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All sourcesNASA NTRSDOE OSTI
DOE OSTI2024

Luminosity determination using Z boson production at the CMS experiment

The measurement of Z boson production is presented as a method to determine the integrated luminosity of CMS data sets. The analysis uses proton–proton collision data, recorded by the CMS experiment at the CERN LHC in 2017 at a center-of-mass energy of 13 TeV. Events with Z bosons decaying into a pair of muons are selected. The total number of Z bosons produced in a fiducial volume is determined, together with the identification efficiencies and correlations from the same data set, in small intervals of 20 pb –1 of integrated luminosity, thus facilitating the efficiency and rate measurement as a function of time and instantaneous luminosity. Using the ratio of the efficiency-corrected numbers of Z bosons, the precisely measured integrated luminosity of one data set is used to determine the luminosity of another. For the first time, a full quantitative uncertainty analysis of the use of Z bosons for the integrated luminosity measurement is performed. The uncertainty in the extrapolation between two data sets, recorded in 2017 at low and high instantaneous luminosity, is less than 0.5%. We show that the Z boson rate measurement constitutes a precise method, complementary to traditional methods, with the potential to improve the measurement of the integrated luminosity.

46 INSTRUMENTATION RELATED TO NUCLEAR SCIENCE AND ↗
DOE OSTI2024

ALICE luminosity determination for Pb–Pb collisions at $\sqrt{s_{NN}}$ = 5.02 TeV

Luminosity determination within the ALICE experiment is based on the measurement, in van der Meer scans, of the cross sections for visible processes involving one or more detectors (visible cross sections). In 2015 and 2018, the Large Hadron Collider provided Pb–Pb collisions at a centre-of-mass energy per nucleon pair of $\sqrt{s_{NN}}$ = 5.02 TeV. Two visible cross sections, associated with particle detection in the Zero Degree Calorimeter (ZDC) and in the V0 detector, were measured in a van der Meer scan. This article describes the experimental set-up and the analysis procedure, and presents the measurement results. The analysis involves a comprehensive study of beam-related effects and an improved fitting procedure, compared to previous ALICE studies, for the extraction of the visible cross section. The resulting uncertainty of both the ZDC-based and the V0-based luminosity measurement for the full sample is 2.5%. The inelastic cross section for hadronic interactions in Pb–Pb collisions at $\sqrt{s_{NN}}$ = 5.02 TeV, obtained by efficiency correction of the V0-based visible cross section, was measured to be 7.67 ± 0.25 b, in agreement with predictions using the Glauber model.

72 PHYSICS OF ELEMENTARY PARTICLES AND FIELDS↗
DOE OSTI2023

Luminosity determination in $pp$ collisions at $\sqrt{s}=13$ TeV using the ATLAS detector at the LHC

The luminosity determination for the ATLAS detector at the LHC during Run 2 is presented, with pp collisions at a centre-of-mass energy $\sqrt{s}$ = 13 TeV. The absolute luminosity scale is determined using van der Meer beam separation scans during dedicated running periods in each year, and extrapolated to the physics data-taking regime using complementary measurements from several luminosity-sensitive detectors. The total uncertainties in the integrated luminosity for each individual year of data taking range from 0.9% to 1.1%, and are partially corre lated between years. After standard data-quality selections, the full Run 2 pp data sample corresponds to an integrated luminosity of 140.1 ± 1.2 fb -1 , i.e. an uncertainty of 0.83%. A dedicated sample of low-pileup data recorded in 2017– 2018 for precision Standard Model physics measurements is analysed separately, and has an integrated luminosity of 338.1 ± 3.1 pb -1 .

72 PHYSICS OF ELEMENTARY PARTICLES AND FIELDS↗
DOE OSTI2021

Muon reconstruction and identification efficiency in ATLAS using the full Run 2 $pp$ collision data set at $\sqrt{s}=13$ TeV

This article documents the muon reconstruction and identification efficiency obtained by the ATLAS experiment for 139 fb$^{-1}$ of $pp$ collision data at $\sqrt{s}=13$ TeV collected between 2015 and 2018 during Run 2 of the LHC. The increased instantaneous luminosity delivered by the LHC over this period required a reoptimisation of the criteria for the identification of prompt muons. Improved and newly developed algorithms were deployed to preserve high muon identification efficiency with a low misidentification rate and good momentum resolution. The availability of large samples of $Z\to\mu\mu$ and $J/\psi\to\mu\mu$ decays, and the minimisation of systematic uncertainties, allows the efficiencies of criteria for muon identification, primary vertex association, and isolation to be measured with an accuracy at the per-mille level in the bulk of the phase space, and up to the percent level in complex kinematic configurations. Excellent performance is achieved over a range of transverse momenta from 3 GeV to several hundred GeV, and across the full muon detector acceptance of $|\eta|<2.7$.

72 PHYSICS OF ELEMENTARY PARTICLES AND FIELDS↗
DOE OSTI2025

Observation of Cosmic-Ray Anisotropy in the Southern Hemisphere with 12 yr of Data Collected by the IceCube Neutrino Observatory

We analyzed the 7.92 × 10 11 cosmic-ray-induced muon events collected by the IceCube Neutrino Observatory from 2011 May 13, when the fully constructed experiment started to take data, to 2023 May 12. This data set provides an up-to-date cosmic-ray arrival direction distribution in the Southern Hemisphere with unprecedented statistical accuracy covering more than a full period length of a solar cycle. Improvements in Monte Carlo event simulation and better handling of year-to-year differences in data processing significantly reduce systematic uncertainties below the level of statistical fluctuations compared to the previously published results. We confirm the observation of a change in the angular structure of the cosmic-ray anisotropy between 10 TeV and 1 PeV, more specifically in the 100–300 TeV energy range. For the first time, we analyzed the angular power spectrum at different energies. The observed variations of the power spectra with energy suggest relatively reduced large-scale features at high energy compared to those of medium and small scales. The large volume of data enhances the statistical significance at higher energies, up to the PeV scale, and smaller angular scales, down to approximately 6° compared to previous findings.

79 ASTRONOMY AND ASTROPHYSICS↗
DOE OSTI2023

Measurement of the mass and width of the Λ c ⁢(2625) + charmed baryon and the branching ratios of Λ c ⁢(2625) + → Σ$^{0}_{c}$π + and Λ c ⁢(2625) + → Σ$^{++}_{c}$π -

Using the entire data sample of 980 fb -1 collected at or near the Y⁡(4⁢S) resonance with the Belle detector operating at the KEKB asymmetric-energy e + ⁢e - collider, we report the measurement of the mass, width, and the branching ratios of the Λ c (2625) + charmed baryon. The mass difference between Λ c ⁢(2625) + and Λ$^{+}_{c}$ is measured to be M⁡(Λ c ⁢(2625) + )-M⁡(Λ$^{+}_{c}$)=341.518±0.006±0.049 MeV/c 2 . The upper limit on the width is measured to be Γ⁡(Λ c ⁢(2625) + )<0.52 MeV/c 2 at 90% confidence level. Based on a full Dalitz plot fit, branching ratios with respect to the mode Λ c⁢ (2625) + →Λ$^{+}_{c}$π + ⁢π - are measured to be $\frac{\mathscr{B}⁡(Λ_c(2625)^+ → Σ^{0}_{c}π^+)} {\mathscr{B}⁡(Λ_c(2625)^+ → ^{+}_{c}⁢π^+⁢π^-)}$ = (5.19±0.23±0.40)% and $\frac{\mathscr{B}(Λ_c (2625)^+ → Σ{_c^+}^+ π^-)}{\mathscr{B}(Λ_c (2625)^+ → Λ{_c^+} π^+π^-)}$ = (5.13±0.26±0.32)%, where the first and second uncertainties are statistical and systematic, respectively. These measurements can be used to further constrain the parameters of the underlying theoretical models.

72 PHYSICS OF ELEMENTARY PARTICLES AND FIELDS↗
DOE OSTI2021

Jet energy scale and resolution measured in proton–proton collisions at $\sqrt{s}=13$ TeV with the ATLAS detector

Jet energy scale and resolution measurements with their associated uncertainties are reported for jets using 36–81 fb -1 of proton–proton collision data with a centre-of-mass energy of √s=13 TeV collected by the ATLAS detector at the LHC. Jets are reconstructed using two different input types: topo-clusters formed from energy deposits in calorimeter cells, as well as an algorithmic combination of charged-particle tracks with those topo-clusters, referred to as the ATLAS particle-flow reconstruction method. The anti-k t jet algorithm with radius parameter R=0.4 is the primary jet definition used for both jet types. This result presents new jet energy scale and resolution measurements in the high pile-up conditions of late LHC Run 2 as well as a full calibration of particle-flow jets in ATLAS. Jets are initially calibrated using a sequence of simulation-based corrections. Next, several in situ techniques are employed to correct for differences between data and simulation and to measure the resolution of jets. The systematic uncertainties in the jet energy scale for central jets (|η|<1.2) vary from 1% for a wide range of high-p T jets (250 T <2000 GeV), to 5% at very low p T (20 GeV) and 3.5% at very high p T (>2.5 TeV). The relative jet energy resolution is measured and ranges from (24±1.5)% at 20 GeV to (6±0.5)% at 300 GeV.

72 PHYSICS OF ELEMENTARY PARTICLES AND FIELDS↗
DOE OSTI2024

A precise measurement of the Z -boson double-differential transverse momentum and rapidity distributions in the full phase space of the decay leptons with the ATLAS experiment at $\sqrt{s}=8$ TeV

This paper presents for the first time a precise measurement of the production properties of the Z boson in the full phase space of the decay leptons. This is in contrast to the many previous precise unfolded measurements per formed in the fiducial phase space of the decay leptons. The measurement is obtained from proton–proton collision data collected by the ATLAS experiment in 2012 at $\sqrt{s}$ = 8 TeV at the LHC and corresponding to an integrated luminosity of 20.2 fb -1 . The results, based on a total of 15.3 million Z boson decays to electron and muon pairs, extend and improve a previous measurement of the full set of angular coefficients describing Z-boson decay. The double-differential cross section distributions in Z-boson transverse momentum pT and rapidity y are measured in the pole region, defined as 80 < m ℓℓ < 100 GeV, over the range |y| < 3.6. The total uncertainty of the normalised cross-section measurements in the peak region of the pT distribution is dominated by statistical uncertainties over the full range and increases as a function of rapidity from 0.5–1.0% for |y| < 2.0 to 2 - 7% at higher rapidities. The results for the rapidity-dependent transverse momentum distributions are compared to state of-the-art QCD predictions, which combine in the best cases approximate N 4 LL resummation with N 3 LO fixed-order per turbative calculations. The differential rapidity distributions integrated over pT are even more precise, with accuracies from 0.2–0.3% for |y| < 2.0 to 0.4–0.9% at higher rapidities, and are compared to fixed-order QCD predictions using the most recent parton distribution functions. The agreement between data and predictions is quite good in most cases.

72 PHYSICS OF ELEMENTARY PARTICLES AND FIELDS↗
DOE OSTI2023

Study of the muon decay-in-flight in the τ - → μ - ν ¯ μ ν τ decay to measure the Michel parameter ξ '

We present the first measurement of the Michel parameter ξ' in the $\tau$ - → μ¯ $\overline{v}$ μ v $\tau$ decay using the full data sample of 988 fb -1 collected by the Belle detector operating at the KEKB asymmetric energy e + ⁢e - collider. The method is based on the reconstruction of the μ¯ → e⁢¯$\overline{v}$ e v μ decay-in-flight in the Belle central drift chamber and relies on the correlation between muon spin and its daughter electron momentum. We study the main sources of the background that can imitate the signal decay, such as kaon and pion decays-in-flight and charged particle scattering on the detector material. Highly efficient methods of their suppression are developed and applied to select 165 signal-candidate events. We obtain ξ' = 0.22±0.94±0.42 where the first uncertainty is statistical, and the second one is systematic. The result is in agreement with the Standard Model prediction of ξ' = 1.

72 PHYSICS OF ELEMENTARY PARTICLES AND FIELDS↗
DOE OSTI2020

Subtask 1.3 – Integrated Carbon Capture and Storage for North Dakota Ethanol Production

The Energy & Environmental Research Center (EERC), in partnership with Red Trail Energy, LLC (RTE), a North Dakota ethanol producer; the North Dakota Industrial Commission (NDIC) Renewable Energy Program (REP); and the U.S. Department of Energy (DOE), conducted a feasibility and implementation study for a commercial carbon capture and storage (CCS) effort. This subtask provided technical support and developed recommended practices of how small-scale industrial CO2 emitters (<1,000,000 tonnes of CO2 emitted annually) may economically deploy CCS. The 64-million-gallon dry mill RTE ethanol facility, emitting an average 180,000 tonnes of CO2 annually, was the subject of the case study. The positive outcome of this research, which shows technical and economic potential for ethanol–CCS in North Dakota, has resulted in RTE acquiring an approved Permit to Drill on December 2, 2019, for a stratigraphic test well in early 2020, a necessary step toward a North Dakota CO2 Storage Facility Permit (SFP) for the RTE CCS effort. Outcomes include 1) validating the Broom Creek Formation as a regional target for CCS, 2) determining the full carbon life cycle of an industrial fuel production facility with CCS, 3) developing a field implementation plan (FIP) for small-scale CCS, and 4) determining the validity and pathway for using CCS to meet low-carbon fuel (LCF) standards. The technical team included the EERC, RTE, Trimeric Corporation, Schlumberger Carbon Services, and Computer Modelling Group (CMG). Findings from activities conducted November 2016 – May 2020 are summarized as follows. Several key steps have been accomplished toward validating the Broom Creek Formation as a CO2 injection and storage target at the RTE CCS site, including verification of the presence and structure of sandstone layers that may comprise the potential CO2 storage reservoir and the several thousand feet of overlying confining zone. Work included site characterization using existing data, interpretation of seismic data within the study area, and geologic modeling simulation of CO2 injection. Interpreted results estimate 3000 feet of confining zone between the Broom Creek Formation (storage target) and the lowermost underground source of drinking water (e.g., the Fox Hills Formation). The thickness of the Broom Creek injection target varies 230–420 ft within the survey area. Results were used to inform the location of a stratigraphic test well and associated characterization test program. No impediments were identified within the targeted CO2 storage complex that would prevent the project from moving forward. A stratigraphic test well is the next step to validate these results and to acquire remaining data necessary to develop a North Dakota CO2 SFP application. The EERC generated full carbon life cycle estimates for CCS integration with the RTE ethanol facility. Results indicated that an average 40% reduction in CO2 emissions is possible through CCS implementation. Approximately half of the carbon in the overall life cycle for a dry mill ethanol plant is generated through the fermentation process and emitted to the atmosphere; this is the CO2 stream targeted for CCS. The remaining carbon is attributed to corn feedstock farming (diesel, fertilizer), energy for fuel processing (natural gas, electricity), and transportation (diesel) of the fuel product. Life cycle carbon estimates are also affected by the anticipated energy consumption of a potential capture facility, which depend on the type of CO2 product generated. For example, a 30%–40% net CO2 emission reduction is estimated if a liquefied CO2 facility were incorporated compared to a 40%–50% net CO2 reduction if a supercritical “injection-grade” CO2 product is generated; i.e., more energy is required to further refine the CO2 stream, affecting the full carbon life cycle estimates. A CCS FIP was developed and initiated at the RTE CCS site, resulting in the development of several guidance documents: a CO2 Capture Process Design Package, a North Dakota CO2 geologic Storage Permits Template, and a Public Outreach Package for CCS in North Dakota. General FIP components include CO2 capture system, pipeline and well designs; monitoring, verification, and accounting (MVA) plans; geologic characterization and testing programs; and permitting and outreach plans. Vendor bids were also acquired for the CO2 liquefaction facility. Near-surface characterization (groundwater and soil gas sampling) and geologic characterization (seismic survey) were initiated to inform development of a UIC Class VI-compliant MVA plan compliant with a North Dakota CO2 SFP. Designs (well and geologic testing) were completed for a stratigraphic test well compliant with a North Dakota CO2 SFP. In addition, the outreach plan was executed, including community open houses, meetings with city/county/state officials, and development of public materials. Although other entities continued to mature incentive programs in 2019–2020, California and the Internal Revenue Service (IRS) currently provide the most advanced economic opportunities for CCS integrated with fuel production. The California Low-Carbon Fuel Standard (LCFS) adopted a CCS Protocol in January 2019, allowing submittal of a design-based pathway (DBP) application for an approved temporary (not certified) carbon intensity value for a fully engineered facility. An ethanol–CCS DBP application to the California LCFS Program (officially approved February 28, 2020) was developed to show that the RTE CCS effort meets LCFS requirements. The approved DBP provides confidence to advance the project and supports potential investments. Other entities continue to mature incentive programs. The IRS issued guidance in February 2020 that addresses the definition of beginning of construction and revenue procedure on partnerships for the Enhancement of Carbon Dioxide Sequestration Credit (a.k.a. Section 45Q) CCS tax credit program; the IRS anticipates issuing further guidance on issues such as secure geologic storage, utilization qualifications, and recapture of claimed credits. Maturing incentive programs coupled with workable permitting regulations provide confidence to advance CCS projects in North Dakota and support financial investment to proceed with designing, constructing, and implementing CCS projects at small-scale fuel production facilities. The largest hurdles for CCS implementation at small-scale industrial systems are often business/economic-related (i.e., not technical). Market uncertainty already exists for agriculture-based alternative fuels such as corn ethanol, for which production has increased by ~33%, and prices have correspondingly lowered since 2015. Passing the Section 45Q tax credit program improves economic feasibility for CCS but may require external investors for a small business to achieve maximum benefits. Public–private partnerships with NDIC and DOE have resulted in foundational technical and regulatory knowledge, growing stakeholder confidence, and a pathway to implementation that enables similar industrial CCS projects in the region to advance. This subtask was funded through the EERC–DOE Joint Program on Research and Development for Fossil Energy-Related Resources Cooperative Agreement No. DE-FE0024233. Nonfederal funding was provided by NDIC and RTE. The authors would also like to thank CMG, ESRI, IHS, Neuralog, and Schlumberger for allowing the use of their software packages in support of this work.

42 ENGINEERING↗
DOE OSTI2023

First Simultaneous Determination of Inclusive and Exclusive | V u b |

The first simultaneous determination of the absolute value of the Cabibbo-Kobayashi-Maskawa matrix element V ub using inclusive and exclusive decays is performed with the full Belle data set at the $Υ$(4S) resonance, corresponding to an integrated luminosity of 711 fb -1 . We analyze collision events in which one B meson is fully reconstructed in hadronic modes. This allows for the reconstruction of the hadronic X u system of the semileptonic b → $πℓe_ℓ$ decay. We separate exclusive B → $πℓ\overline{ν}_ℓ$ decays from other inclusive B → $X_uℓ\overline{ν}_ℓ$ and backgrounds with a two-dimensional fit that utilizes the number of charged pions in the X u system and the four-momentum transfer q 2 between the B and X u systems. Combining our measurement with information from lattice QCD and QCD calculations of the inclusive partial rate as well as external experimental information on the shape of the B → $πℓe_ℓ$ form factor, we determine |$V^{excl}_{ub}$| = (3.78 ± 0.23 ± 0.16 ± 0.14) × 10 -3 and |$V^{incl}_{ub}$| = (3.88 ± 0.20 ± 0.31 ± 0.09) x 10 -3 , respectively, with the uncertainties being the statistical error, systematic errors, and theory errors. The ratio of |$V^{excl}_{ub}$|/|$V^{incl}_{ub}$| 0.97 ± 0.12 is compatible with unity.

72 PHYSICS OF ELEMENTARY PARTICLES AND FIELDS↗
DOE OSTI2025

Measurement of single- and double-differential cross sections for mesonless charged-current muon neutrino interactions on argon with final-state protons using the MicroBooNE detector

Charged-current neutrino interactions with final states containing zero mesons and at least one proton are of high interest for current and future accelerator-based neutrino oscillation experiments. Using the Booster Neutrino Beam and the MicroBooNE detector at Fermi National Accelerator Laboratory, we have obtained the first double-differential cross-section measurements of this channel for muon neutrino scattering on an argon target with a leading proton momentum threshold of 0.25 GeV/𝑐. We also report a flux-averaged total cross section of 𝜎 = (11.8±1.2) × 10 −38 cm 2 /Ar and several single-differential measurements which extend and improve upon previous results. Statistical and systematic uncertainties are quantified with a full treatment of correlations across 359 kinematic bins, including correlations between distributions describing different observables. The resulting dataset provides the most detailed information obtained to date for testing models of mesonless neutrino-argon scattering.

72 PHYSICS OF ELEMENTARY PARTICLES AND FIELDS↗
DOE OSTI2025

Comprehensive Measurement of the Reactor Antineutrino Spectrum and Flux at Daya Bay

This Letter reports the precise measurement of the reactor antineutrino spectrum and flux based on the full dataset of 4.7 ×10 6 inverse-beta-decay candidates collected at Daya Bay near detectors. Expressed in terms of the inverse-beta-decay yield per fission, the antineutrino spectra from all reactor fissile isotopes and the specific 235 U and 239 Pu isotopes are measured with 1.3%, 3%, and 8% uncertainties, respectively, near the 3 MeV spectrum peak in reconstructed energy, reaching the best precision in the world. The total antineutrino flux and isotopic 235 U and 239 Pu fluxes are precisely measured to be 5.84 ± 0.07, 6.16 ± 0.12, and 4.16 ± 0.21 in units of 10 −43 cm 2 /fission. These measurements are compared with the Huber-Mueller model, the reevaluated conversion model based on the Kurchatov Institute measurement, and the latest summation model (SM2023). Furthermore, the Daya Bay flux shows good consistency with the Kurchatov Institute and SM2023 models but disagrees with the Huber-Mueller model. The Daya Bay spectrum, however, disagrees with all model predictions.

72 PHYSICS OF ELEMENTARY PARTICLES AND FIELDS↗
DOE OSTI2026

Inclusive Search for Anomalous Single-Photon Production in MicroBooNE

We present an inclusive search for anomalous production of single-photon events from neutrino interactions in the MicroBooNE experiment. The search and its signal definition are motivated by the previous observation of a low-energy excess of electromagnetic shower events from the MiniBooNE experiment. We use the Wire-Cell reconstruction framework to select a sample of inclusive single-photon final-state interactions with a final efficiency and purity of 7.0% and 40.2%, respectively. We leverage simultaneous measurements of sidebands of charged current 𝜈 𝜇 interactions and neutral current interactions producing 𝜋 0 mesons to constrain signal and background predictions and reduce uncertainties. We perform a blind analysis using a dataset collected from February 2016 to July 2018, corresponding to an exposure of 6.34 × 10 20 protons on target from the Booster Neutrino Beam at Fermilab. In the full signal region, we observe agreement between the data and the prediction, with a goodness-of-fit 𝑝 value of 0.11. We then isolate a subsample of these events containing no visible protons, and observe 93 ± 22⁢(stat) ±35⁢(syst) data events above prediction, corresponding to just above 2⁢𝜎 local significance, concentrated at shower energies below 600 MeV.

72 PHYSICS OF ELEMENTARY PARTICLES AND FIELDS↗
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↗