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Ten Simple Rules to becoming a principal investigator

The biggest choke point in an academic career is going from postdoc to principal investigator (PI), moving from doing someone else’s research to getting other people to do yours. It is not an easy transition, draws on few of the skills you learn at the bench and the odds are clearly not ever in your favour. So calling this article ten simple rules is obviously a simplification: it is more accurate to call them ten tricky steps. In this article, we use Principal Investigator to mean anyone who runs their own research group, using funding that they have been awarded to answer their own questions. PI encompasses a number of different job titles depending on where the research is performed – fellow, lecturer, associate professor, senior scientist. The acid test is whether you can describe the people working for you as the X group, where X is your surname. The normal route from undergraduate to lab head involves a PhD, one or most postdoc positions and then PI. Given the diversity of ways to be a PI, the final step up from postdoc takes a number of forms – in the UK this tends to be either an individual fellowship or a lecturer position, in the US it generally starts with an independent position with associated funding – either as a startup package or funded grant. The aim of this article is to identify some of the broader skills (rules 1-4) and behaviours (rules 5-10) that can help with becoming a PI. They are meant as advice, not instruction. As you will see, most of them are soft/ leadership skills, which can as easily be applied to the world outside academia as within it.

99 GENERAL AND MISCELLANEOUS↗

Custom surface reflectance, shade mask, and equivalent water thickness maps for the Colorado Headwaters Ecological Spectroscopy Study (2025)

This dataset contains land surface reflectance estimates and additional derived products generated from NEON Imaging Spectrometer (NIS) data collected in the Upper Gunnison river basin during June and July of 2025. Data was collected over three domains: the Upper East River (CRBU), Almont Triangle (ALMO), and the Upper Taylor Basin (UPTA). These products were derived from radiance and LiDAR data collected by the NEON Airborne Observation Platform (AOP) campaign funded by the Colorado Headwaters Ecological Spectroscopy Study (CHESS) (doi:10.15485/3017965). Products include per-pixel surface reflectance (rfl) and reflectance uncertainty (rfl_unc), observational data (obs), canopy equivalent water thickness (ewt), and shade masks. Atmospheric correction was performed per flightline using the ISOFIT (Imaging Spectrometer Optimal FITting) optimal estimation framework to estimate surface reflectance and the associated per-band reflectance uncertainty. Reflectance retrievals achieved a mean absolute error of 1.5% across diverse validation surfaces (see validation report.pdf). Equivalent water thickness was calculated from surface reflectance using the Beer–Lambert absorption of liquid water. Shade masks were generated based on the geometry between the sun angle, ground surface, and sensor at the time of flight. Data products are provided per-flightline and as mosaics for each domain. Flightline data products are provided as ENVI-formatted binary files (rfl, rfl_unc, ewt) and GeoTIFFs (shade). Reflectance and uncertainty mosaics are provided as tiled NetCDFs, while all other mosaicked products are provided as cloud-optimized GeoTIFFs. These formats are supported by common geospatial software (e.g., QGIS, ArcGIS, ENVI) and programmatic libraries in Python (e.g., rasterio, xarray, spectral, netCDF4) and R (e.g., terra, ncdf4). Processing workflows were designed to be equivalent to those used to generate the 2018 CHESS campaign airborne imaging spectroscopy data products (doi:10.15485/3013527). All outputs were co-registered to a common spatial grid to support time series analyses. CHESS Project Description: The Colorado Headwaters Ecological Spectroscopy Study (CHESS) comprised a multi-week airborne remote sensing and field observation campaign in the Upper Gunnison Basin, Colorado, conducted in June and July of 2025. Airborne remote sensing was conducted by the National Ecological Observatory Network Airborne Observation Platform (NEON AOP), concurrent with a field campaign run by the Rocky Mountain Biological Laboratory (RMBL), the Lawrence Berkeley National Laboratory (LBNL) and SLAC National Accelerator Laboratory Watershed Function Science Focus Area (SFA), and NASA-JPL (Jet Propulsion Laboratory) Earth Surface Mineral Dust Source Investigation (EMIT) program. Between June 10 and July 18, 2025, the NEON AOP flight team collected high-resolution aerial imaging spectroscopy and Light Detection and Ranging (LiDAR) data over three domains: the Upper East River (CRBU), Almont Triangle (ALMO), and the Upper Taylor Basin (UPTA). In coordination with the flights, a field campaign acquired ground-truth observations, including observations of vegetation composition, foliar traits, forest demography, and subsurface properties in 18 core sampling areas within the domains. Additional surface water observations were taken at over 380 point locations. All CHESS campaign datasets can be found within the CHESS ESS-DIVE data portal: https://data.ess-dive.lbl.gov/portals/chess. Funding Acknowledgment: Data acquisition was performed under a grant from the National Aeronautics and Space Administration (80NSSC24K1005). Computational research was carried out at the Jet Propulsion Laboratory, California Institute of Technology, under a contract with the National Aeronautics and Space Administration (80NM0018D0004) and was funded by EMIT Extended Mission Phase E Science.

2018 NEON and 2025 CHESS Campaigns↗

Micropulse Differential Absorption Lidar (MPD) Network Demonstration Field Campaign Report

The National Center for Atmospheric Research (NCAR) and Montana State University (MSU) are nearing completion of a National Science Foundation (NSF) major research instrumentation grant to build five micropulse differential absorption lidars (MPDs) for water vapor profiling. The first demonstration of the MPD configured as a five-unit network occurred at the Department of Energy (DOE) Atmospheric Radiation Measurement (ARM) user facility Southern Great Plains (SGP) field sites near Lamont, Oklahoma from 17 April–21 July 2019 for a total of 96 days of operation. The field deployment was funded in part by DOE (which provided support for the MPD installation, power at the field sites, personnel to launch 3-hourly radiosondes from the Central Facility, and the cost of the radiosondes themselves), internal NCAR funds (to support the MPD shipping costs and NCAR staff travel expenses), and NSF/Major Research Instrumentation (MRI) funds (to support the MSU travel expenses to participate in the instrument setup).

54 ENVIRONMENTAL SCIENCES↗

Herbaceous Feedstock 2019 State of Technology Report

The U.S. Department of Energy (DOE) promotes the production of advanced liquid transportation fuels from lignocellulosic biomass by funding fundamental and applied research that advances the State of Technology (SOT). As part of its involvement with this mission, Idaho National Laboratory (INL) completes an annual SOT report for biomass feedstock logistics. This report summarizes supply system impacts of Bioenergy Technologies Office (BETO)-funded research and development efforts at INL and elsewhere (such as the High-Tonnage Feedstock Logistics projects (Webb et al. 2013a, Webb et al. 2013b, Webb et al. 2013c, Webb and Sokhansanj 2014, Sokhansanj et al. 2014)) that lead to improvements in feedstock supply systems. These include improvements to and observed performance of innovative harvest and collection methods, storage technologies, transportation and handling approaches, and advanced preprocessing technologies. Biomass quality and variability, and the interface between feedstock quality and conversion performance are key drivers in addition to delivered feedstock cost. In this report, we estimate the benefits of R&D improvements to individual supply system unit operations and present the status of feedstock logistics technology development for converting biomass into biofuels. These analyses are supported by experimental data where possible and help to align the SOT relative to the cost goals defined in the Multi-Year Program Plan. The 2019 Herbaceous SOT incorporates several technology changes in feedstock preprocessing and introduces opportunities from the integrated landscape management (ILM) strategy and increased grower participation to reduce biomass access costs, while maintaining or improving grower profitability. During FY18 uneven flow from the horizontal bale grinder was identified as a significant issue limiting preprocessing system throughput. Based on FSL-funded research at INL, the 2019 Herbaceous SOT replaces the horizontal bale grinder used in the first stage size reduction with a bale processor. The improved uniformity of biomass flow entering the PDU eliminated slugging flow from the first stage size reduction and improved the throughput of downstream operations. In order to achieve moisture reduction through frictional heating during grinding (which allowed elimination of the costly rotary drum dryer in previous SOTs), the second stage grinder was changed from a rotary shear, which does not remove moisture, back to a hammer mill. Finally, the 2019 Herbaceous SOT introduces modified three-pass and two-pass corn stover supply curves derived from the BT16 resource assessment, based on FY19 modeling results (WBS 4.2.1.20) quantifying economic benefits of ILM in the supply area, together with modeling results (WBS 1.2.1.5) identifying ILM strategies to increase grower participation. The 2019 Herbaceous SOT report documents the current modeled cost of an herbaceous feedstock supply system from harvest to the pretreatment reactor throat for hydrocarbon fuel production via biochemical conversion, based on equipment and processes now available or potentially available in the near term. The modeled cost also considers both the required quality and the availability of the biomass resources. The 2019 Herbaceous SOT predicts a modeled delivered feedstock cost of $81.37 /dry ton (2016$); this is a $2.30/dry ton (2016$) decrease from the 2018 Herbaceous SOT. Technology improvements that contributed to this modeled cost reduction include reduced cost for the new preprocessing design and quantification of the opportunities of the integrated landscape management (ILM) strategy and an increased grower participation rate to reduce the grower payment portion of biomass access costs, while maintaining or improving grower profitability. A greenhouse gas emissions (GHG) assessment was completed by Argonne National Laboratory using the 2019 Greenhouse Gases, Regulated Emissions, and Energy use in Transportation model, estimating an increase of 14.89 kg CO2e/ton from the 2018 SOT (69.27 kg CO2e/ton in 2018 to 84.16 kg CO2e/ton in 2019). The increase of energy consumption during preprocessing along with higher transportation distance to access low cost biomass from further distance contributed to the increase of GHG emissions in the 2019 Herbaceous SOT. The reason for the increased transportation distances was the cost tradeoff of going farther from the biorefinery to access the cheaper ILM-derived counties (the cheaper price outweighed the cost of increased supply radius).

09 BIOMASS FUELS↗

Herbaceous Feedstock 2018 State of Technology Report

The U.S. Department of Energy (DOE) promotes the production of advanced liquid transportation fuels from lignocellulosic biomass by funding fundamental and applied research that advances the state of technology (SOT). As part of its involvement with this mission, Idaho National Laboratory (INL) completes an annual SOT report for biomass feedstock logistics. This report summarizes supply system impacts of Bioenergy Technologies Office (BETO)-funded research and development efforts at INL and elsewhere (such as the High-Tonnage Feedstock Logistics projects (Webb et al. 2013a, Webb et al. 2013b, Webb et al. 2013c, Webb and Sokhansanj 2014, Sokhansanj et al. 2014) that lead to improvements in feedstock supply systems. These include improvements to and observed performance of innovative harvest and collection methods, storage technologies, transportation and handling approaches, and advanced preprocessing technologies. Biomass quality and variability, and the interface between feedstock quality and conversion performance are key drivers in addition to delivered feedstock cost. In this report, we estimate the benefits of R&D improvements to individual supply system unit operations, and present the status of feedstock logistics technology development for converting biomass into biofuels. These analyses are supported by experimental data where possible, and help to align the SOT relative to the cost goals defined in the Multi-Year Program Plan. The 2018 Herbaceous SOT aligned feedstock logistic design with current biorefinery’s design capacity utilized by biochemical conversion platform. Currently biochemical conversion platform utilizes a 725,000 dry ton/year biorefiney design for the techno economic analysis. Hence, feedstock delivered cost in the 2018 Herbaceous SOT is calculated based on biorefinery’s 725,000 dry ton design capacity instead of 800, 000 dry ton capacity utilized in the 2017 Herbaceous SOT. Biomass availabilities in this SOT were updated to year 2018 data from the 2016 Billion-Ton Report (BT16) (DOE 2016a), with the exception of switchgrass, for which the 2018 Herbaceous SOT utilized the 2019 switchgrass availability data from BT16. The BT16 report (DOE 2016a) does not project switchgrass availability in 2018; the soonest switchgrass is available in the BT16 report is 2019. Therefore, availability of switchgrass for this analysis was that projected for 2019. The 2018 Herbaceous SOT incorporates same technologies utilized in the 2017 Herbaceous SOT. However, a sensitivity analysis is performed to understand the impact of variation of process parameters on those technologies on feedstock logistic cost. New R&D data that shows the variations of process parameters affecting process performance is incorporated in the 2018 SOT to measure the variations in delivered feedstock cost. The 2018 Herbaceous SOT has also provided projected delivered feedstock of 2022 design case based on near term technical target under BETO funded R&D project. Finally, updated biorefinery size of 725,000 dry ton/year was incorporated within least-cost formulation model to select optimal siting and depot scales during optimization of the least cost blend. This modification to the optimization algorithm allows the trade-off between the cost of increased supply radius and the savings from selecting biomass from higher producing counties to be assessed. Such optimization has also showed the economic benefit of decentralized depots in comparison to centralized preprocessing co-located with the biorefinery by decoupling the biorefinery and feedstock locations. The 2018 Herbaceous SOT report documents the current modeled cost of a herbaceous feedstock supply system (from harvest to the pretreatment reactor throat, including grower payment) for hydrocarbon fuel production via biochemical conversion, based on equipment and processes now available or potentially available in the near term. The modeled cost also considers both the required quality and the availability of the biomass resources. The 2018 Herbaceous SOT predicts a modeled delivered feedstock cost of $83.67/dry ton (2016$); this is a $0.23/dry ton (2016$) decrease from the 2017 Herbaceous SOT. The modification of biorefinery’s designed capacity and increased projected biomass availability in the same supply shed contributed to this modeled cost reduction. The least-cost formulation model to optimally site and scale local distributed preprocessing depots also contributed to the cost reduction by considering county-level grower payment and distance from the biorefinery as variables in the optimization algorithm. Sensitivity analysis on various process parameters that affect delivered feedstock cost in the 2018 Herbaceous SOT shows that the delivered cost could varies from $80.45-$88.83/dry ton. The top factors that causes such variations are: effective baling rate, bale density, hammer mill throughput, interest rate and storage dry matter loss.

09 BIOMASS FUELS↗

Advanced Sensors and Instrumentation (ASI) Program Plan. Nuclear Energy Enabling Technologies (NEET)

The U.S. Department of Energy Office of Nuclear Energy (DOE-NE) sponsors a crosscutting technology development (CTD) program addressing common instrumentation & controls (I&C) needs in all DOE-NE sponsored programs. In 2012, DOE-NE initiated the Nuclear Energy Enabling Technology (NEET) Program to conduct research, development, and demonstration (RD&D) in crosscutting technologies that directly support and enable the development of existing, new and advanced reactor designs, and fuel cycle technologies. These technologies will advance the state of nuclear technology, improve its competitiveness, and promote continued contribution to meeting our Nation’s energy and environmental challenges. The NEET Program has spurred innovation in the field of sensors and instrumentation, advanced methods for manufacturing, and cyber security. The Advanced Sensors and Instrumentation (ASI) program is one element of the NEET CTD that has spurred innovation in the measurement science field by funding research on sensors, instrumentation and controls, communication, and advanced analytics that measure system parameters, gauge component control input, and provide power plant owners and operators critical awareness so they can plan and safely manage operational evolutions. The NEET ASI Program has carried out research and development (R&D) required to develop and deploy innovative and advanced sensors, and instrumentation and control capabilities for current and future nuclear energy systems, and to enable the advanced technologies essential to NE’s R&D efforts needed to realize mission goals. The concept of technology readiness assessment is helpful for the classification of instrumentation technology as part of the program strategy. A technology readiness assessment evaluates technology maturity using the Technology Readiness Level (TRL) scale and was pioneered by the National Aeronautics and Space Administration in the 1980s for space technology. It has recently been adopted to advance fuels and materials. The NEET ASI program objective is to mature instruments technology to TRL 6, which is “demonstration of the technology in relevant environment.” While there may be instances in which a different strategy is justified, the aim of the program is to respond to DOE program and stakeholder needs for nuclear instrumentation then hand off the technology after demonstration for integration in a more complex system, for example an irradiation test, experimental loop or a plant component such as the core, primary system or heat exchanger. A mechanism to continue some level of support from NEET ASI during and after the adoption (for example, to maintain fabrication and calibration capabilities) will be defined as the first example of technology hand off comes to fruition. In addition, several paths exist within DOE to complement NEET ASI activities to extend the maturity beyond TRL, for example through GAIN, technology commercialization funding, and small-business programs. Role of NEET ASI CINR projects in the TRL space, and integration with direct funded demonstration.

46 INSTRUMENTATION RELATED TO NUCLEAR SCIENCE AND ↗

Ex-Situ Surface Characterization Studies and Boundary Plasma Diagnostic Development for DIII-D (Final Report)

This report details the accomplishments for award DE-SC0016318, which sponsored collaborative research activities between the University of Tennessee-Knoxville and the DIII-D experiment at General Atomics, led by the PI (Donovan), which officially began on August 1, 2016 and ended July 31, 2020. Though the official start date for the award was August 1, 2016, the PI had already initiated collaborative activities with DIII-D during 2015 supported by internal UTK start-up funds utilized by the PI. This prior work enabled UTK to have a substantial role in the June 2016 Metal Rings Campaign (MRC). The DOE funds then provided the opportunity to expand the UTK team with funding for students and a postdoc to perform ex-situ analysis on the wide array of samples exposed during the MRC and develop more sophisticated analysis tools and interpretive modeling techniques.

70 PLASMA PHYSICS AND FUSION TECHNOLOGY↗

FY2021 PAIN Portable Neutron Radiography Project October 1-15, 2020 Effort

At the start of FY2021, the PAIN portable neutron radiography project had approximately $26K of carryover funding from the FY2020 NA-22 DNN R&D PAIN budget that was used during the period October 1-15, 2020. During this period, the carryover funding was used to continue work on qualification of the Adelphi Technology DD108.2i neutron generator prior to returning for the DT upgrade, and further develop the neutron radiography modeling and simulation effort. This project is also being funded through NA-84 for FY2021.

62 RADIOLOGY AND NUCLEAR MEDICINE↗

Advanced Instrumentation Testbed (AIT) - antiNeutrino Experiment One (NEO) (Q1 FY2021)

In anticipation of the planned June 2021 design review, conceptual design, costing, and documentation efforts continued. The quarter was highlighted by the completion of three significant milestones: 1) 50% conceptual design and costing of the AIT facility, 2) bottom-up cost estimates for NEO, and 3) parametric NEO performance estimates (via the Big Trade Study). Because cost estimates exceed available funding levels, the project team started (late Dec 2020) a value engineering/pivot exercise to align costs with available funds. This exercise is anticipated to consume the project team for most of Q2. The end-result expectation (of the exercise) is a programmatically feasible and scientifically relevant AIT-NEO conceptual design that is aligned with available funds.

42 ENGINEERING↗

Deferred Payment Loans for Energy Efficiency: Case Study of a Low- and Moderate-Income Home Improvement Financing Model and Potential Application to Energy Efficiency Projects

Energy efficiency can provide important benefits for low- and moderate-income households such as lower utility bills and healthier, more comfortable homes, but the upfront costs of efficiency improvements are often a barrier. Extending financing to these households can help overcome this barrier but presents its own challenges, including the financial burden of monthly payments and the risk of incurring the repercussions of nonpayment. The deferred payment loan model can give low- and moderate-income households access to energy efficiency without the financial burden of monthly payments while mitigating the risk of nonpayment. From a program sponsor perspective, when grant funds are limited or unavailable, the model provides certain advantages of both grants and financing. Like a grant, target recipients have minimal risk, but like a loan, funds can serve multiple participants since the funding can be revolved. Organizations in several parts of the country have employed the model to provide safe, healthy homes by paying for home repair and home improvement. This case study provides a detailed overview of the deferred payment loan program for home improvements known as the Home Repair Program run by the Opportunity Council, a Community Action Agency (CAA) serving three counties in Washington State. This case study also considers two other CAA-administered deferred payment loan programs – one in Wisconsin and another in Michigan.

32 ENERGY CONSERVATION, CONSUMPTION, AND UTILIZATI↗

United States Nuclear Data Program Annual Report for FY2021

The US Nuclear Data Program (USNDP) Annual Report for Fiscal Year 2021 (FY21) summarizes the work of USNDP for the period of October 1, 2020 through September 30, 2021, with respect to the Work Plan for FY21 that was prepared in 2019. The Work Plan and Final Report for USNDP are prepared for the DOE Office of Science, Office of Nuclear Physics. The support for the nuclear data activity from sources outside the nuclear data program is described in the staffing table and in Appendix A. This leverage amounts to about 3.24 FTE scientific, to be compared with 25.095 FTEs at USNDP units funded by the DOE Office of Science, Office of Nuclear Physics. Since it is often difficult to separate accomplishments funded by various sources, some of the work reported in the present report was accomplished with nuclear data program support leveraged by other funding.

73 NUCLEAR PHYSICS AND RADIATION PHYSICS↗

Laboratory Directed Research and Development Program Activities (LDRD 2021 Annual Report)

Each year, Brookhaven National Laboratory (BNL) is required to provide a report of its completed Laboratory Directed Research and Development Program (LDRD) projects to the Department of Energy (DOE) Office of Scientific and Technical Information in accordance with DOE Order 413.2C Chg1 (MinChg) dated August 2, 2018. This report provides a detailed look at the scientific and technical activities for each of the LDRD projects funded by BNL in FY 2021, in fulfillment of that requirement. In FY 2021, the BNL LDRD Program funded 68 projects, 24 of which were new starts, at a total cost of $17.1M. The investments that BNL makes in its LDRD program support the Laboratory’s strategic goals. BNL has identified six scientific initiatives that define the Laboratory’s scientific future and that will enable it to realize its overall vision. This requires simultaneous excellence in all aspects of BNL’s work – from science and operations, to external partnerships with the local, state, and national communities, and beyond. This is enabled by safe, efficient, and secure operations; by an unwavering commitment to a diverse, equitable, and inclusive environment, including workforce development, both with staff and reaching out to the community; and by a strong focus on renewed infrastructure. The six scientific initiatives are: (1) Nuclear Physics: The Electron Ion Collider, (2) Clean Energy and Climate, (3) Quantum Information Science and Technology, (4) Discovery Science Driven by the Human-AI-Facility Integration, (5) High Energy Physics: Building for Discovery, and (6) Accelerating Isotope Production: Ensuring the Nation’s Supply is Secure. The funded projects support BNL’s six scientific initiatives and priority programs as well as new areas of research and competencies at the Laboratory that are consistent with the Laboratory’s vision and mission. In total, these LDRD investments supported 80 postdoctoral researchers and graduate students in whole or in part and resulted in 136 publications and 3 awards. This Program Activities Report represents the future of BNL science; it is an impressive body of exploratory work that investigates many scientific and technical directions in support of the DOE and BNL missions.

07 ISOTOPE AND RADIATION SOURCES↗

Creating an Inter-Tribal Technical Assistance Network in the Northwest Arctic

The US Department of Energy-Office of Indian Energy's (DOE-IE) support for NANA's establishment of an Inter-Tribal Assistance Network in the Northwest Arctic was a ground-breaking effort that led to many individual community successes and a regional escalation of clean energy for our tribes. Before this grant award was initiated, high penetration renewable-diesel hybrid systems were primarily aspirational. Now, after five years of intensive technical assistance and multi-institution collaboration and funding, the NANA Region has three high penetration solar-wind-battery-diesel hybrid systems and one solar-battery-diesel hybrid system fully operational with diesel-off operation occurring regularly; another solar-battery-diesel hybrid system fully funded with an RFP for construction targeted for 2023; a current grant application that was awarded to begin the final design process for solar-battery-diesel hybrid systems for four other villages in the region; and initial funding to begin a high penetration wind-battery-diesel system for the remaining village in the region. Clearly, our goal to demonstrate and replicate high penetration renewable hybrid technology has been accomplished and is increasing in scale and pace.

29 ENERGY PLANNING, POLICY, AND ECONOMY↗

Analysis of Benefits Associated With Projects and Technologies Supported by the Clean Transportation Program

The California Energy Commission's Clean Transportation Program (CTP) supports a wide range of alternative, low-carbon fuel and vehicle projects. This report improves upon the 2014 Alternative and Renewable Fuel and Vehicle Technology Program (ARFVTP) Benefits Report(the former name of the Clean Transportation Program), which focused on two components of benefit calculation: expected benefits and market transformation benefits. The "expected benefits" are defined as benefits that accrue because of the direct displacement of petroleum-based fuels or vehicle technologies. The "market transformation benefits" accrue because of CTP funding shifting the underlying market dynamics and accelerating the adoption of alternative fuel vehicles. This report documents the updated methods used in the benefits analysis in 2014 and applies them for this 2021 Clean Transportation Program Benefits Report. The project team used data collected from CTP projects funded from 2009 to the third quarter of 2021 to estimate the benefits between 2021 and 2030. CTP projects valued at $\$898.3 million$ were assessed (out of $\$1.04 billion$ funded) to estimate expected benefits of 249 million gallons per year petroleum reduction and 2.79 million metric tons per year of carbon dioxide equivalent greenhouse gas (GHG) reduction in 2030. Market transformation benefits are additive to the expected benefits and were estimated with high and low ranges for the 315 relevant projects evaluated. The market transformation benefits' GHG reductions are estimated as 2.2 million to 6.2 million metric tons of carbon dioxide equivalent per year and the petroleum reductions as 145.3 million to 671.5 million gasoline gallon equivalents per year in 2030. Combining both benefit types, the CTP projects can make significant progress toward meeting California's long-term GHG and petroleum fuel use reduction goals.

29 ENERGY PLANNING, POLICY, AND ECONOMY↗

High-Temperature Gas-Cooled Reactor Research Survey and Overview: Preliminary Data Platform Construction for the Nuclear Energy University Program

Since the U.S. Department of Energy Office of Nuclear Energy initiated the Nuclear Energy University Program (NEUP) in 2009, there are 29 NEUP projects focusing on high-temperature gas-cooled reactor (HTGR) research up to July 2022. The resultant research product, either experimental or computational, were published as final NEUP reports, journal articles and conference proceedings. However, these federally funded products have been scattered and sometimes cannot be easily accessed. To improve access to this valuable HTGR validation data and optimize the return on the significant investment made by the Department of Energy, the Advanced Reactor Technologies (ART) Gas-Cooled Reactor (GCR) program started a survey of completed and ongoing HTGR NEUP projects to develop a public-access database specific for HTGRs applications that can be used to retrieve computational fluid dynamics and system code validation data. This effort will help guide future NEUP-funded research, define new state of the ART Phenomena Identification and Ranking Table (PIRT), and promote the usage of this data in the codes validation matrices. This report provides an overview of the NEUP-funded HTGR-related research projects from Fiscal Year (FY) 2009–2021 and identifies validation knowledge gaps still existing in HTGR thermal-fluid research. A preliminary data platform has been developed for the 29 NEUP projects investigating HTGR thermal hydraulics, including their final reports as well as the available scientific publications. As an ultimate goal for this work, the ART-GCR program will create a central database at Idaho National Laboratory to identify, organize, and store these datasets generated by experimental investigations or computational models, experimental facility descriptions, and publicly-available academic products from the HTGR-related NEUP projects and provide future guidance for the storage and transmission of important project documentations for later NEUP projects as well.

22 GENERAL STUDIES OF NUCLEAR REACTORS↗

Energy Northwest – Horn Rapids Solar and Storage: A Techno-economic Assessment

In 2017, as part of the second round of funding from the Washington State Clean Energy Fund, the Washington State Department of Commerce granted up to $\$3$ million in matching funds to develop an estimated $6.5 million project that deployed a 4-MW, 20-acre solar generating array of photovoltaic (PV) panels coupled with a 1 MW/4 MWh (nameplate capacity) lithium-iron-phosphate battery energy storage system (BESS) in Richland, Washington. The combination of PV and BESS will provide a predictable, renewable generating source and will also serve as a training ground for solar and battery technicians throughout the nation. This report documents the techno-economic assessment of the integrated system, including the definition of use cases and applications, collection and preparation of data and input parameters, development of modeling and optimization methods, case studies, and analysis results.

14 SOLAR ENERGY↗

Energy-dependent optimization of the prompt fission neutron spectrum with CGMF

Throughout the course of FY21, significant effort was put into investigating models within the LANL developed Hauser-Feshbach fission fragment decay code, CGMF, to understand and potentially solve the long-standing challenge of a too-soft prompt fission neutron spectrum, PFNS. Several inputs and models to CGMF were investigated, including the discrete nuclear levels, the optical model potential, level densities, and the fission fragment initial conditions. Some of the global models within CGMF led to a slight hardening of the neutron spectrum—particularly the likely incomplete discrete levels in through which γ-rays decay—but none of the changes where large enough for the tail of the PFNS to reproduce experimental data. A significant hardening of the spectrum tail was observed when the fission fragment initial conditions were optimized based on their sensitivities to the PFNS data for thermal incident neutrons. In this way, the parameters for the CGMF mass and total kinetic energy distributions, along with the spin cutoff factor were adjusted to better reproduce the experimental PFNS measurements. This optimization hardened the tail of the PFNS slightly but led to unphysical mass distributions for the fission fragments before neutron emission. It was clear from the above that we do not expect to be able to produce an evaluation-quality PFNS with CGMF in the near future. Challenges at thermal will persist–and possibly worsen–with increasing incident energy, where more models are needed to completely describe the fission. Basic-science research funding exceeding the amount available and scope of our NCSP funds would be needed to tackle this decade-long challenge impacting many fission-fragment event generator. And, in fact, Amy Lovell won LDRD ECR funding to do so over the next few years. Therefore, we focused in FY22 on extending evaluation capabilities beyond thermal incident neutrons, to take into account the incident energy dependence of the PFNS and fission fragment initial condition distributions in CGMF. We chose to set up the evaluation methodology to perform PFNS evaluations with CGMF across incident-neutron energies, in order to have it readily available for future NCSP evaluations when the PFNS from CGMF has improved. In this report, we outline the evaluation methodology, along with the results of the optimization, including full model calculations with CGMF using the evaluated parameters.

73 NUCLEAR PHYSICS AND RADIATION PHYSICS↗

Improved Value of the Gasoline and Fuel Oil Co-Product Fractions Generated by the PNNL/LanzaTech Alcohol-to-Jet Process (Final Report)

The BETO-funded PNNL collaboration with LanzaTech, Inc. utilizes patented technology to address the need for low aromatic jet fuel blendstocks. The PNNL/LanzaTech alcohol-to-jet (ATJ) process converts ethanol from LanzaTech’s syngas fermentation process to jet-range isoparaffins. The aim of this Cooperative Research Development Agreement (CRADA) project was to improve the commercial viability of the LanzaTech/ PNNL ATJ process by developing two new co-product options. Two Focus Areas (FA) were explored: FA1) Increasing the RON of the lighter-than-jet gasoline fraction above 98; and FA2) Creating a synthetic lubricant base oil from the heavier-than-jet fraction. For FA 1, multiple processing approaches were evaluated, and RONs ranging from 96-100 were obtained, each comprising different processing costs. The most cost effective approach identified was a single-step process and yielded a liquid product of 97. Thus, additional development is required to obtain a RON > 98. We will continue work on this focus area with separate Direct Funding Opportunity (DFO) funding within the DOE-BETO Co-Optima Consortium (expected to begin Q2-FY21). Experimental work will focus on i) increasing single pass conversion to > 50%, and ii) obtaining a > 98 RON product. Technoeconomic analysis performed in this project suggests cost competitiveness provided these technical targets can be met. For FA2, multiple approaches were evaluated for increasing the viscosity index (VI) of the heavier-than-jet fraction to at least 120 in order to meet ASTM specifications for a Group III Base Oil (ASTM D6074). All other ASTM specifications are already met. A viscosity index of 115 was obtained, and with minimal undesirable cracking products. We believe a VI of 115 is about the highest possible from a catalytic approach, per review of the patent literature. In order to further increase the VI to > 120 we believe additives and/or liquid-liquid extraction is required. TEA performed earlier in the project suggests cost competitiveness with market prices assuming cracking byproducts are kept < 10 wt.%. If TEA updated with this additional processing still projects economic feasibility next steps could be taken in a subsequent effort.

02 PETROLEUM↗