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Search indexed NASA NTRS and DOE OSTI research on propulsion, heat transfer, battery materials and energy systems. Follow report and document links to the original sources.

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All sourcesNASA NTRSDOE OSTI
DOE OSTI2023

Environmental and Social Justice Implications of a Circular Plastics Economy

A consideration of environmental justice (EJ) and social justice (SJ) is critical to minimize the impacts of technology deployment on local communities. SJ and EJ impacts occur in specific geographic locations but can cover a wide range of effects (e.g., air pollution, access to clean water, jobs, wages, and education), making it challenging to determine which metrics are appropriate to evaluate and which data are required. Thus, there is currently a gap in the analysis community's ability to provide useful and universal EJ and SJ metrics for emerging technologies. Here, we present a draft framework for evaluating the human health, local environment, and job implications of processes that are at an early or middle technology readiness level (TRL). Using a case study on enzymatic polyethylene terephthalate (PET) recycling (middle TRL), we demonstrate how to qualitatively and quantitatively assess these EJ and SJ metrics for a circular economy context and how to communicate the results in a manner beneficial to both researchers and local communities.

circular economy↗
DOE OSTI2025

Heuristic Evaluation Methods Applied to a Predictive Maintenance Chatbot

The need for an accessible iterative approach for evaluating prospective artificial intelligence (AI)/ML based technologies in the nuclear industry is needed, given the nature of algorithms and rapid advancements. This paper explores existing heuristic design principles for user-centered design and evaluates them based on their relevancy and usefulness for evaluating AI/ ML based technologies. Researchers at the Idaho National Laboratory (INL) have developed a machine learning software application called VIsualization for PrEdictive maintenance Recommendation (VIPER), which is used to help users understand and engage with the tool to learn more about work orders, data used, predictive maintenance, and machine learning (ML) algorithms. Early user research studies used to access VIPER’s technology readiness level have occurred; however, there is room for further improvement of the software through heuristic evaluations along with other methods and user testing. This work describes the applicability of heuristic evaluation methods and cognitive walkthroughs to help ensure human readiness for prospective AI/ ML based applications, using VIPER as a candidate use case. This work supports industry in ensuring that prospective AI/ML based technologies are usable and useful for plant personnel at nuclear power plants, ultimately leading to their safe, reliable, and efficient use.

99 - GENERAL AND MISCELLANEOUS↗
DOE OSTI2025

Heuristic Evaluation Methods Applied to a Predictive Maintenance Chatbot

The need for an accessible iterative approach for evaluating prospective artificial intelligence (AI)/ML based technologies in the nuclear industry is needed, given the nature of algorithms and rapid advancements. This paper explores existing heuristic design principles for user-centered design and evaluates them based on their relevancy and usefulness for evaluating AI/ ML based technologies. Researchers at the Idaho National Laboratory (INL) have developed a machine learning software application called VIsualization for PrEdictive maintenance Recommendation (VIPER), which is used to help users understand and engage with the tool to learn more about work orders, data used, predictive maintenance, and machine learning (ML) algorithms. Early user research studies used to access VIPER?s technology readiness level have occurred; however, there is room for further improvement of the software through heuristic evaluations along with other methods and user testing. This work describes the applicability of heuristic evaluation methods and cognitive walkthroughs to help ensure human readiness for prospective AI/ ML based applications, using VIPER as a candidate use case. This work supports industry in ensuring that prospective AI/ML based technologies are usable and useful for plant personnel at nuclear power plants, ultimately leading to their safe, reliable, and efficient use. PowerPoint for conference that was reviewed in PRS and LRS PRS/CON-25-05379 and INL/CON-25-82946

99 - GENERAL AND MISCELLANEOUS↗
DOE OSTI2022

A Methodology for Evaluating Operator Usage of Machine Learning Recommendations for Power Grid Contingency Analysis

This work presents the application of a methodology to measure domain expert trust and workload, elicit feedback, and understand the technological usability and impact when a machine learning assistant is introduced into contingency analysis for real-time power grid simulation. The goal of this framework is to rapidly collect and analyze a broad variety of human factors data in order to accelerate the development and evaluation loop for deploying machine learning applications. We describe our methodology and analysis, and we discuss insights gained from a pilot participant about the current usability state of an early technology readiness level (TRL) artificial neural network (ANN) recommender.

29 ENERGY PLANNING, POLICY, AND ECONOMY↗
DOE OSTI2022

Micro-Environmental Control System (Final Report)

This project developed an innovative micro-environmental control system (µX) that enables office buildings to reduce energy used for heating and cooling by 15% or more. The µX is a compact, quiet, and ergonomic device that is designed to be installed under an office workstation; it is designed to maintain occupant comfort when room thermostat setpoints are incremented by 4°F or more (warmer in the summer and cooler in the winter) to save energy. When ambient room temperatures are outside of the usual comfort range, the µX maintains occupant comfort by delivering personalized cooling or heating locally to each office worker. The µX provides personalized cooling using a micro vapor compression system that includes a new high-performance micro-scroll compressor and a novel thermal storage unit. The vapor compression system operates at night to freeze a phase-change material (PCM). During the workday, the cooling stored in the PCM is released as a cool breeze of air to make occupants more comfortable. The micro-scroll compressor was developed specifically for this application; it is smaller than any of its type, minimizing the amount of power needed. In heating mode, the µX maintains occupant comfort using a foot heating mat with an infrared reflective box. The µX R&D project was conducted by Syracuse University in collaboration with United Technologies Research Center, Air Innovations, Bush Technical, and Cornell University. Over the course of the initial three-year project, the team developed and evaluated four versions of the unit, advancing the concept to Technology Readiness Level 6. The capabilities of individual proof-of-concept prototypes were verified in tests that were conducted with: 1) units in psychrometric chambers, 2) an instrumented manikin in a laboratory, and 3) human subjects in laboratories that simulate office environments. The tests verified that the µX prototypes met or exceeded all performance targets required to enable office buildings to reduce energy used for heating and cooling by 15% or more by maintaining occupant comfort when thermostat setpoints are incremented by 4°F or more.

25 ENERGY STORAGE↗
DOE OSTI2022

Grid-Ready Flexible Transformers for Resilient Transmission Networks

Today’s transmission networks extend for hundreds of kilometers, transferring significant amounts of electrical energy. For every country, there are sort of “back- bone” lines, where a massive failure of transformers would create serious challenges to sustain a reliable energy supply. Natural phenomena and human driven actions could be triggers of such catastrophic events. For large utilities, or groups of utilities, it would be highly convenient to count with “flexible transformers”, which could be used as replacements for different voltage levels and with impedance adjustable to match optimum local requirements of impacted substations. Currently applied “emergency transformers” are fixed-impedance devices. In this contribution, a new concept of flexible, “future-grid ready” type of power transformers, specially devised for transmission networks is explained. This transformer has adjustable impedance features, which could be on-line operated. The concept has been proven to be functional and stable in the factory lab and in the field, by means of a prototype autotransformer of of 100 MVA, 165/69 Kv.

impedance of transformers↗
DOE OSTI2023

Explainable Artificial Intelligence Technology for Predictive Maintenance

The domestic nuclear power plant fleet has relied on labor-intensive and time-consuming preventive maintenance programs, thus driving up operation and maintenance costs to achieve high-capacity factors. Artificial intelligence and machine learning can help simplify complex problems, such as diagnosing equipment degradation, to enable more effective decision-making. Benefits will be felt not only within existing analog and digital instrumentation and control, but also work processes, the integration of people with technology, and most importantly, the business case. Together, these hold promise to make nuclear power more efficient and reduce costs associated with operation and maintenance. While the artificial intelligence and machine learning technologies hold significant promise in the nuclear industry, there are challenges or barriers to their adoption. This report outlines the those different machine learning adoption barriers (categorized as historical, technical, economic, regulatory, and user) that the industry must overcome to realize the full benefits of artificial intelligence and machine learning capabilities for long-term economic sustainability. This report also provides solutions for some of these barriers by focusing on improving the explainability of machine learning to encourage trust from the end-user. Trust and explainability are essential to machine learning adoption. This report focuses on research-developed solutions to some of these barriers while analyzing a non-safety-related system, namely the circulating water system. This system frequently experiences waterbox fouling which our models preemptively diagnoses then explains to the operator how those conclusions were reached. This report presents and discusses the inherent trade-off between machine learning performance (in terms of accuracy) and explainability, where highly accurate machine learning methods (such as deep-learning) are the least explainable, and the most explainable methods (such as decision trees) are the least accurate. In addition, explainability of artificial intelligence techniques in terms of transparency and post-hoc metrics are discussed. This report outlines the importance of data novelty and value of new information in evaluating both the explainability and trustworthiness. Novelty detection helps to establish consistency or inconsistency of the new data with respect to the training data. On the other hand, value of information could be a part of the user-centric visualization recommendation system that request additional information to be collected, thereby strengthening the machine learning outcomes. During this project, a copyrighted user-centric visualization that aligns with a human-in-the-loop approach was developed. The user-centric visualization presents different levels of information and can be tailored as per user credentials to gain user confidence. One of the salient features of the user-centric visualization is it presents machine learning methods with explainability metrics. A simplified version of the user-centric visualization was presented to 32 users with varying levels of machine learning expertise. Feedback was solicited to test the hypothesis that the app contained sufficient explainability and that the users would trust the algorithm. Overall, the app was positively received, and the hypothesis was supported. This report discusses the trust-but-verify framework – a potential approach to build user trust artificial intelligence. The framework discusses trust from the human level to artificial intelligence level. The fundamental premise of the trust but verify framework is derived from an observation of nuclear safety culture (i.e., nuclear power plant personnel do not rely on a singular source of data to make a decision). This also ties back to the user-centric visualization that presents different levels of information to achieve both explainability and trustworthiness of artificial intelligence. Even so, the adoption of artificial intelligence and machine learning in the nuclear industry faces additional barriers, namely regulatory and stakeholder readiness. To overcome these challenges, new solutions must gain regulatory approval and cater to stakeholder needs. The Nuclear Regulatory Committee has a 5-year strategic plan which prepares them for reviewing artificial intelligence technologies in licensee submissions. Early and frequent engagement with the regulator is encouraged. Additionally, artificial intelligence solutions should incorporate human-in-the-loop considerations and offer explainability. Stakeholders must prepare by hiring or training staff to adapt to advancing technology in everyday plant tasks.

22 GENERAL STUDIES OF NUCLEAR REACTORS↗
DOE OSTI2022

NPP Simulators for Coupled Thermal and Electric Power Dispatch

The Light Water Reactor Sustainability (LWRS) program within the United States Department of Energy supports extending the operation of the U.S. commercial nuclear power plant (NPP) fleet. Within the LWRS program, the Flexible Plant Operation and Generation (FPOG) Pathway works to diversify the revenue streams of light water reactors (LWRs) by opening opportunities for the co-generation of non-electric products in addition to supplying electrical power to the grid. Recent events have added greater motivation to these efforts. For example, the recent Inflation Reduction Act (IRA) passed by the U.S. federal government offers substantial tax incentives for producing clean hydrogen, the technology readiness level of dispatchable and high-efficiency hydrogen production has dramatically increased in a short time, and societal response to world climate change is driving a transition away from fossil fuels. Producing hydrogen with maximum efficiency using nuclear power requires dispatching both electrical and thermal power from the nuclear plant to the hydrogen plant, so testing concepts of operations for combined electrical and thermal power dispatch (TPD) from an NNP to a hydrogen plant is of interest. This report documents achievement of the Light Water Reactor Sustainability (LWRS) program milestone “Install and demonstrate a vendor-developed simulator on the Human Systems Simulation Laboratory (HSS) for dispatch of LWR electrical power to a close-coupled electrolysis plant” with a due date of Dec. 22, 2022. Several factors provide motivation for this effort. Coupling the power generation deck of a nuclear power plant to a hydrogen production facility introduces new possibilities for operational transients that must be addressed. In particular, the performance of the integrated system during startup and shutdown of the hydrogen production facility, as well as offnormal conditions, need to be evaluated to ensure there are no adverse effects on the operation of the existing NPP. The concept of operations involving the NPP, the hydrogen plant, and the electric power grid must be tested using NPP simulators and operating procedures that have been modified for TPD operations. These tests must also include dynamic simulations of the coupled tertiary thermal and electric loads as well as coordinated activities with NPP operators, tertiary load operators and grid power coordinators. The report summarizes progress in developing and testing full-scope NPP simulators at the HSSL, including a generic BWR simulator from GSE Systems, Inc. and generic PWR simulator from Westinghouse. In the case of the TPD-GBWR Simulator from GSE Systems, Inc., a BWR is thermally coupled to a high temperature electrolysis (HTE) plant that produces hydrogen and oxygen from de-ionized water. The hydrogen plant is not explicitly simulated but only included as a transient heat sink. A thermal power dispatch (TPD) system transfers heat between the steam systems at the BWR and the hydrogen plant. Operational results from two versions of the modified simulator are presented. The first version uses synthetic oil as a heat transfer fluid in a closed delivery heat loop (DHL) that generates steam at the hydrogen plant. The second version uses steam as the heat transfer fluid in a delivery steam line (DSL) to provide steam to the hydrogen plant. For both versions, the estimated thermal power delivery distance is approximately one kilometer. The amount of thermal power dispatched in the simulators is 15% of the total reactor thermal power such that the simulators provide a tool to study the feasibility of coupling a BWR to industrial processes that benefit from a combination electrical and thermal power dispatch. Ongoing work within a CRADA is also developing a full-scope PWR simulator provided by Westinghouse for both thermal and electric power coupling. This simulator is based on a PWR plant with two three-loop Westinghouse reactors. Westinghouse PWRs are sufficiently similar that a simulator of a three-loop reactor is an appropriate representation for two-loop and four-loop PWR reactors. The three-loop simulator will initially be modified for close-coupling to a 100 MW HTE hydrogen production plant that will require approximately 25 MW of thermal power while operating at its maximum rated capacity. The simulator testing will include full coupling to dynamic simulations of a hydrogen production plant and a representative bulk electric grid. The simulator provided by Westinghouse is similar to the GPWR simulator that INL has already obtained from GSE Systems but has a few important added benefits. First, the Westinghouse simulator is based on digital controls and has additional screens that can be called up to show parameter trends to assist operators in decision-making. The Westinghouse simulator also has upgrades to the controls and hardware representations, such as valve actuators, that make it more realistic and flexible in terms of accurately sim

99 GENERAL AND MISCELLANEOUS↗
DOE OSTI2022

Toward Human-Centric Transportation and Energy Metrics: Influence of Mode, Vehicle Occupancy, Trip Distance, and Fuel Economy

Traditional metrics measuring transportation and energy outcomes can be augmented to better represent impacts on people's lives and systems-level performance. In this context, this study introduces two novel metrics: road capacity (as number of people traveling and accessing services) and energy intensity (as energy use for people traveling and accessing services). Current national-level distributions of available data in the United States for factors contributing to the two new integrated metrics are used as context to evaluate potential outcomes. These factors include vehicle occupancy, mode share, fuel economy, and trip distance. Variations in input values provide insights on how these factors shape efficiencies in road capacity and energy intensity. Parametric sensitivity analysis indicates that the impact of each input depends upon the metric being evaluated. For the human-centered road capacity mobility metric, increasing vehicle occupancy has the largest effect – twice that of increasing mode share for bike, walk, and transit. For the energy intensity mobility metric, the effect of improving fuel economy is the largest. However, when the focus is on accessibility (instead of mobility), for both metrics the effect of lowering average trip distance is the largest. Additionally, a novel interactive tool to visualize the results for various parameter combinations makes the metrics practitioner ready. The findings suggest that the diffusion of new human-centric metrics that benchmark outcomes associated with road capacity and energy may be significant in motivating new sustainable transportation investments and efficient utilization of infrastructure, mobility assets, and services.

ADVANCED PROPULSION SYSTEMS↗
DOE OSTI2024

Considerations for Introducing Artificial Intelligence into Nuclear Power Plants

Advanced computational tools and techniques such as artificial intelligence and machine learning (AI/ML) can transform the nuclear power industry. This is necessary given that the economic viability of the existing fleet is in jeopardy and its labor-centric approach to operations and maintenance. Currently, AI/ML research is being undertaken for reactor system design and analysis including fault and accident prognosis, nuclear risk analysis such as plant safety and security evaluation, and plant operations and maintenance including predictive maintenance. Applications include both existing and advanced reactor technologies with the aim of improving operational and business efficiencies. Most every aspect of the organization can benefit, from instrumentation and control, to work planning, to human-machine interactions and business management. AI/ML in nuclear can simplify complex problems and produce more effective decision-making. Nonetheless, careful consideration must be given to the implementation of an AI/ML initiative. The aims of this research are to 1) review barriers to AI/ML adoption within the nuclear power industry, and 2) suggest potential solutions. These barriers are organized along five distinct categories (Figure 1) that are interconnected. The first are historical barriers that track the industry’s development over the decades including worldwide nuclear events that shaped public perceptions. The resulting federal scrutiny and intense safety culture that emerged are discussed. Technical barriers to AI/ML adoption are considerable, and include data privacy concerns, data governance, and the current lack of AI/ML expert knowledge at the plants. The main business case barrier remains cost, but an absence of an industry-wide vision and wide-scale adoption also produces reluctance. Stakeholder readiness is reviewed with special attention given to regulatory readiness. The 5-year strategic plan for AI readiness recently published by the U.S. Nuclear Regulatory Commission is highlighted. Last, adoption barriers at the user level are addressed including the importance of user experience and explainable AI. The AI adoption barriers described here are inter-related and ideally should be addressed in a holistic fashion.

46 INSTRUMENTATION RELATED TO NUCLEAR SCIENCE AND ↗
DOE OSTI2025

Model-based Hierarchical Reinforcement Learning for Improved Physical Security Design: A Prototype

Prior work in FY24 developed an adversarial AI agent aid in path analysis of physical protection systems. This agent, trained using a model-based reinforcement learning algorithm, was able to successfully learn the most vulnerable path in facilities. It was able to extend the current state of practice for physical protection design by exhibiting dynamic behavior based on current environmental conditions. Whereas PathTrace largely performs a static, graph-based analysis, the AI agent was able to make decisions based on relative position in the facility, current conditions (was the adversarial agnet discovered?), and proximity to secondary targets. The agent demonstrated some novel capabilities, but had limitations that need to be resolved before it can be used for production purposes. For example, the adversarial agent generalizes poorly and takes a relatively long time to train. Nonetheless, there is still considerable promise for developing the adversarial agent further in order to explore even richer, more dynamic behaviors (e.g., adversary motivations, environmental debris, and more). This work considers a complementary idea; development of a planning agent. The planning agent is envisioned as an auto-complete-like tool that can help accelerate security system design by human experts. The agent would respect existing barriers and sensors placed by a human expert while offering cost-effective suggestions (i.e., implicitly balancing effectiveness with cost) to improve the design. The goal is for this agent to be part of an expert’s toolbox, not to totally upend the current state-of-practice, or to displace human experts. The ultimate goal would be concurrent training of both the adversarial and planning agent together, to learn entirely through self-play. This would represent an entirely new way of performing system deign. We selected a hierarchical, model-based reinforcement learning algorithm to serve as the planning agent. This is an extension of concepts used in the prior FY24 adversarial agent work. There, we had a single agent acting an environment. Here, we have two different sub-agents (policies), working together, to form a complete agent. There is a manager policy, which can select abstract goals on slower time scales, and a worker, which performs primitive actions to reach goals selected by the manager. It is worth noting that this class of algorithm is challenging to work with. From our understanding, our work is one of the first successful uses of model-based reinforcement learning (MBRL) in nuclear energy1 , and likely the first hierarchical model-based reinforcement learning application in nuclear energy. Further, this work is one of the first known attempts to apply AI to perform a design tasks in nuclear energy. Consequently, there were significant implementation challenges and the bulk of the work was focused on successful implementation and algorithm design. The results presented here are very low technology readiness level as a consequence of the lack of related literature, but still represent a significant step forward in the pursuit of applied AI for design.

42 ENGINEERING↗
DOE OSTI2022

Calista Energy Management Assistance Initiative

The Calista Energy Management Assistance Initiative (CEMAI) provided technical assistance and capacity building for 56 Tribal communities in the Calista Region of Alaska as an effort to reduce costs, improve operational efficiency, enhance human capacity, and job opportunities. CEMAI catalyzed and guided numerous efforts into a consolidated and effective initiative that brought rural energy best practices, economies of scale, operational efficiencies, human capacity, and economic development to the forefront. Calista Corporation (Calista) is one of thirteen Alaska Native Regional Corporations created under the Alaska Native Claims Settlement Act of 1971 (ANCSA) in the settlement of aboriginal land claims. Calista was incorporated in Alaska on June 12, 1972. The Calista Region covers Alaska’s Bethel and Kusilvak (formerly Wade Hampton) Census areas and includes 56 communities. Calista partnered with Nuvista Light and Electric Cooperative (Nuvista) on the Department of Energy, Office of Indian Energy (DOE-OIE), CEMAI project. Nuvista is a non-profit that seeks to reduce energy costs and provide renewable sources of energy to the people of western Alaska. It is founded and led by a non-profit, Tribe, Native Corporations (including Calista), energy organizations, and Alaska Native stakeholders in the Yukon-Kuskokwim Delta (YK-D) Region; covering the same service boundaries and communities served by Calista. This partnership allowed Calista to direct the project work with local energy experts to respond to community needs. In this arrangement, Calista added credibility and regional accountability while Nuvista added energy-specific expertise and skill set in project management. The delivery of the CEMAI Workplan included short-term or on-demand responses to specific technical assistance requests from communities in addition to longer-term strategically directed activities such as workshops, coordinated training, and capacity development efforts across the region. CEMAI’s Workplan aimed to enhance communities’ readiness for establishing renewable energy projects and implementing energy efficiency initiatives. The CEMAI objectives included: (1) Identifying common operational needs and improvement opportunities for entities with an energy interest or responsibility. (2) Providing access to multi-level expertise to address existing challenges. (3) Developing specialized training programs to build local capacity and community readiness. (4) Nurturing the creation of regional support networks. (5) Increasing access to regional, state, and federal energy initiatives, funding, and expertise. (6) Improving technical skills, provide livable wages, and job opportunities.

29 ENERGY PLANNING, POLICY, AND ECONOMY↗
DOE OSTI2023

Great Lakes Wind Energy Challenges and Opportunities Assessment

Many issues associated with wind development in the Great Lakes will require solutions different from those developed for offshore wind in ocean states and may not fully benefit from the industry learnings of nearby states. As a result, technology readiness and cost reduction for Great Lakes Wind (GLW) energy generation is likely to be delayed relative to other regions without a substantial, targeted GLW research campaign, and proactive stakeholder engagement in the region at all levels. Failure to conduct the necessary research to lower GLW costs in the near term could limit its contribution to the Nation's decarbonization goals by 2035, and could potentially raise long term energy prices in Great Lakes states if demand for renewable energy continues to accelerate. The overall objective of a research program such as that described in this report would be to enable the realization of commercial GLW before 2035. With the aim of ensuring that prospective development of GLW is conducted efficiently, safely, and coordinated in the best interests of the local residents and stakeholders, the U.S. Department of Energy (DOE) Wind Energy Technologies Office (WETO) tasked the National Renewable Energy Laboratory (NREL) to assist in (a) developing an improved understanding of offshore wind power's development potential in the Great Lakes, (b) identifying the key issues that need to be resolved for this potential to be achieved, and (c) defining a comprehensive research program to address and resolve these issues. This report presents the results of NREL's effort to address these needs.

cost modeling↗
DOE OSTI2021

Pilot-Scale Testing of an Integrated Circuit for the Extraction of Rare Earth Minerals and Elements from Coal and Coal Byproducts Using Advanced Separation Technologies

The primary objective of this project was to develop and demonstrate an integrated pilot-scale circuitry for recovering high-value rare earth elements (REEs) from coal and coal byproducts. The target performance was to produce a mixed REE product with content of at least two percent by weight on a dry mass basis in a cost-effective and environmentally benign manner. During the first nine months of the project period (Phase 2 Budget Period 2), pilot plant construction was completed including all field site startup activities such as permitting, engineering design, procurement/bidding, unit fabrication, site construction, equipment installation, module assembly, safety training, and circuit shakedown. During the remaining 21 months of project period (Phase 2 Budget Period 3), detailed field-testing activities were performed including feedstock sample collection and preparation, exploratory testing, circuit modification, detailed parametric study, and performance optimization. A detailed techno-economic analysis was performed based on the pilot plant testing findings which provided various scenarios for REE production. The project successfully accomplished the proposed target performance by producing mixed rare earth oxide (REO) with greater than 90% purity by weight in a continuous pilot scale operation from two distinctly different coarse refuse materials (i.e., West Kentucky No. 13 and Fire Clay coal seams), and at least three secondary sources (i.e., heap leach process and naturally formed acid mine drainage system). Project partners included the University of Kentucky, Virginia Tech, West Virginia University, Alliance Coal, Blackhawk Mining, Mineral Refining Company, and Mineral Separation Technologies. The pilot scale test facility was constructed at a former mining complex owned by Alliance Natural Resource Partners (Alliance Coal). The site was rehabilitated to accommodate the equipment installation, construction and fabrication, electrical power requirement, water line management and containment. The process units constructed and installed included X-ray sorting unit, crushing and grinding unit, physical separation unit, acid leaching unit, solvent extraction unit, and wastewater management unit. A rare earth mineral concentration unit was constructed as a standalone unit for flexible operation. A detailed environmental assessment and control plan was carried out to identify and quantify any potential impacts of the pilot-scale processing circuitry on the human and eco-system health and well-being. Corresponding mitigation strategies and control measures were provided. A conceptual flowsheet was developed to effectively remove thorium and uranium from high purity rare earth oxide mix or any potential radionuclide enriched stream. The two distinct feedstock materials were secured from the Blackhawk Mining Complex in eastern Kentucky where the Fire Clay (Hazard No. 4) seam is processed. The West Kentucky No. 13 (Baker) coarse refuse material was collected from an active process stream at an Alliance coal preparation plant located in western Kentucky. Characterization analysis indicated that both of feed materials generated from the two sources contained >300 ppm of TREEs on a dry whole mass basis which met the requirements for a qualified feed stock. The two feedstocks were further upgraded using a dual x-ray sorter to prepare the feed material for hydrometallurgical circuit. Thermal treatment on feed material prior to leaching was found to: 1) improve the leaching recovery of REEs, 2) increase the leaching kinetics, and 3) allow the leaching reaction to occur at lower acidity. Roasting at 600°C was selected as the pre-treatment condition for both West Kentucky No. 13 and Fire Clay coarse refuse material. Over 40% of leaching recovery was achieved by roasting West Kentucky No. 13 material having a top particle size of 3 mm in the pilot scale operation using 1.2M sulfuric acid leaching at 75OC. Initial pilot scale testing involved continuous operation of the pilot plant for 94 hours. The leaching unit was operated at solid-to-liquid ratio of 1 to 10 (w/v) using 0.5M sulfuric acid solution at a temperature of 75°C. The continuous solvent extraction circuit utilized rougher and cleaner units with DEHPA and TBP as the extractants. An innovative stripping circuit was developed to accumulate the REE concentration in the stripping solution to a level above 600 ppm. A bleed stream from the recycled strip solution was treated using oxalic acid precipitation which produced a high grade rare earth oxalate. The oxalate product was roasted to remove the oxalate which produced a rare earth oxide product having a purity greater 90%. Due to high concentrations of contaminant ions in the pregnant leach solution (PLS), a modified flowsheet was developed that involved pre-concentration of the REEs using multiple stages of precipitation and redissolution. The advantage of this process was improved removal of contamination before the downstream purification process and a significant cost reduction relative to the circuit that utilized the solvent extraction process. The modified circuitry included processes involving leaching, multistage precipitation, redissolution, and oxalate precipitation followed by roasting of the oxalate product. The circuit produced a mixed REO that was 92.96% pure from the initial test. A detailed parametric test plan was carried out which involved varying key parameters including solids feed rate, acid flowrate, acid concentration, multistage precipitation pH, redissolution pH, oxalate precipitation dosage and pH. The response variables included REE recovery, contaminant recovery, REO product grade and overall chemical consumption. Test results indicated that the acid-to-solid ratio is the key parameter to leaching efficiency as performance deteriorated with an increase in solids concentration. The optimal pH determined for REE precipitation and redissolution was 6.5 and 2.5, respectively. Additional tests were conducted to further improve the flowsheet. Recirculating a portion of the PLS to the feed of the leach tanks improved the leaching performance by lowering the pH of the leaching system and reducing the contamination recovery by shortening the residence time. Moreover, the removal of Al prior to REE precipitation significantly reduced the oxalic acid consumption in the oxalate precipitation circuit. The modified circuit produced over 90% grade REO by weight from both West Kentucky No. 13 and Fire Clay coarse refuse material in pilot scale continuous test programs. A case analysis model was developed to project the REE and major contaminants concentration in each PLS stream based on the leaching condition, pH cut point, and oxalic acid dosage. A correlation was established using empirical and semi-empirical models. Using the models, chemical consumption required for each stage was predicted based on the projected performance of the hydrometallurgy circuit. After identifying the optimum conditions, validation tests were carried out for the treatment of both West Kentucky No. 13 and Fire Clay coarse refuse materials in the pilot plant. The actual circuit performance and chemical consumptions were very close to the model predictions. Other than the two coarse refuse sources, several secondary feedstocks were also tested in the pilot plant facility. A “heap leach” system was constructed using the coarse refuse material generated from cleaning the West Kentucky No. 13 seam coal. Using the two stage SX rougher and cleaner circuit, a concentrate with a grade >90% REO was produced while recovering >97% of the REEs from the heap leach PLS. Naturally generated acid mine drainage (AMD) from West Kentucky No.13 mine was processed using the multistage precipitation circuit in the pilot plant in a test conducted for a period of 32 hours. The final grade of the mix RE oxide produced from the AMD was 90.84% with an overall circuit recovery of 64%. The primary source of REE was the selective precipitation steps involving iron and aluminum rejection. The hydrophobic-hydrophilic separation (HHS) process was proven to effectively recover coal from fine waste materials. For REM recovery, the HHS process was able to produce concentrates at grades of approximately 1.8% REE on an ash basis; however, recovery values were typically low, <10%, under the optimal conditions determined in the laboratory-scale testing. Staged testing of the pilot-scale HHS process for coal recovery and semi-continuous laboratory testing for REM testing showed that a total concentration ratio of more than 15x was observed for the REM recovery process. A circuit simulation package was developed for REE extraction and purification using a spreadsheet-based platform (Microsoft Excel). The REESim circuit simulation package is configured to track the mass and volume flows of components passing through a series of unit operations specified and configured by the user. The mass rates can then be utilized by the user to determine important performance indicators such as product mass yields, concentrate purity levels, element-by-element recoveries, and so forth. The techno-economic analysis showed that the roasting and leaching operations were the most expensive capital items, each contributing approximately 30% to the total capital cost. One notable contributor to the high production costs was the low REE recovery observed in the pilot scale trials. The product basket price was shown to have a strong influence on the economic viability of the scenarios, with the scandium price being the most significant influencer. Operating cost was shown to be extremely sensitive to REE recovery, REE feed grade, and leaching acid consumption. An analysis of ten different scenarios for a 500 t/h commercial operation revealed that three were economically favorable, producing internal rates of return varying from 27.7% to 33.1% and payback periods of 4 to 5 years. The project successfully developed and demonstrated a process to recover REEs from coal and coal byproducts in a pilot-plant operation which consistently produced over 90% grade REO mix from varies types of feedstocks. Commercialization analysis showed that the technology readiness level successfully achieved TRL 6 at the end of the project and demonstrated the need and the potential for scaling the process to further advance the technologies toward the goal of providing a domestic supply of REEs at a commercial scale.

01 COAL, LIGNITE, AND PEAT↗