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All sourcesNASA NTRSDOE OSTI
DOE OSTI2025

Latest Results from the ICARUS Experiment at the SBN Program

The ICARUS Collaboration is now entering its fifth year of continuing operations of the 760-ton liquid argon T600 detector. The T600 was overhauled at CERN after operations at the LNGS underground laboratory in Italy and moved to its present location at FNAL - as part of the Short-Baseline Neutrino (SBN) program - where it successfully completed its commissioning phase in June 2022. At FNAL ICARUS collects neutrino interactions from both the Booster Neutrino Beam (BNB) and off-axis from the Main Injector Neutrino beam (NuMI). To date, ICARUS has accumulated approximately $7.5\cdot 10^20$ protons on target (POT) with the BNB and about $6.2\cdot 10^20$ POT with NuMI. Within the SBN program ICARUS will search for evidence of short-baseline oscillations, potentially explained by eV-scale sterile neutrinos, jointly with the Short-Baseline Near Detector (SBND). In addition, ICARUS is performing stand-along oscillation searches in disappearance mode and measuring neutrino cross sections on argon with both the BNB and NuMI beams. It is also performing searches for additional Beyond the Standard Model signatures. Preliminary results from the ICARUS experiment, using data from the BNB and NuMI neutrino beams, will be presented.

Ricci, Alessandro Maria [U. Pisa (main); INFN, Pis↗
DOE OSTI2025

Modelling detector-specific reconstruction uncertainties in LAr-TPC

The Short-Baseline Neutrino (SBN) program features three Liquid Argon Time Projection Chamber (LAr-TPC) detectors positioned along the Booster Neutrino Beam (BNB) axis: the Short Baseline Neutrino Near Detector, MicroBooNE, and the ICARUS T600. As the largest operational LAr-TPC, ICARUS T600 serves as the far detector, located 600 m from the BNB target. While its primary goal is to record neutrino events, it also detects other ionizing events, including cosmic rays. This work focuses on analyzing and modeling detector-specific reconstruction uncertainties in LAr-TPC. These inefficiencies, identified during the Pattern Recognition phase handled by the PANDORA algorithm, impact subsequent Particle Fits and Offline Analysis. Specifically, inaccuracies in track reconstruction can lead to significant physical consequences, such as erroneous particle energy estimates and poor Particle Identification (PID), reducing the efficiency of neutrino event characterization. A key issue addressed is split tracks, caused by missing hits or incomplete track stitching by PANDORA. The aim of this internship is to characterize, model, and quantify the impact of split tracks on track reconstruction.

43 PARTICLE ACCELERATORS↗
DOE OSTI2024

Evaluating the Effects of Detector Modeling Uncertainties on Sterile Neutrino Oscillation Analysis with the ICARUS Detector

he ICARUS T600 LArTPC detector was refurbished after an initial run at the underground LNGS labs and is currently taking data within its experimental hall at Fermilab after full commissioning. Regular data taking began in May 2021 with neutrinos from the Booster Neutrino Beam (BNB) and the Neutrinos at the Main Injector (NuMI) off-axis beam. As the far detector of the Short-Baseline Neutrino (SBN) Program, the ICARUS detector's capability in searching for both muon neutrino disappearance and electron neutrino appearance will allow for unprecedented sensitivity to light sterile neutrinos with eV-scale mass. The ultimate sensitivity of the detector to sterile neutrino oscillations depends on the understanding of the detector response and the uncertainties remaining after calibrating the detector model. This poster will review how detector-model-related uncertainties are quantified, evaluated and their impact on expected sterile neutrino oscillation sensitivities using the existing ICARUS data. The work pursued here is broadly applicable to other ICARUS analysis pathways such as neutrino-argon cross-sections and Beyond the Standard Model physics searches. It will finally discuss improvement pathways to reduce the systematic uncertainties to the level needed for the joint sterile neutrino oscillation analysis with the Short Baseline Near Detector (SBND) within the SBN Program.

43 PARTICLE ACCELERATORS↗
DOE OSTI2025

Comprehensive assessment of deep reinforcement learning approaches for economic dispatch in nuclear-driven microgrids

As the electrical grid integrates more variable renewable energy sources such as wind and solar, the demand for distributed and flexible systems to address this increased variability becomes critical. Nuclear-driven microgrids provide a promising solution by offering stable generation to complement intermittent renewables, ensuring grid reliability and operating efficiency. This paper proposes a recurrent deep reinforcement learning framework for optimal economic dispatch in a nuclear-powered microgrid integrating renewable energy sources, small modular reactors, battery storage systems, and balance-of-plant dynamics. A three-agent control architecture is developed, where demand and renewable energy agents act as forecasters, and a reinforcement learning-based dispatch agent performs real-time energy allocation. A nonlinear programming formulation is first used to generate an optimal baseline for benchmarking. The proposed dispatch controller, based on Proximal Policy Optimization enhanced with Long Short-Term Memory networks, exploits temporal correlations in system dynamics by taking advantage of the time series used as inputs to improve policy robustness under uncertainty. Comparative analysis against established deep reinforcement learning methods, including Proximal Policy Optimization with a feedforward architecture, Soft Actor-Critic, and Twin Delayed Deep Deterministic Policy Gradient, demonstrates superior performance. Numerical results indicate that the proposed controller achieves a 0.39% cost reduction relative to the nonlinear programming benchmark and outperforms other learning-based methods by generating additional revenue of up to 0.35%. All reinforcement learning controllers compute dispatch actions in less than 0.3 s, resulting in a computational speedup of more than three orders of magnitude over the nonlinear programming baseline. The findings of this paper highlight their applicability for real-time operation and control in nuclear-integrated microgrids under volatile operating conditions.

24 POWER TRANSMISSION AND DISTRIBUTION↗
DOE OSTI2018

Graphite Characterization: Baseline Variability Analysis Report

The Idaho National INL’s Baseline Material Property program provides many measurements of different material properties on a variety of nuclear graphite grades being investigated for irradiation-induced changes in material properties. The baseline material properties provide an unirradiated reference for comparison with measurements of those properties after irradiation. This study describes how uncertainty, or variance, in estimates of important material properties, like compressive strength, may depend on sample size, sample distribution and parameter estimation methods. Compressive strength data from two large collections of specimens from a billet of PCEA graphite (sample size = 230) and a billet of IG-110 graphite (sample size = 48) are used to illustrate these dependencies. The grades of graphite used represent approximate end members in terms of relative variability in strength measurements. Monte Carlo simulation and bootstrapping methods were used to examine variance in Weibull-parameter estimates as a function of sample size. Results were consistent with what previous statistical analyses have shown about the relationship between sample size and width of the confidence interval for maximum likelihood (ML) estimated parameters when samples are repeatedly drawn from a Weibull distribution. As a function of sample size, the precision of the modulus estimate increases faster than that of the characteristic strength. The modulus maximum likelihood estimates (MLEs) are biased for low sample sizes. The American Society for Testing and Materials document ASTM D7846-16 provides equations that describe the dependence of the variance of parameter MLEs on sample size. Using the same methodology, we show that the polynomials provided for variance dependence on sample size are inaccurate for sample sizes greater than ~120. We provide approximations to that relationship that illustrate relative constancy for sample size > ~10, in the logspace relationship of the modulus variance and the log transformed characteristic strength variance. Bootstrapping provided a means of comparing Weibull parameters obtained using ASME’s guidance for specimen collection to those obtained using different weighting in a case where strength is related to position in a billet and to grain orientation and a single distribution is used to characterize the billet. ASME specifies that samples be collected with equal representation in all locations and grain orientations. Parameter values obtained using ASME’s method were different from those obtained using random sampling of the complete data sets, and this was particularly true for the PCEA data. In addition, while the ASME approach yielded more conservative parameters for the PCEA data, the opposite was true for the IG-110 data. The difference observed for the PCEA data set likely reflects the larger number of against-grain specimens collected, which had generally higher strength than the with-grain specimens. This emphasizes the importance of the dependence of strength on location or grain orientation and suggests that it may be prudent to weight specimen collection toward the weaker subgroups if a conservative estimate as desired, as the equal weighting method recommended by ASME would will not always provide the most conservative Weibull parameters. Because spatial correlations commonly exist in certain grades of graphite, future work may involve developing a methodology for parameter inference that relaxes the assumption of independent specimens. ASTM and ASME codes recommend different parameter estimation methods and models of the Weibull distribution in different situations. Descriptions of the effects on parameter estimates for the example billets used in this study provide an example of how the method may affect the parameter estimate, and how—in this case—that compares to differences due to other factors, such as sample size and dependence on grain orientation or sample location.

11 NUCLEAR FUEL CYCLE AND FUEL MATERIALS↗
DOE OSTI2026

First results from the search of $ν_μ$ disappearance with ICARUS

his work presents a search for muon neutrino disappearance signal using the ICARUS detector. ICARUS is currently working as the far detector of the Short-Baseline Neutrino (SBN) program. Its main goal is to investigate the possible oscillation of a sterile neutrino state ($\Delta m^2 \sim \text{eV}^2$), that would drive short baseline oscillations at the scale of L/E $\sim$ km/GeV. Neutrino interactions from the Booster Neutrino Beam (BNB) are investigated, looking for simple final state topology with a single muon and at least one proton (1$\mu$Np). This analysis tests the 3+1 model using the two flavor neutrino approximation, where careful consideration has been given to the systematic uncertainties arising from flux, neutrino interaction, and detector models. No statistically significant $\nu_\mu$ disappearance is observed, hence 90\% C.L. exclusion contours are reported in the $\Delta m^2_{41} - \sin^22\theta_{\mu\mu}$ parameter space.

Artero Pons, Maria [INFN, Padua; U. Padua (main)]↗
DOE OSTI2026

SBND Shower Reconstruction with SPINE

The Short-Baseline Near Detector (SBND) is a liquid argon time projection chamber (LArTPC) neutrino detector in the Short-Baseline Neutrino (SBN) program at Fermilab. SBND is designed to investigate the Low-Energy Excess (LEE), an unexplained excess of electron-like events observed by previous short-baseline neutrino experiments that may point to physics beyond the Standard Model. In LArTPC detectors, precise shower reconstruction is essential for distinguishing electrons from photons, a key requirement for testing possible explanations of the LEE and improving $\nu_e$ event selection. In this poster, the reconstruction studies using the Scalable Particle Imaging with Neural Embeddings (SPINE), a machine learning based reconstruction framework for particle imaging detectors will be presented. SPINE combines sparse convolutional neural networks (CNN) and graph neural networks (GNN) to enable detailed reconstruction and characterization of neutrino interactions in LArTPC detectors. Shower calorimetry and kinematic reconstruction are performed in dedicated post-processing stages. Strong agreement between data and Monte Carlo simulation will be demonstrated, indicating high-precision detector calibration and reconstruction performance. The agreement between reconstructed and true electron shower energy will also be discussed, emphasizing the robustness of the shower reconstruction performance. These results demonstrate the unprecedented precision achievable with SPINE in SBND, highlighting their potential for future high-resolution neutrino measurements.

Fan, Castaly [Florida U.; Fermilab] (ORCID:0000000↗
DOE OSTI2019

Sandia National Laboratories Advanced Simulation and Computing (ASC) Appraisal Method for the Implementation of the ASC Software Quality Engineering Practices (V.2.0)

This document provides a guide to the process of conducting software appraisals under the Sandia National Laboratories (SNL) ASC Program. The goal of this document is to describe a common methodology for planning, conducting, and reporting results of software appraisals thereby enabling: 1) Identification of improvements in implementation of the software quality engineering (SQE) practices identified in the ASC Software Quality Plan across the ASC Program against objective baselines. 2) Feedback from project teams on SQE opportunities for improvement. 3) Identification of strengths and opportunities for improvement for individual project teams. 4) Guidance to the ASC Program on the focus of future SQE activities. Document contents include process descriptions, templates to promote consistent conduct of appraisals, and an explanation of the relationship of this procedure to the SNL ASC software program. The activities described by this document are under the oversight of SNL ASC Program Director and SNL ASC Program Manager.

42 ENGINEERING↗
DOE OSTI2024

Charged Current Single Pion Production on SBND

The Short Baseline Neutrino (SBN) program at Fermilab is designed to provide precise measurements of neutrino oscillations using 3 Liquid Argon Time Projection Chambers (LArTPC) built along Fermilab's Booster Neutrino Beam (BNB). The Short Baseline Near Detector (SBND), located at only 110 m from the BNB target, will precisely characterize the neutrino flux before oscillations take place, thanks to its unprecedented neutrino interaction statistics. Due to its proximity to the neutrino production target, the detector expects over a million neutrino interactions annually, which will open the possibility of exploring exclusive channels of neutrino interactions. This poster will show SBND’s capabilities of exploring Muon Neutrino Charged Current Single Pion production, for which previous measurements in Argon were limited by statistics. The poster will introduce the relevance of this process for neutrino Physics, the unique possibilities of SBND and a preliminary event selection using SBND's current reconstruction tools.

43 PARTICLE ACCELERATORS↗
DOE OSTI2026

Machine Learning-Based Anomaly Detection for PMT Data Quality Monitoring in the SBN and DUNE

Maintaining high-quality detector data is essential for achieving the scientific objectives of the Short-Baseline Neutrino (SBN) Program at Fermilab. Current data quality monitoring (DQM) procedures rely primarily on threshold-based metrics and manual inspection of detector monitoring plots, making the detection of subtle or gradually developing anomalies both time-consuming and dependent on expert interpretation. This project developed and evaluated a machine-learning workflow for automatically identifying anomalous photomultiplier tube (PMT) channels in the Short-Baseline Near Detector (SBND) using optical-hit amplitude data. A Python-based analysis program was developed to process ROOT files, extract statistical features describing individual PMT amplitude distributions, and generate feature vectors for anomaly detection. These features were used to train an Isolation Forest model using data representing normal detector operation. The trained model was subsequently applied to independent detector runs to identify channels exhibiting statistically unusual behavior relative to the learned reference response. To support expert interpretation, the workflow generated complementary diagnostic products, including anomaly score distributions, normalized amplitude comparisons, decision-tree visualizations, and principal component analysis (PCA) projections. This project demonstrated the feasibility of integrating unsupervised machine learning into detector data-quality monitoring and developed a complete workflow for automated PMT performance assessment to aid expert-driven review. Beyond its technical contributions, the VFP appointment fostered a research collaboration between Aurora University and Fermilab and provided direct workforce development benefits by training the visiting faculty member in detector-scale machine-learning methods that are now being incorporated into undergraduate coursework and research. The methodology developed here provides a foundation for future applications to ProtoDUNE and other liquid argon time projection chamber (LArTPC) detectors, contributing to ongoing efforts to improve detector reliability, reduce manual monitoring requirements, and enable scalable data quality monitoring for future large-scale neutrino experiments, including the Deep Underground Neutrino Experiment (DUNE).

Colón Santana, Juan A. [Unlisted, US, IL]↗
DOE OSTI2025

Selection Algorithm for electron neutrino charged current interactions in SBND

The Short Baseline Neutrino (SBN) program at Fermilab is a joint proposal by three experimental collaborations primarily for the investigation of the cause behind the low-energy electron-like event excess observed by the MiniBoone experiment. This dissertation focuses on the near detector of the project, named the Short Baseline Near Detector (SBND), a Liquid Argon Time Projection Chamber apparatus which will conduct searches for sterile neutrinos in the mass range of 1 ${eV}^2/{c}^4$, as well as provide cross-section measurements for neutrino interactions in argon and perform other beyond the standard model studies.\\ \indent As is the case for all detectors in the program, the SBND will use the Booster Neutrino Beam as its source, which will provide it with both muon and electron neutrinos. Given that the ability to discern between the neutrino flavors will be crucial to the fulfillment of the detector's physics goals, the objective of this work is to provide the collaboration with a tool capable of doing so. As such, we here present the development process for an inclusive selection algorithm for the identification of electron neutrino charged current (CC) events regardless of their interaction channel. This is done through a combination of traditional techniques, such as the implementation of cuts on the reconstructed interaction properties, with the use of the Convolutional Visual Network, a machine learning algorithm capable of classifying particle interactions through the analysis of the topology of their final states. With this approach, we have developed a selection process that is capable of identifying $\nu_e$ CC interactions across a wide range of topologies with 34.4\% efficiency, as well as a purity of 91.2\%, making it especially promising for use in cross section studies.

Freire, Hector Moya [ABC Federal U.] (ORCID:000900↗
DOE OSTI2024

Neutrino Physics at the Intensity Frontier

This report covers the research efforts on Neutrino Physics conducted by the HEP group at the University of South Carolina (USC) within the Intensity Frontier (IF) program. The research activity summarized is related to the NOνA and DUNE experiments at Fermilab. The USC group has been one of the founding members of the NOvA collaboration, as well as a member of the third generation long-baseline neutrino oscillation program – originally LBNE and now DUNE/LBNF – since its inception.

72 PHYSICS OF ELEMENTARY PARTICLES AND FIELDS↗
DOE OSTI2017

Baseline Characterization Database Verification Report – NBG-18 Billet 635-4

This engineering calculations and analysis report is a validity evaluation of the physical and mechanical property databases collected on a billet of nuclear grade graphite (i.e., NBG-18 Billet 635-4) in support of the Advanced Reactor Technologies Baseline Graphite Characterization Program. Millions of raw data points that have been collected during testing and quantification analyses for these billets, the summary scalar property values and supplementary traceability data are collected into comprehensive spreadsheets. Data sets are comprised of single billets of graphite for any given grade, organized by mechanical test specimen type and further subdivided into individual spreadsheet tabs according to the specific test or evaluation being performed. This report is not a direct analysis of properties and will not provide information on the validity or performance characteristics of the graphite itself. Rather, it is intended as a verification of the completeness of actual data collected in accordance with PLN-3467, “Baseline Graphite Characterization Plan: Electromechanical Testing,” and its representation of the measurement and test results with sole regard to the graphite billets under evaluation.

11 NUCLEAR FUEL CYCLE AND FUEL MATERIALS↗
DOE OSTI2013

OPTICAL SPECTRA OF CANDIDATE INTERNATIONAL CELESTIAL REFERENCE FRAME (ICRF) FLAT-SPECTRUM RADIO SOURCES

Continuing our program of spectroscopic observations of International Celestial Reference Frame (ICRF) sources, we present redshifts for 120 quasars and radio galaxies. Data were obtained with five telescopes: the 3.58 m European Southern Observatory New Technology Telescope, the two 8.2 m Gemini telescopes, the 2.5 m Nordic Optical Telescope (NOT), and the 6.0 m Big Azimuthal Telescope of the Special Astrophysical Observatory in Russia. The targets were selected from the International VLBI Service for Geodesy and Astrometry candidate International Celestial Reference Catalog which forms part of an observational very long baseline interferometry (VLBI) program to strengthen the celestial reference frame. We obtained spectra of the potential optical counterparts of more than 150 compact flat-spectrum radio sources, and measured redshifts of 120 emission-line objects, together with 19 BL Lac objects. These identifications add significantly to the precise radio-optical frame tie to be undertaken by Gaia, due to be launched in 2013, and to the existing data available for analyzing source proper motions over the celestial sphere. We show that the distribution of redshifts for ICRF sources is consistent with the much larger sample drawn from Faint Images of the Radio Sky at Twenty cm (FIRST) and Sloan Digital Sky Survey, implying that the ultra-compact VLBI sources are not distinguished from the overall radio-loud quasar population. In addition, we obtained NOT spectra for five radio sources from the FIRST and NRAO VLA Sky Survey catalogs, selected on the basis of their red colors, which yielded three quasars with z > 4.

79 ASTRONOMY AND ASTROPHYSICS↗
DOE OSTI2023

An Iterative Bidirectional Gradient Boosting Algorithm for CVR Baseline Estimation

This paper presents a novel iterative, bidirectional, gradient boosting (bidirectional-GB) algorithm for estimating the baseline of the Conservation Voltage Reduction (CVR) program. We define the CVR baseline as the load profile during the CVR period if the substation voltage is not lowered. The proposed algorithm consists of two key steps: selection of similar days and iterative bidirectional-GB training. In the first step, preand post-event temperature profiles of the targeted CVR day are used to select similar days from historical non-CVR days. In the second step, the pre-event and post-event similar days are used to train two GBMs iteratively: a forward-GBM and a backwardGBM. After each iteration, the two generated CVR baselines are reconciled and only the first and the last points on the reconciled baseline are kept. The iteration repeats until all CVR baseline points are generated. We tested two gradient boosting methods (i.e., GBM and LighGBM) with two data resolutions (i.e., 15and 30-minute). The results demonstrate that both the accuracy and performance of the algorithm are satisfactory.

Lee, Han Pyo↗
DOE OSTI2025

Muon Time-of-Flight studies for cosmic background rejection in the Short Baseline Near Detector

The Short-Baseline Neutrino (SBN) program at Fermilab is a cutting-edge project in experimental neutrino physics. One of its main goals is to systematically investigate the possible existence of eV-scale sterile neutrinos. This phenomenon has been hypothesized to explain some anomalies found in short-range experiments and, if confirmed, would imply a substantial extension of the Standard Model. SBN also offers an important opportunity to deepen the understanding of neutrino-nucleus interactions in the GeV energy range, through the use of Liquid Argon Time Projection Chambers (LArTPC) detectors, a fundamental technology also for the future DUNE experiment. The SBN experimental infrastructure consists of three detectors aligned along the Booster Neutrino Beamline at Fermilab. Among them, the detector located closest to the neutrino source, SBND (Short-Baseline Near Detector), positioned approximately 110 meters from the target, plays a key role in directly characterizing the initial neutrino flux. This allows for a direct comparison with the measurements from the far detector, ICARUS, located about 600 meters from the source, in order to search for potential signs of anomalous neutrino oscillations. My master's thesis focuses on the commissioning and characterization activities of the SBND detector, with particular reference to the Cosmic Ray Tagger (CRT). The CRT is a subsystem for identifying and rejecting events produced by cosmic rays, which constitute the main source of background for surface experiments like SBND. The activity began with the commissioning of the final components of the detector, as well as their validation to verify their correct functioning and signal acquisition. A central part of my work involved studying the veto efficiency of the CRT system, analyzing the rate of cosmic ray-induced events to quantify any loss of neutrino-induced events caused by cosmic background. This allowed for a more precise evaluation of the systematic impact of the CRT on the useful physics sample. A further phase of my analysis involved an in-depth study of the temporal correlation between the CRT signals and those acquired by the LArTPC's internal photodetector system, consisting of photomultiplier tubes and X-ARAPUCA devices. The objective is to explore the possibility of using combined temporal information as an additional criterion for discriminating between cosmic signals and signals genuinely due to neutrino interaction. Preliminary results indicate the presence of characteristic temporal signatures that could be exploited to improve event selection and increase the purity of the neutrino-induced sample. These methodologies will certainly contribute to the optimization of SBND analysis strategies and, more generally, to a better understanding of background mechanisms in next-generation LArTPC experiments.

Corallo, Annalea [Ferrara U.]↗
DOE OSTI2026

Understanding neutrinos with accelerator beams and liquid argon time-projection chambers: ICARUS and DUNE

A global program of experiments has worked towards characterizing neutrino oscillation over the past few decades. However, important parameters remain to be measured, and mysteries remain to be elucidated. Current and upcoming experiments are targeting the open questions and probing the consistency of the neutrino oscillation paradigm. Likewise, the liquid argon (LAr) time-projection chamber (TPC) has emerged as a sensitive particle detection technology for neutrino experiments. A current generation of LAr TPC detectors are being used to study neutrinos while also gaining important experience in operating and analyzing with this technology. SBND, MicroBooNE, and ICARUS have collected or are collecting data from beams at Fermilab (near Chicago) to explore the possibility of a sterile neutrino and/or other beyond Standard Model (BSM) physics. SBND and ICARUS will be used to conduct a two-detector analysis as part of the Short Baseline Neutrino (SBN) Program. Additionally, these detectors are enabling important neutrino interaction studies necessary to prepare for the next generation of oscillation experiments. One such oscillation experiment that will come online over the next years is the Deep Underground Neutrino Experiment (DUNE), which will install multiple 10 kiloton LAr TPCs underground in South Dakota (south of Saskatchewan) to conduct oscillation measurements with neutrinos originating in a beamline at Fermilab. A detector complex will be installed at Fermilab as well, to study the beam before the expected flavour oscillations. This “near detector” will also employ a LAr TPC, with a segmented and pixel-based design, as well as other technologies to constrain uncertainties in the oscillation measurement by characterizing the beam and neutrino interactions. This talk will discuss the ICARUS and DUNE experiments, the LAr TPC detector technology, and the efforts to realize and leverage these experiments to better understand the properties of neutrinos.

Howard, Bruce L. [Fermilab]↗
DOE OSTI2022

High Yield, Economical and Environmentally Benign Production of Rare Earth Elements from Coal Ash (Phase II Final Summary Report)

Fly ash stored in landfills and ponds across the United States is an attractive, abundant domestic resource for the cost-effective recovery of rare earth elements (REE) and other critical minerals (CM). Physical Sciences Inc. (PSI) and its team members, Winner Water Services (WWS) and University of Kentucky/Center for Applied Energy Research (UK/CAER) successfully executed a multiphase program that developed technologies and their implementation in a pilot plant. We demonstrated plant operations for cost-effective and environmentally-friendly production of rare earth element oxide (REO) concentrates, and the critical minerals scandium and aluminum (in the forms of salts or oxide products), from coal ash. We also constructed and demonstrated a research-scale (0.5 kg/day) micropilot facility to validate the key physical and chemical processing operations, predict yields, and troubleshoot process bottlenecks. The project team then designed, constructed and operated two decoupled pilot plants: (1) an operational pilot plant for physical separation processes with capacity of 0.4 metric tons per day (tpd), where we optimized processes to produce selected ash fractions as the feedstock for chemical processing and as valuable byproducts such as cenospheres, magnetic ash, and secondary fuel carbon, and (2) an operational pilot plant for chemical ash processing with a capacity of 0.5 tpd that developed optimized processes for the production of: (a) REO concentrates, (b) critical minerals (Sc, Al), and (c) beneficiated ash as a valuable byproduct suitable for cement applications. In Phase I, the project team (with Equinox Chemicals in place of WWS) developed and demonstrated the feasibility of the physical and chemical separation processes, developed the design of a pilot plant, and began the development of a preliminary techno-economic model. In the baseline (initial) Phase II program, the project team developed and demonstrated the above pilot scale plant, producing salable REE concentrates, including Y and Sc (REYSc), plus commercially viable byproducts, using environmentally safe and high-yield physical and chemical enrichment processes. The team successfully demonstrated chemical pilot design, construction, shakedown, and operations of the plant. We produced the Phase II deliverable REYSc concentrate ((50 g of >60 wt.% purity REYSc salts on elemental basis), generated the feed for the Phase II follow-on program, identified processing challenges for future optimizations, and refined the techno-economic model. In the Phase II follow-on program, the project team: (1) developed and demonstrated processes to increase the REE amount by 3X (content basis) and convert the Phase II REE salt mixture to an oxide mixture, (2) produced/delivered >38 g of REO mixture with >85 wt.% purity (elemental basis); (3) developed processes to recover critical minerals scandium and aluminum from intermediate streams; (4) produced/delivered > 1 g of scandium salt mixture with >85 wt. % purity (elemental basis); (5) produced/delivered > 100 g of aluminum oxide type material with >70% wt. purity (elemental basis); and (6) updated the techno-economic model from the baseline Phase II program to assess CAPEX and OPEX of a commercial operation. This program has developed extensive databases on process chemistry, unit operations, plant engineering, and techno-economics that will enable further scale-up toward commercial plant design. Specific future developments will be focused on achieving dramatic savings in energy, reagent usage, and operating costs. The combined results will contribute significantly for maturing the technologies of REE recovery from coal byproducts and promote the establishment of domestic REE and CM supply chains.

01 COAL, LIGNITE, AND PEAT↗