were observed for the produced GDQs with incremental improvements made to the coal precursors. GQDs produced from raw coal samples displayed lower ultraviolet–visible (UV–Vis) spectroscopy absorbance intensity compared to those obtained from cleaned and upgraded coal residues. The photoluminescence (PL) intensities also varied with pretreatment conditions and with the concentration of GQDs in aqueous solutions. GQDs obtained from anthracite show longer emission wavelengths and can be excited by visible light as opposed to GQDs derived from the other coal ranks. UV fluorescence 3D maps and spectra revealed that the emission wavelength at which the GQDs solutions display the highest intensity was slightly redshifted based on the coal precursor pretreatments. In low-rank coal (lignite and subbituminous) samples, two clusters were observed in the maps for GQDs, which may suggest that there are potentially two types of fluorophores in solution or two main size populations. The ability to tune the properties of GQDs based on processing methods can be exploited to make GQDs for various optical display or optoelectronics applications. The results also highlight the importance of removing coal-borne impurities to improve the quality of the coal precursor for preparation of graphene products. Coal and/or coal wastes preprocessing methods were developed and applied to clean and upgrade the coal precursors prior to graphitization and subsequent conversion to graphene products. The preprocessing methods involve high specific-gravity separations, mineral acid cleaning (no hydrofluoric acid), and subsequent upgrading by reducing the coal-borne heteroatom (nitrogen, sulfur, and oxygen) content using proprietary chemical agents. Analytical characterization revealed that the preprocessing steps were successful, with ash reductions that range from 38% to 80% and residual ash content that was below the 5 wt% initial target. Based on proximate and ultimate analysis, the heteroatom reduction reactions produced upgraded coal residues with the oxygen content reduced by 8% to 24%, with additional reductions in the nitrogen and sulfur contents. An initial assessment of the waste streams from the UCP process shows very small to negligible environmental impact due to CO 2 , NO x , and SO x because most process steps are performed under inert atmosphere with argon. Consequently, reactive oxygen environments that tend to create these species are avoided. The inorganic and potentially hazardous species are released into aqueous waste streams that are easy to handle for proper disposal. The liquid waste streams were found to contain low-level concentrations of rare-earth elements (REEs), which could be concentrated and recovered as value-added by-products. Additionally, the volatile and gaseous fractions from carbonization and heat treatment contain useful organic compounds that can also be recovered as potential valuable by-products. Thus, the UCP technology is considered an environmentally sustainable and promising emerging technology for making high-value products from coal and coal wastes, with potential additional value-added by-products. Analysis of potential markets for the coal-derived carbon products shows a strong demand in both niche market sectors and across a wide variety of other industrial sectors. Graphite is currently considered a critical mineral commodity that has a large and growing demand in the LIB industry for EV applications. Based on data from Fortune Business Insights (2022) and Marketwatch (2023) reports, the average global graphite market is projected to reach about 33 billion by 2028, growing at a compound annual growth rate (CAGR) of about 7%, with much of this growth expected to be in the LIB industry. GO and rGO have strong market potentials in various application areas, such as coatings for anticorrosion, anti-icing, and antimicrobial protection, thermal barriers, wear resistance, sensors, additive manufacturing such as 3D inks, and others. GQDs are the emerging key player in the bioimaging, photovoltaics, and light-emitting diodes (LEDs) applications, with the potential to replace traditional semiconductor quantum dots (SQDs), which are based on metallic systems that are more toxic and more expensive. Biomedical applications of GQDs are becoming more attractive because of low to no toxicity and extremely low cost compared to SQDs. The major challenges for scale-up and commercialization of coal-derived carbon products such as graphene vary from the inherent attributes of graphene itself to reluctance to accept graphene in new manufacturing processes because of the uncertainty of the unknown. The 2D nature of graphene materials with a thickness of one atom presents significant challenges to proper handling/processing, and process scale-up becomes difficult because it requires high-end, expensive equipment, even for routine handling and analysis for quality assurance and control. Pristine graphene can also be extremely difficult to work into other matrices, thus hindering downstream processibility, especially at large scale. Currently, the cost of graphene and graphene products is still high and presents an economic risk that tends to slow down investment in scaling up emerging technologies. The lack of a standard for graphene materials for quality assurance and quality control poses a great challenge not only for the markets but also for commercialization efforts. A first-look economic feasibility analysis of the UCP technology provided valuable information that suggests the UCP process would be feasible, especially when it is scaled to a pilot scale and could be more competitive at the full scale. Graphitization was found to be the most energy-consuming and most capital-intensive step in the overall process. In small laboratory- and bench-scale experiments, labor is a significant contributor to the total process costs. Although these energy, capital, and labor constraints contribute to a higher selling price for the product, a preliminary economic model suggests that the process would be feasible at large scale when the process is fully integrated, optimized, and automated.

01 COAL, LIGNITE, AND PEAT↗
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↗