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DOE OSTI2014

Comprehensive study of Al-induced layer-exchange growth for orientation-controlled Si crystals on SiO{sub 2} substrates

Orientation-controlled crystalline Si films on insulating substrates are strongly required to achieve high-performance thin-film devices for next-generation electronics. We have comprehensively investigated the layer-exchange kinetics of Al-induced crystallization (AIC) in stacked structures, i.e., amorphous-Si/Al-oxide/Al/SiO{sub 2}-substrates, as a function of the air-exposure time of Al surfaces (t{sub air}: 0–24 h) to form Al-oxide interface-layers, the thickness of Al and Si layers (d{sub Al,} d{sub Si}: 50–200 nm), the annealing temperature (450–500 °C), and the annealing time (0–50 h). It has been clarified that longer t{sub air} (>60 min) and/or thinner d{sub Al} and d{sub Si} (<50 nm) lead to the (111) oriented growth; in contrast, shorter t{sub air} (<60 min) and/or thicker d{sub Al} and d{sub Si} (>100 nm) lead to the (100) oriented growth. No correlation between the annealing temperature and the crystal orientation is observed. Detailed analysis reveals that the layer-exchange kinetics are dominated by “supply-limited” processing, i.e., diffusion of Si atoms into Al layers through Al-oxide layer. Based on the growth rate dependent Si concentration profiles in Al layers, and the free-energy of Si at Al-oxide/Al or Al/SiO{sub 2} interfaces, a comprehensive model for layer-exchange growth is proposed. This well explains the experimental results of not only Si-AIC but also another material system such as gold-induced crystallization of Ge. In this way, a growth technique achieving the orientation-controlled Si crystals on insulating substrates is established from both technological and scientific points of view.

71 CLASSICAL AND QUANTUM MECHANICS, GENERAL PHYSIC↗

DOE OSTI2018

Ultrahigh thermal conductivity of isotopically enriched silicon

Most of the stable elements possess two and more stable isotopes. The physical properties of materials composed of such elements depend on the isotopic abundance to some extent. A remarkably robust isotope effect is observed in the phonon thermal conductivity, the principal mechanism of heat conduction in nonmetallic crystals. An isotopic disorder due to random distribution of the isotopes in the crystal lattice sites results in a rather strong phonon scattering and, consequently, in a reduction of thermal conductivity. In this paper, we present new results of accurate and precise measurements of thermal conductivity κ( T ) for silicon single crystals having three different isotopic compositions at temperatures T from 2.4 to 420 K. The highly enriched crystal containing 99.995% of 28 Si, which is one of the most perfect crystals ever synthesized, demonstrates a thermal conductivity of about 450 ± 10 W cm -1 K -1 at 24 K, the highest measured value among bulk dielectrics, which is ten times greater than the one for its counterpart nat Si with the natural isotopic constitution. For highly enriched crystal 28 Si and crystal nat Si, the measurements were performed for two orientations [001] and [011], a magnitude of the phonon focusing effect on thermal conductivity was determined accurately at low temperatures. The anisotropy of thermal conductivity disappears above 31 K. The influence of the boundary scattering on thermal conductivity persists sizable up to much higher temperatures (~80 K). The κ( T ) measured in this work gives the most accurate approximation of the intrinsic thermal conductivity of single crystal silicon which is determined solely by the anharmonic phonon processes and diffusive boundary scattering over a wide temperature range.

75 CONDENSED MATTER PHYSICS, SUPERCONDUCTIVITY AND↗

DOE OSTI2018

Experimental evidence of low-density liquid water upon rapid decompression

Water is an extraordinary liquid, having a number of anomalous properties which become strongly enhanced in the supercooled region. Due to rapid crystallization of supercooled water, there exists a region that has been experimentally inaccessible for studying deeply supercooled bulk water. Using a rapid decompression technique integrated with in situ X-ray diffraction, we show that a high-pressure ice phase transforms to a low-density noncrystalline (LDN) form upon rapid release of pressure at temperatures of 140–165 K. The LDN subsequently crystallizes into ice-I c through a diffusion-controlled process. Together with the change in crystallization rate with temperature, the experimental evidence indicates that the LDN is a low-density liquid (LDL). The measured X-ray diffraction data show that the LDL is tetrahedrally coordinated with the tetrahedral network fully developed and clearly linked to low-density amorphous ices. On the other hand, there is a distinct difference in structure between the LDL and supercooled water or liquid water in terms of the tetrahedral order parameter.

37 INORGANIC, ORGANIC, PHYSICAL, AND ANALYTICAL CH↗

DOE OSTI2021

Material migration in W and Mo during bubble growth and fuzz formation

Growth of helium (He) induced bubbles and fuzz in tungsten (W) and molybdenum (Mo) is investigated using samples of W films on Mo substrates and Mo films on W substrates exposed to He-containing plasma in the temperature range of 340 to 1075 K, fluence range of 1.0–14 × 10 25 He·m -2 , and incident ion energy of <50 eV. No fuzz (only up to 2 nm diameter bubbles) and no material transport occur in W films at ≤750 K, while precursors-of or fully-developed fuzz and material mixing occur in W and Mo films at ≥800 K. This suggests that fuzz forms in multi-material systems as long as one material meets the conditions for fuzz formation, namely T s / T m ~ 0.27–0.5 where T s and T m are the sample exposure and material melting temperatures, respectively. Larger He bubbles, more material mixing, and further-developed fuzz occur at higher temperature due to increased mobility of He atoms and small He clusters. Accumulation of substrate material at the surface of fuzzy W and Mo thin-film (<80 nm) samples suggests fuzz growth by material transport from the bubble layer in the bulk up to the fiber tip, likely by a two-step process: (i) diffusion of punched dislocation loops in the bulk toward the fuzz base and (ii) diffusion of adatoms along the fuzz base and fiber surface (with effective transport of adatoms upwards due to trapping of adatoms at curved surfaces of fiber tips and/or due to the continuous generation of adatoms at the fuzz base). While the bubble size and fuzz thickness increase with reduced W concentration in Mo thin-film samples at 838 K likely due to an increase in trap mutation and dislocation loop punching in Mo compared to W, the fuzz thickness decreases with reduced W concentration at 1075 K despite an increase in the bubble size likely due to slower diffusion of interstitial loops in Mo.

Physics↗

DOE OSTI2023

Injection mechanisms in a III -nitride light-emitting diode as seen by self-emissive electron microscopy

Here, we report on the investigation of an electrically biased high efficiency green III-nitride light-emitting diode (LED) by electron emission microscopy (EEM) using a low-energy electron microscope (LEEM). The surface of the LED was activated to negative electron affinity via deposition of a submonolayer of Cs. With the illumination column of the LEEM turned off, upon electrical injection of the LED, we directly image the hot electrons generated by eeh Auger-Meitner nonradiative processes that diffuse through the top p-Ga N layer and emit out the surface of the biased LED. By determining the source of emitted electrons using complementary electron emission spectroscopy measurements, EEM allows us to effectively map the carrier density within the LED. Using EEM, we observed nonelectron emitting regions with a density of approximately 3 × 10 8 cm -2 , identified as V-shaped defects (V-defects). This is confirmed through the corresponding dark spots of panchromatic cathodoluminescence measurements of the same sample and by plan-view transmission electron microscopy. The absence of electron emission at the sidewall of the V-defects can be attributed to several factors, including reduced carrier density in the sidewall quantum wells due to carriers traveling fast through the semipolar sidewalls before being injected into the planar quantum wells, the reduced population of hot electrons surviving diffusion through the thicker p-GaN filling in the V-defect before emission onto vacuum, and a smaller Auger-Meitner coefficient for the low In content semipolar sidewall quantum wells. The stronger electron emission observed at the ridges of most V-defects compared to the planar quantum well regions indicates larger local injected carrier densities, confirming that V-defect sidewalls allow for strong lateral carrier injection when compared to the weaker vertical injection away from the V-defect as evidenced by the weaker electron emission intensity away from the V-defects.

71 CLASSICAL AND QUANTUM MECHANICS, GENERAL PHYSIC↗

DOE OSTI2019

Model reduction methods for population dynamics with fast-switching environments: Reduced master equations, stochastic differential equations, and applications

Here we study stochastic population dynamics coupled to fast external environments and combine expansions in the inverse switching rate of the environment and a Kramers–Moyal expansion in the inverse size of the population. This leads to a series of approximation schemes, capturing both intrinsic and environmental noise. These methods provide a means of efficient simulation and we show how they can be used to obtain analytical results for the fluctuations of population dynamics in switching environments. We place the approximations in relation to existing work on piecewise-deterministic and piecewise-diffusive Markov processes. Finally, we demonstrate the accuracy and efficiency of these model-reduction methods in different research fields, including systems in biology and a model of crack propagation.

59 BASIC BIOLOGICAL SCIENCES↗

DOE OSTI2017

Antimony diffusion in CdTe

Group V dopants may be used for next-generation high-voltage cadmium telluride (CdTe) solar photovoltaics, but fundamental defect energetics and kinetics need to be understood. Here, antimony (Sb) diffusion is studied in single-crystal and polycrystalline CdTe under Cd-rich conditions. Diffusion profiles are determined by dynamic secondary ion mass spectroscopy and analyzed with analytical bulk and grain-boundary diffusion models. Slow bulk and fast grain-boundary diffusion are found. Density functional theory is used to understand formation energy and mechanisms. Lastly, the theory and experimental results create new understanding of group V defect kinetics in CdTe.

14 SOLAR ENERGY↗

DOE OSTI2018

Correction for Metastability in the Quantification of PID in Thin-Film Module Testing

A fundamental change in the analysis for the accelerated stress testing of thin-film modules is proposed, whereby power changes due to metastability and other effects that may occur due to the thermal history are removed from the power measurement that we obtain as a function of the applied stress factor. In this work, initial thermal treatment of the module is performed before application of the independent variable stress of system voltage so that any temperature-dependent processes (e.g., diffusion) that affect the module power are largely activated beforehand. Secondly, the power of reference modules normalized to an initial state-undergoing the same thermal and light exposure history but without the applied stress factor such as humidity or voltage bias-is subtracted from that of the stressed modules. For better understanding and appropriate application in standardized tests, the method is demonstrated and discussed for potential-induced degradation testing in view of the paralleloccurring but unrelated physical mechanisms that can lead to confounding power changes in the module.

14 SOLAR ENERGY↗

DOE OSTI2019

Interaction of Long-lived Reactive Species from Cold Atmospheric Pressure Plasma with Polymers: Chemical Modification by Ozone and Reactive Oxygen-Nitrogen Species

Atmospheric pressure plasma (APP) sources are able to generate a variety of reactive species that have different effects on materials, such as functionalization, etching and deposition. In this article, we study the effect of long-lived reactive neutral species on polymers using a model plasma-surface interaction (PSI) system that consists of ultra-thin (~10 nm) polystyrene (PS) films and a surface micro-discharge (SMD) reactor operated with various N 2 /O 2 working gas mixtures. We characterized and quantified the reactive species generated by SMD using IR and UV absorption, and we found that O 3 , N 2 O 5 , N 2 O and HNO 3 are the dominant long-lived reactants near the target surface. When exposing PS films to these reactive species, we observed material responses including film thickness expansion, surface and bulk oxidation, and surface organic nitrate formation. The quantity of these changes varied with the N 2 /O 2 working gas composition. By correlating material response with gas phase species, we find that the chemical modification of PS strongly depends on the density of O 3 in the gas phase, which is indicative of an essential role of O 3 in the remote APP treatment of polymers. Our results show that O 3 causes polymer surface oxidation, participates in the diffusion-reaction process in the polymer bulk, and results in aromatic ring cleavage and the formation of carbonyl groups. In contrast, we did not find a correlation between surface organic nitrate and individual long-lived reactive species mentioned above. This indicates that surface organic nitrate formation on polymer surfaces might result from the interaction of multiple reactive species, including O 3 and nitrogen containing species. A model for the interphase mass transfer of reactive species from gas to solid was also described.

36 MATERIALS SCIENCE↗

DOE OSTI2019

How heteroepitaxy occurs on strontium titanate

In traditional models of heteroepitaxy, the substrate serves mainly as a crystalline template for the thin-film lattice, dictating the initial roughness of the film and the degree of coherent strain. Here, performing in situ surface x-ray diffraction during the heteroepitaxial growth of LaTiO 3 on SrTiO 3 (001), we find that a TiO 2 adlayer composed of the ( 13 × 13 ) R 33.7° and ( 2 × 2 ) R 45.0° reconstructions is a highly active participant in the growth process, continually diffusing to the surface throughout deposition. The effects of the TiO 2 adlayer on layer-by-layer growth are investigated using different deposition sequences and anomalous x-ray scattering, both of which permit detailed insight into the dynamic layer rearrangements that take place. Our work challenges commonly held assumptions regarding growth on TiO 2 -terminated SrTiO 3 (001) and demonstrates the critical role of excess TiO 2 surface stoichiometry on the initial stages of heteroepitaxial growth on this important perovskite oxide substrate material.

36 MATERIALS SCIENCE↗

DOE OSTI2017

Analysis of the Range of Applicability of Thermodynamic Calculations in the Engineering of Nitride Fuel Elements

The domains of applicability of thermodynamic calculations in the engineering of nitride fuel are analyzed. Characteristic values of the following parameters, which affect directly the concentration equilibration time, are estimated: nuclide production rate; characteristic times to local equilibrium in the considered temperature range; characteristic time needed for a stationary temperature profile to be established; characteristic time needed for a quasi-stationary concentration field to be established on a scale comparable to the size of a fuel pellet. It is demonstrated that equilibrium thermodynamic calculations are suitable for estimating the chemical and phase composition of fuel. However, a two-layer kinetic model should be developed in order to characterize the transport processes in condensed and gaseous phases. The process of diffusive transport needs to be taken into account in order to determine the composition in the hot region at the center of a fuel element.

11 NUCLEAR FUEL CYCLE AND FUEL MATERIALS↗

DOE OSTI2016

Electrochemical characteristics of nanostructured silicon anodes for lithium-ion batteries

High-aspect periodic structures with thin vertical walls are studied as regards their applicability as negative electrodes of lithium-ion batteries. The nanostructures are fabricated from single-crystal silicon using photolithography, electrochemical anodization, and subsequent anisotropic shaping. The capacity per unit of the visible surface area of the electrode and the specific internal surface area are compared for structures of varied architecture: 1D (wires), 2D (zigzag walls), and 3D structures (walls forming a grid). Main attention is given to testing the endurance of anodes based on zigzag and grid structures, performed by galvanostatic cycling in half-cells with a lithium counter electrode. The influence exerted by the geometric parameters of the structures and by the testing mode on the degradation rate is determined. It is shown that the limiting factor of the lithiation and delithiation processes is diffusion. The endurance of an electrode dramatically increases when the charging capacity is limited to ∼1000 mA h/g. In this case, nanostructures with 300-nm-thick walls, which underwent cyclic testing at a rate of 0.36C, retain a constant discharge capacity and a Coulomb efficiency close to 100% for more than 1000 cycles.

36 MATERIALS SCIENCE↗

DOE OSTI2022

Pseudocapacitive Charge Storage in Electrochromic Transition-Metal Oxide Thin Films

Electrochromic pseudocapacitive transition-metal oxide materials, such as tungsten oxide, which combine fast response, high energy density, and optical effects, can play a significant role as energy storage materials. Here we investigate the electrochemical kinetics of thin films of tungsten oxide, which turn transparent to sky-blue color in the lithiated state due to the reduction of W 6+ to W 5+ . In this study, we investigated the charge density, charge transfer, ion diffusion, and interfacial behavior upon Li + insertion/de-insertion in WO 3 . The electrochromic thin film's pseudocapacitive and electrical double layer mechanism was differentiated based on the power-law. Faradaic diffusion-controlled process dominates over the surface capacitive behavior at scan rates below 40 mV s –1 . These films exhibit an areal charge density of around 100 mC cm –2 and a capacitance of 80 mF cm –2 , superior to most comparable electrochromic materials and supercapacitors. This work combines electrochromics and energy storage properties and provides a fundamental understanding of pseudocapacitive and electrochromic mechanisms in WO 3 .

25 ENERGY STORAGE↗

DOE OSTI2024

Potential–Dependent BDAC Adsorption on Zinc Enabling Selective Suppression of Zinc Corrosion for Energy Storage Applications

Utility-scale zinc (Zn) batteries are a promising solution to address the problem of intermittency of renewable energy sources; however, Zn-metal anodes in these batteries suffer from capacity loss due to spontaneous corrosion of the Zn especially when high-surface area anode configurations are employed. Additionally, Zn dendrites are known to form during battery charging limiting the cycle-life of these batteries. Electrolyte additives have been explored that prevent aforementioned issues, but these too come at a cost, i.e., surface-blocking additives polarize the electrode surface leading to loss in the voltaic and energy efficiencies of the battery. In this contribution, a novel electrolyte additive, benzyldimethylhexadecylammonium chloride (BDAC), is investigated for its ability to suppresses corrosion of Zn in an acidic (pH = 3) electrolyte. An attribute of BDAC distinct from previously studied additives is that it selectively suppresses electrochemical activity when the Zn electrode is at its corrosion potential; however, during high-rate Zn deposition (charging) or stripping (discharging), BDAC is essentially deactivated and thus it does not appreciably polarize the electrode surface, thus minimizing voltaic efficiency losses. This selective corrosion suppression behavior is explored using slow-scan voltammetry, which reveals hysteresis implying a potential- or current-dependent BDAC adsorption mechanism in which BDAC reaches higher surface coverages when the partial currents at the Zn surface are low (e.g., at or near the corrosion potential), but BDAC coverage is reduced considerably when the Zn deposition or stripping rates are increased. Numerical simulations of the BDAC diffusion-adsorption process corroborate this mechanism. Ramifications of our approach to the selective suppression of Zn dendrites are discussed.

25 ENERGY STORAGE↗

DOE OSTI2018

Compact Heat Exchanger Design and Testing for Advanced Reactors and Advanced Power Cycles

The goal of the proposed research is to demonstrate the thermal hydraulic performance of innovative surface geometries in compact heat exchangers used as intermediate heat exchangers (IHXs) and recuperators for the supercritical carbon dioxide (s-CO 2 ) Brayton cycle. Printed-circuit heat exchangers (PCHEs) are the primary compact heat exchangers of interest. The overall objectives are: To develop optimized PCHE designs for different working fluid combinations including helium to s-CO 2 , liquid salt to s-CO 2 , sodium to s-CO 2 , and liquid salt to helium; To experimentally and numerically investigate thermal performance, thermal stress and failure mechanism of PCHEs under various transients; and To study diffusion bonding techniques for elevated-temperature alloys and examine post-test material integrity of the PCHEs. The project objectives were accomplished by defining and executing five different tasks corresponding to these specific objectives. The first task involved a thorough literature review and a selection of IHX candidates with different surface geometries as well as a summary of prototypic operational conditions. The second task involved optimization of PCHE design with numerical analyses of thermal-hydraulic performances and mechanical integrity. The subsequent task dealt with the development of testing facilities and engineering design of PCHE to be tested in s-CO 2 fluid conditions. The next task involved experimental investigation and validation of the thermal-hydraulic performances and thermal stress distribution of prototype PCHEs manufactured with particular surface geometries. The last task involved an investigation of diffusion bonding process and posttest destructive testing to validate mechanical design methods adopted in the design process. The experimental work utilized the two test facilities at The Ohio State University (OSU) including one existing High-Temperature Helium Test Facility (HTHF) and the newly developed s-CO 2 test loop (STL) facility and s-CO 2 test facility at University of Wisconsin – Madison (UW).

22 GENERAL STUDIES OF NUCLEAR REACTORS↗

DOE OSTI2021

Evaluation of Oxygen Consumption as a Sensitive Measure of Electrical Cable Polymer Insulation Degradation

Polymers used as dielectric materials in nuclear grade electrical cables, such as cross-linked polyethylene (XLPE) and ethylene-propylene rubber (EPR), are long-lived and durable. Estimating the decades-long useful service life of polymers experimentally in a feasible timeframe of weeks or months requires greatly accelerated aging in the laboratory at elevated temperatures and/or gamma dose rates. Many limitations of accelerated aging, such as due to artefacts of the process including diffusion limited oxidation and dose rate effects, have been identified that can make accurate lifetime prediction at service conditions challenging. This can be due to differences in degradation mechanisms between rapid and extended aging or to the presence of induction periods during which early aging is undetectable using common metrics of polymer insulation characterization such as tensile elongation at break. Conceptually, an ideal measure of aging would track clearly and predictably with material changes throughout the lifecycle of the evolving material state from early aging through end of useful life. With such a metric accelerated aging could be performed at much milder conditions, conditions closer to those found in long term service, and end of life calculated from the early data. Oxygen consumption has previously been proposed as a sensitive measure of insulation polymer oxidation that might meet such desirable characteristics. In this work, nuclear cable insulation samples of the two most common types, XLPE and EPR, from two of the most sourced manufacturers, RSCC and The Okonite Company, were subjected to gamma irradiation at dose rates of 100, 200, and 300 Gy/hr for up to 42 days at 26°C. The aged samples were used to evaluate oxygen consumption as a sensitive measure of aging for these materials and these conditions. For comparison and validation, the aged samples were also characterized using the more conventional tests of mass change, density, carbonyl index, and yellowness index. For both materials, oxygen consumption during irradiation was found to track consistently with applied dose—oxygen consumption rate was linear with time. Mass change and carbonyl index were also clearly proportional to exposure dose. Yellowness index, a surface sensitive measure, was observed to increase linearly with dose at low exposure levels before plateauing. Sample density was not observed to change under the conditions explored. Oxygen consumption was found to be a particularly sensitive metric to measure the degradation of polymeric cable insulation exposed to radiation. Oxygen consumption was compared to Arrhenius and time-temperature-superposition methods for activation energy calculation using literature date and found to be a useful and viable alternative for lifetime prediction. The techniques developed in this work are anticipated to be valuable in the estimation of insulation aging rates under mild conditions approaching service conditions. Direction comparison of useful life prediction by oxygen consumption with prediction via Arrhenius methodology for thermal aging and existing methods for radiation and combined thermal/radiation aging would serve to further validate this promising approach and refine our understanding of material-specific aging rates.

36 MATERIALS SCIENCE↗

DOE OSTI2024

Surface-Enhanced Raman Spectroscopy Combined with Multivariate Analysis for Fingerprinting Clinically Similar Fibromyalgia and Long COVID Syndromes

Fibromyalgia (FM) is a chronic central sensitivity syndrome characterized by augmented pain processing at diffuse body sites and presents as a multimorbid clinical condition. Long COVID (LC) is a heterogenous clinical syndrome that affects 10–20% of individuals following COVID-19 infection. FM and LC share similarities with regard to the pain and other clinical symptoms experienced, thereby posing a challenge for accurate diagnosis. This research explores the feasibility of using surface-enhanced Raman spectroscopy (SERS) combined with soft independent modelling of class analogies (SIMCAs) to develop classification models differentiating LC and FM. Venous blood samples were collected using two supports, dried bloodspot cards (DBS, n = 48 FM and n = 46 LC) and volumetric absorptive micro-sampling tips (VAMS, n = 39 FM and n = 39 LC). A semi-permeable membrane (10 kDa) was used to extract low molecular fraction (LMF) from the blood samples, and Raman spectra were acquired using SERS with gold nanoparticles (AuNPs). Soft independent modelling of class analogy (SIMCA) models developed with spectral data of blood samples collected in VAMS tips showed superior performance with a validation performance of 100% accuracy, sensitivity, and specificity, achieving an excellent classification accuracy of 0.86 area under the curve (AUC). Amide groups, aromatic and acidic amino acids were responsible for the discrimination patterns among FM and LC syndromes, emphasizing the findings from our previous studies. Overall, our results demonstrate the ability of AuNP SERS to identify unique metabolites that can be potentially used as spectral biomarkers to differentiate FM and LC.

60 APPLIED LIFE SCIENCES↗

DOE OSTI2017

The Solar Energetic Particle Event of 2010 August 14: Connectivity with the Solar Source Inferred from Multiple Spacecraft Observations and Modeling

We analyze one of the first solar energetic particle (SEP) events of solar cycle 24 observed at widely separated spacecraft in order to assess the reliability of models currently used to determine the connectivity between the sources of SEPs at the Sun and spacecraft in the inner heliosphere. This SEP event was observed on 2010 August 14 by near-Earth spacecraft, STEREO-A (∼80° west of Earth) and STEREO-B (∼72° east of Earth). In contrast to near-Earth spacecraft, the footpoints of the nominal magnetic field lines connecting STEREO-A and STEREO-B with the Sun were separated from the region where the parent fast halo coronal mass ejection (CME) originated by ∼88° and ∼47° in longitude, respectively. We discuss the properties of the phenomena associated with this solar eruption. Extreme ultraviolet and white-light images are used to specify the extent of the associated CME-driven coronal shock. We then assess whether the SEPs observed at the three heliospheric locations were accelerated by this shock or whether transport mechanisms in the corona and/or interplanetary space provide an alternative explanation for the arrival of particles at the poorly connected spacecraft. A possible scenario consistent with the observations indicates that the observation of SEPs at STEREO-B and near Earth resulted from particle injection by the CME shock onto the field lines connecting to these spacecraft, whereas SEPs reached STEREO-A mostly via cross-field diffusive transport processes. The successes, limitations, and uncertainties of the methods used to resolve the connection between the acceleration sites of SEPs and the spacecraft are evaluated.

79 ASTRONOMY AND ASTROPHYSICS↗