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DOE OSTI2021

KKT Preconditioners for PDE-Constrained Optimization with the Helmholtz Equation

This paper considers preconditioners for the linear systems that arise from optimal control and inverse problems involving the Helmholtz equation. Specifically, we explore an all-at-once approach. The main contribution centers on the analysis of two block preconditioners. Variations of these preconditioners have been proposed and analyzed in prior works for optimal control problems where the underlying partial differential equation is a Laplace-like operator. In this paper, we extend some of the prior convergence results to Helmholtz-based optimization applications. Our analysis examines situations where control variables and observations are restricted to subregions of the computational domain. We prove that solver convergence rates do not deteriorate as the mesh is refined or as the wavenumber increases. More specifically, for one of the preconditioners we prove accelerated convergence as the wavenumber increases. Additionally, in situations where the control and observation subregions are disjoint, we observe that solver convergence rates have a weak dependence on the regularization parameter. We give a partial analysis of this behavior. We illustrate the performance of the preconditioners on control problems motivated by acoustic testing.

97 MATHEMATICS AND COMPUTING↗

DOE OSTI2024

Learning Functions Varying along a Central Subspace

Many functions of interest are in a high-dimensional space but exhibit low-dimensional structures. This paper studies regression of an s-Hölder function in $R^D$ which varies along a central subspace of dimension $d$ while $d \ll D$. A direct approximation of $f$ in $R^D$ with an accuracy $\varepsilon$ requires the number of samples in the order of $\varepsilon^{-(2s+D)/s}$. In this paper, we analyze the generalized contour regression (GCR) algorithm for the estimation of the central subspace and use piecewise polynomials for function approximation. GCR is among the best estimators for the central subspace, but its sample complexity is an open question. In this paper, we partially answer this questions by proving that if a variance quantity is exactly known, GCR leads to a mean squared estimation error of $O(n^{-1})$ for the central subspace. The estimation error of this variance quantity is also given in this paper. The mean squared regression error of $f$ is proved to be in the order of $(n/\log n)^{-\frac{2s}{2s+d}}$, where the exponent depends on the dimension of the central subspace instead of the ambient space . This result demonstrates that GCR is effective in learning the low-dimensional central subspace. We also propose a modified GCR with improved efficiency. Here, the convergence rate is validated through several numerical experiments.

97 MATHEMATICS AND COMPUTING↗

DOE OSTI2025

Domain Decomposition for Integer Optimal Control with Total Variation Regularization

Total variation integer optimal control problems admit solutions and necessary optimality conditions via geometric variational analysis. In spite of the existence of said solutions, algorithms which solve the discretized objective suffer from high numerical cost associated with the combinatorial nature of integer programming. Hence, such methods are often limited to small and medium-sized problems. We propose a globally convergent, coordinate descent–inspired algorithm that allows tractable subproblem solutions restricted to a partition of the domain. Our decomposition method solves relatively small trust-region subproblems that modify the control variable on a subdomain only. Given nontrivial subdomain overlap, we prove that a global first-order necessary optimality condition is equivalent to a first-order necessary optimality condition per subdomain. We additionally show that a sufficient decrease is achieved on a single subdomain by way of a trust-region subproblem solver using geometric measure–theoretic arguments, which we integrate with a greedy patch selection to prove convergence of our algorithm. In conclusion, we demonstrate the practicality of our algorithm on a benchmark large-scale, PDE-constrained integer optimal control problem and find that our method is faster than the state of the art.

domain decomposition↗

DOE OSTI2026

Quantum Time-Space Tradeoffs for Matrix Problems

We consider the time and space required for quantum computers to solve a wide variety of problems involving matrices, many of which have only been analyzed classically in prior work. Our main results show that for a range of linear algebra problems—including matrix-vector product, matrix inversion, matrix multiplication and powering—existing classical time-space tradeoffs, several of which are tight for every space bound, also apply to quantum algorithms with at most a constant factor loss. For example, for almost all fixed matrices 𝐴, including the discrete Fourier transform matrix, we prove that quantum circuits with at most 𝑇 input queries and 𝑆 qubits of memory require 𝑇 = Ω⁢(𝑛 2 /𝑆) to compute matrix-vector product 𝐴⁢𝑥 for 𝑥 ∈{0,1 𝑛 . We similarly prove that matrix multiplication for 𝑛 ×𝑛 binary matrices requires 𝑇 = Ω⁢(𝑛 3 /$\sqrt{𝑆}$). Because many of our lower bounds are matched by deterministic algorithms with the same time and space complexity, our results show that quantum computers cannot provide any asymptotic advantage for these problems with any space bound. We obtain matching lower bounds for the stronger notion of quantum cumulative memory complexity—the sum of the space per layer of a circuit. We also consider Boolean (i.e., AND-OR) matrix multiplication and matrix-vector products, improving the previous quantum time-space tradeoff lower bounds for 𝑛 × 𝑛 Boolean matrix multiplication to 𝑇 = Ω⁢(𝑛 2.5 /𝑆 1/4 ) from 𝑇 = Ω⁢(𝑛 2.5 /𝑆 1/2 ). Our improved lower bound for Boolean matrix multiplication is based on a new coloring argument that extracts more from the strong direct product theorem that was the basis for prior work. To obtain our tight lower bounds for linear algebra problems, we require much stronger bounds than strong direct product theorems. We obtain these bounds by adding a new bucketing method to the quantum recording-query technique of Zhandry that lets us apply classical arguments to upper bound the success probability of quantum circuits.

lower bounds↗

DOE OSTI2020

Characterization of cubic Li$_{2}$$^{100}$MoO$_4$ crystals for the CUPID experiment

The CUPID Collaboration is designing a tonne-scale, background-free detector to search for double beta decay with sufficient sensitivity to fully explore the parameter space corresponding to the inverted neutrino mass hierarchy scenario. One of the CUPID demonstrators, CUPID-Mo, has proved the potential of enriched Li$_{2}$$^{100}$MoO$_4$ crystals as suitable detectors for neutrinoless double beta decay search. In this work, we characterised cubic crystals that, compared to the cylindrical crystals used by CUPID-Mo, are more appealing for the construction of tightly packed arrays. We measured an average energy resolution of (6.7$\pm$0.6) keV FWHM in the region of interest, approaching the CUPID target of 5 keV FWHM. We assessed the identification of $\alpha$ particles with and without a reflecting foil that enhances the scintillation light collection efficiency, proving that the baseline design of CUPID already ensures a complete suppression of this $\alpha$-induced background contribution. We also used the collected data to validate a Monte Carlo simulation modelling the light collection efficiency, which will enable further optimisations of the detector.

100Mo↗

DOE OSTI2020

Performance Evaluation of a Two-Dimensional Flood Model on Heterogeneous High-Performance Computing Architectures

This paper describes the implementation of a two-dimensional hydrodynamic flood model with two different numerical schemes on heterogeneous high-performance computing architectures. Both schemes were able to solve the nonlinear hyperbolic shallow water equations using an explicit upwind first-order approach on finite differences and finite volumes, respectively, and were conducted using MPI and CUDA. Four different test cases were simulated on the Summit supercomputer at Oak Ridge National Laboratory. Both numerical schemes scaled up to 128 nodes (768 GPUs) with a maximum 98.2x speedup of over 1 GPU. The lowest run time for the 10 day Hurricane Harvey event simulation at 5 meter resolution (272 million grid cells) was 50 minutes. GPUDirect communication proved to be more convenient than the standard communication strategy. Both strong and weak scaling are shown.

Sharif, Md Bulbul↗

DOE OSTI2021

Editors’ Choice—Necessity to Avoid Titanium Oxide as Electrocatalyst Support in PEM Fuel Cells: A Membrane Durability Study

Pt/TiO 2 as electrocatalyst was found to significantly increase the rate of the membrane chemical degradation in a polymer electrolyte membrane (PEM) fuel cell. The increased degradation was proved to be due to TiO x (TiO 2 or Ti 4 O 7 ), which is widely recognized as a promising corrosion-resistant electrocatalyst support. The membrane degradation (thinning) appears to be preferentially in the side facing anode electrode. Migrated Ti species as a result of TiO x dissolution during fuel cell operation in an acidic environment was quantified by electron probe microanalysis (EPMA). Total fluorine inventory loss of the membrane strongly depends on the quantity of migrated Ti species (likely Ti 3+ and/or Ti 4+ ). The membrane chemical degradation induced by TiO x is proposed to be due to dissolved ionic Ti species reacting with H 2 O 2 through a Fenton reaction. TiO x is determined to be inviable as electrocatalyst support for PEM fuel cells, and future research is suggested to be directed toward alternative oxides with similar corrosion-resistance.

08 HYDROGEN↗

DOE OSTI2022

Single reader between-cases AUC estimator with nested data

The area under the receiver operating characteristic curve (AUC) is widely used in evaluating diagnostic performance for many clinical tasks. It is still challenging to evaluate the reading performance of distinguishing between positive and negative regions of interest (ROIs) in the nested-data problem, where multiple ROIs are nested within the cases. To address this issue, we identify two kinds of AUC estimators, within-cases AUC and between-cases AUC. We focus on the between-cases AUC estimator, since our main research interest is in patient-level diagnostic performance rather than location-level performance (the ability to separate ROIs with and without disease within each patient). Another reason is that as the case number increases, the number of between-cases paired ROIs is much larger than the number of within-cases ROIs. We provide estimators for the variance of the between-cases AUC and for the covariance when there are two readers. We derive and prove the above estimators’ theoretical values based on a simulation model and characterize their behavior using Monte Carlo simulation results. We also provide a real-data example. Moreover, we connect the distribution-based simulation model with the simulation model based on the linear mixed-effect model, which helps better understand the sources of variation in the simulated dataset.

Health Care Sciences & Services↗

DOE OSTI2024

Cylinders’ percolation: Decoupling and applications

In this paper we establish a strong decoupling inequality for the cylinder’s percolation process introduced by Tykesson and Windisch (Probab. Theory Related Fields 154 (2012) 165–191). This model features a very strong dependency structure, making it difficult to study, and this is why such decoupling inequalities are desirable. It is important to notice that the type of dependencies featured by cylinder’s percolation is particularly intricate, given that the cylinders have infinite range (unlike some models like Boolean percolation) while at the same time being rigid bodies (unlike processes such as random interlacements). Here our work introduces a new notion of fast decoupling, proves that it holds for the model in question and finishes with an application. More precisely, we prove that for a small enough density of cylinders, a random walk on a connected component of the vacant set is transient for all dimensions d≥3.

97 MATHEMATICS AND COMPUTING↗

DOE OSTI2026

Data for Metabolic Engineering of Nonmodel Yeast Issatchenkia orientalis SD108 for 5-Aminolevulinic Acid Production

Biological production of 5‐aminolevulinic acid (5‐ALA) has received growing attentionover theyears.However, thereis the tradeoff between 5‐ALA biosynthesis and cell growth because the fermentation broth will become acidic due to the production of 5‐ALA. To address this limitation, we engineered an acid‐tolerant yeast, Issatchenkia orientalis SD108, for 5‐ALA production. We first discovered that the cell growth rate of I. orientalis SD108 was boosted by 5‐ALA and its endogenous ALA synthetase (ALAS) showed higher activity than those homologs from other yeasts. The titer of 5‐ALA was improved from 28mg/L to 120‐, 150‐, and 300mg/L, by optimizing plasmid design, overexpressing a transporter, and increasing gene copy number, respectively. After redirecting the metabolic flux using the pyruvate decarboxylase (PDC) knockout strain (SD108ΔPDC) and culturing with urea, we increased the titer of 5‐ALA to 510mg/L, a 13‐fold enhancement, proving the importance of the newly identified IoALAS with higher activity and the strategic selection of nitrogen sources for knockout strains. This study demonstrates the acid‐tolerant I. orientalis SD108ΔPDC has a high potential for 5‐ALA production at a large scale in the future.

Bioproducts↗

DOE OSTI2023

Highly cascaded first-order sapphire optical fiber Bragg gratings fabricated by a femtosecond laser

This Letter reports an innovative technique for fabricating large-scale, highly cascaded first-order sapphire optical fiber Bragg gratings (FBGs) using a femtosecond laser-assisted point-by-point inscription method. For the first time, to the best of our knowledge, this study successfully demonstrates a distributed array of 10 FBGs within highly multimode sapphire crystal fiber, made possible by employing a high-power laser technique to generate larger reflectors with a Gaussian intensity profile. These first-order FBGs offer advantages such as enhanced reflectivity, shorter fabrication time, and simplified spectral characteristics, making them easier to interpret compared with high-order FBGs. The FBGs’ resilience and effectiveness are analyzed by subjecting them to temperature tests, proving their capacity for accurate temperature monitoring up to 1500°C—a testament to their suitability for harsh environments. This novel approach broadens the scope for sensing and communication applications in sapphire fibers, particularly under challenging conditions. The novelty of our work lies in successfully overcoming the limitations of previous designs by integrating a cascade of 10 FBGs in sapphire fibers, thereby enhancing multiplexing capabilities, minimizing overlapping of FBG peaks, and ensuring reliable temperature monitoring in industries and applications with thermal gradients.

47 OTHER INSTRUMENTATION↗

DOE OSTI2026

CHESS 2025: Waveform LiDAR data from NEON AOP surveys

This dataset provides Level 1 (L1) full-waveform light detection and ranging (LiDAR) data collected for the 2025 Colorado Headwaters Ecological Spectroscopy Study (CHESS). These data were acquired to enable characterization of vegetation structure and other three-dimensional features of the land surface, and to evaluate structural changes that may have occurred between a prior LiDAR acquisition in 2018 and the 2025 overflight. Waveform LiDAR data can provide more detailed information about objects on the ground than discrete point clouds typically do, and they are often used for granular target segmentation and characterization of subcanopy vegetation. The data were acquired over three study domains in the Upper Gunnison river basin: the upper East River watershed (CRBU); Almont Triangle and Taylor Canyon (ALMO); and Upper Taylor River watershed (UPTA) between 2025-06-13 and 2025-07-15. LiDAR data were acquired using the Optech Galaxy Prime Airborne LiDAR Terrain Mapper onboard the National Ecological Observatory Network (NEON) Airborne Observation Platform (AOP). These are the primary waveform LiDAR data delivered by NEON and are provided per flightline in compressed Pulsewaves format, an open-source binary file standard. A Pulsewaves object comprises a two files: a pulse (.pls) file, which stores the geographic origin, outgoing vector, and metadata for every laser pulse emitted by the scanner, and a wave file (.wvs), which stores the sequential amplitude samples of the outgoing pulse and the returning signals. The files are published here in their compressed forms (.plz, .wvz). All waveform data were processed following the theoretical workflow described in the NEON L0-to-L1 Waveform LiDAR Algorithm Theoretical Basis Document (Krause and Goulden 2022a); however, the Pulsewaves output format differs from a legacy format described in that document. Waveform amplitude samples are recorded at 1 nanosecond intervals. All coordinates are provided in meters. Horizontal coordinates are referenced in Universal Transverse Mercator (UTM) zone 13N and the World Geodetic System (WGS) 1984 ensemble datum. Elevations are referenced to Geoid12A. Waveform data for the UPTA survey area were collected without incident and the published records are complete. However, both the ALMO and CRBU collections experienced issues that resulted in incomplete data for those areas. On collection day 2018-06-16 a hardware failure caused the waveform digitizer to lose data from the eastern edge of the ALMO site (Figure 22). The waveform data for flightlines 2–20 could not be extracted from the digitizer, and the data proved unrecoverable. As a result, a portion of the site does not have coverage with waveform data. Although no hardware failure was observed during collection over the CRBU area, final waveform files generated by vendor software contained only ~25% of the expected number of return pulses. After discovery, NEON initiated troubleshooting with the vendor. The root cause of the data ablation had not been identified at the time of publication. Additional data will be published in an update to this package if further recovery proves successful. 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 Acknowledgement: Field and remote-sensing data acquisition was performed under a grant from the National Aeronautics and Space Administration (80NSSC24K1005). This work was also supported by the Watershed Function Science Focus Area at Lawrence Berkeley National Laboratory funded by the US Department of Energy, Office of Science, Biological and Environmental Research under Contract No. DE-AC02-05CH11231.

2018 NEON and 2025 CHESS Campaigns↗

DOE OSTI2021

Heavy Oil Polymer EOR in the Challenging Alaskan Arctic - It Works!

Under co-sponsorship of the US Department of Energy and Hilcorp Alaska LLC the first ever polymer field pilot commenced on 8/28/2018 in the Schrader Bluff heavy oil reservoir at the Milne Point Field on Alaska North Slope (ANS). The primary objective of the pilot is to prove the efficacy of polymer Enhanced Oil Recovery (EOR) to unlock the vast heavy oil resources on ANS. More than two and half years after startup, the polymer injection, supporting laboratory experiments and simulation studies steadily continue. The pilot started injecting hydrolyzed polyacrylamide (HPAM), at a concentration of 1,750 ppm to achieve a target viscosity of 45 cP, into the two horizontal injectors in the flood pattern. Production is monitored in the two horizontal producers. Based on laboratory measurements of polymer viscosity at reservoir conditions, the team decided to reduce polymer concentration to 1,200 ppm since July 2020 in an effort to control injection pressure and optimize polymer utilization. Quality control (QC) on the field ensures uniform polymer solution properties. Representative rock and fluid systems and test conditions are utilized in the corefloods on polymer retention, effect of injection water salinity, polymer loading, and their combinations on oil recovery. A history matched reservoir simulation model for forecasting oil recovery was developed on the basis of all the available field data. Field concerns related to the post-polymer breakthrough impact on flow assurance is addressed via specialized laboratory tests. Notwithstanding early operational disruptions and hydration issues, continuous polymer injection in both injectors has been achieved. To date, 950,000 lbs of polymer or 2 million barrels of polymer solution, equating to 13% of total pore volume (PV), has been placed in the flood pattern, serving as an effective indicator of adequate polymer injectivity. So far, the success of polymer EOR is evident from drastically reduced water cut in the producers, an estimated incremental 1,000 bopd over waterflood, and a favorable polymer utilization of 1.7 lbs/barrel of incremental oil. Polymer breakthrough was observed 26 months after the start of polymer injection. Main observations from corefloods are unusually high polymer retention values in some cases and a positive response to low salinity water. Although the heterogeneity in the flood pattern and exceptionally low water cut pose some challenges, persistent novel and justifiable simulation approaches have resulted in a robust history matched model. Experimental results on produced fluids treatment provide operational guidance for improved oil-water separation and mitigation of heater tube fouling. The ongoing success of the pilot is a key indicator of bringing the team ever closer to meeting the project’s primary objective. The encouraging results of the pilot is one of the drivers that has provided the impetus to apply polymer EOR throughout the Milne Point Field, which would increase oil recovery and extend the economic life of the Trans Alaska Pipeline System. The scientific knowledge, including the many lessons learned from this pilot also has referential value for other potential heavy oil EOR projects throughout the world. The collected data, operational lessons learned, and the overall success of the pilot are summarized in the paper.

None, None↗

DOE OSTI2024

One-shot holography

Following the work of [J. High Energy Phys. 04, 062 (2021)], we define a generally covariant max-entanglement wedge of a boundary region B, which we conjecture to be the bulk region reconstructible from B. We similarly define a covariant min-entanglement wedge, which we conjecture to be the bulk region that can influence the state on B. We prove that the min- and max-entanglement wedges obey various properties necessary for this conjecture, such as nesting, inclusion of the causal wedge, and a reduction to the usual quantum extremal surface prescription in the appropriate special cases. These proofs rely on one-shot versions of the (restricted) quantum focusing conjecture (QFC) that we conjecture to hold. We argue that these QFCs imply a one-shot generalized second law (GSL) and quantum Bousso bound. Moreover, in a particular semiclassical limit we prove this one-shot GSL directly using algebraic techniques. Finally, in order to derive our results, we extend both the frameworks of one-shot quantum Shannon theory and state-specific reconstruction to finite-dimensional von Neumann algebras, allowing nontrivial centers.

Akers, Chris (ORCID:0000000227929827)↗

DOE OSTI2025

Four no-go theorems on the existence of spin and orbital angular momentum of massless bosons

The past decades have seen substantial interest in the so-called orbital angular momentum (OAM) of light, driven largely by its diverse range of applications. However, there are fundamental theoretical issues with decomposing the angular momentum of massless particles, such as photons, into spin (SAM) and orbital angular momentum parts. While the angular momentum of massive particles has a natural splitting into the Wigner SAM and OAM, there are numerous proposed splittings for photons and no consensus about which is correct. Moreover, it has been shown that most of the proposed SAM and OAM operators do not satisfy the defining commutation relations of angular momentum operators and are thus not legitimate splittings. Here, we prove that it is generally impossible to split the total angular momentum operator of massless bosons, such as photons and gravitons, into spin and orbital parts. We prove two further generalizations of this result, showing that there are no SAM-OAM splittings even if (1) the SAM operator generates non-internal symmetries or (2) if one allows the SAM and OAM operators to generate non-SO(3) symmetries.

Chern numbers↗

DOE OSTI2020

Analytically Derived Piezoelectric Ejecta Data Transformations, with Implications for Claims of Experimentally Observed Self-Similarity

Building upon a previously documented analytic formalism, we derive a set of data transformations that relate piezoelectrically inferred time-dependent ejecta masses, dynamical ejecta cloud densities, and "radiographic" ejecta cloud density distributions. These transformation rules are derived rigorously, with careful attention to the assumption of instant ejecta production which is inherent in the piezoelectric mass inference procedure. Some of these relationships have not appeared previously in the literature, including solutions for the unique ejecta velocity distribution and radiographic ejecta cloud density distribution consistent with the instant-production assumption for a given piezoelectrically inferred mass dataset. In deriving the latter, we prove that—again subject to the ubiquitous instant-creation assumption—measurements at a single sensor are sufficient to determine properties of the ejecta cloud everywhere at all times. Other data transformation relationships have appeared in the literature without a rigorous derivation, or have been stated in forms that obscure the key mathematical relationships. We apply these results to arguments for self-similar ejecta cloud evolution, thereby deriving mathematical expressions by which claims of self-similarity may be examined. We prove that one analysis used in the literature to claim experimental evidence of a short ejecta production timescale—and consequently of self-similar cloud evolution—in fact places no constraint the ejecta production interval and therefore does not support the associated conclusion. We also provide a potentially useful uniqueness proof.

30 DIRECT ENERGY CONVERSION↗

DOE OSTI2020

Hydropower Geotechnical Foundations: Current Practice and Innovation Opportunities for Low-Head Applications

Hydropower is a renewable energy resource that produces electricity from flowing water under pressure. Engineered hydropower structures, such as dams, are used to create a hydraulic head, enabling a turbinegenerator unit to convert pressurized flow into electricity. While hydropower has been a source of renewable energy since antiquity, new development in the United States has slowed in recent decades. Based on recent resource assessments, the largest opportunity to expand hydropower in the United States is from new stream-reach development (i.e., new hydropower development along stream-reaches that do not currently have hydroelectric facilities or other forms of infrastructure, such as dams). Roughly 75% of identified new stream-reach development potential is from low-head sites (less than 30 ft of head), which typically suffer from smaller power densities and higher normalized costs, given economies of scale. Hydropower developers and other stakeholders are thus interested in strategies to reduce initial capital costs while practicing sustainable development to maximize environmental compatibility with minimal disruption to natural aquatic life, sediment, and water flows. Historically, civil works have represented a significant cost driver for new hydropower development, with the foundation system representing a major cost component and source of uncertainty. The foundation system is the collection of engineered structural features (e.g. cutoff trenches, walls, grouting, anchors) constructed at or below the preconstruction ground surface that interfaces between the overlying structures (superstructures) and the bed material below (subsurface). Development of a hydropower foundation system must consider the various characteristics of the surrounding stream environment and subsurface while adhering to the engineering requirements of the superstructure that it supports. The care of water, excavation, and other construction activities are important features of foundation design and construction. The design and construction cost of the foundation system is largely dependent on the site geology and riverbed composition and is influenced by the level of geotechnical assessment required and conducted. Thus, a hydropower facility’s geotechnical foundation is often highly site-specific, with proper site selection and assessment being important to project success. The foundation system is designed to provide structural stability (of the foundation and dam), limit seepage, ensure public safety, and maintain functionality for the project life, during both construction and facility operations. Inadequate foundation or dam design can result in dam failure and the uncontrolled release of significant volumes of water, which could cause a high number of casualties and extensive property damage downstream of the failure. According to the Association of State Dam Safety Officials, approximately 30% of all historical dam failures in the United States are attributed to foundation or abutment defects, and another 20% are attributed to piping or seepage through the embankment, foundation, or abutment. To ameliorate these safety considerations, foundations often require massive amounts of construction material (e.g., grout, concrete, engineered dam fill) and long construction times. Foundation design also requires significant analysis prior to construction because the initial in-stream and abutment subsurface conditions are site-specific, and sufficient data for them often are lacking. Current practice requires on-site assessment, using expensive drilling and invasive and non-invasive investigation methods, to determine the expected cost of foundation material and treatment. Additionally, foundation construction often requires site dewatering (and other care of water activities), which involves constructing temporary diversion structures upstream and often downstream, called cofferdams, and water diversion systems that route water around the construction site. Cofferdams and water diversion systems can drastically increase construction costs and contribute to environmental disruption, including modification of flow patterns and benthic habitats. Given the technical, economic, and environmental challenges associated with hydropower foundations, opportunities exist to improve the current state of practice and to develop new and innovative solutions to Hydropower is a renewable energy resource that produces electricity from flowing water under pressure. Engineered hydropower structures, such as dams, are used to create a hydraulic head, enabling a turbinegenerator unit to convert pressurized flow into electricity. While hydropower has been a source of renewable energy since antiquity, new development in the United States has slowed in recent decades. Based on recent resource assessments, the largest opportunity to expand hydropower in the United States is from new stream-reach development (i.e., new hydropower development along stream-reaches that do not currently have hydroelectric facilities or other forms of infrastructure, such as dams). Roughly 75% of identified new stream-reach development potential is from low-head sites (less than 30 ft of head), which typically suffer from smaller power densities and higher normalized costs, given economies of scale. Hydropower developers and other stakeholders are thus interested in strategies to reduce initial capital costs while practicing sustainable development to maximize environmental compatibility with minimal disruption to natural aquatic life, sediment, and water flows. Historically, civil works have represented a significant cost driver for new hydropower development, with the foundation system representing a major cost component and source of uncertainty. The foundation system is the collection of engineered structural features (e.g. cutoff trenches, walls, grouting, anchors) constructed at or below the preconstruction ground surface that interfaces between the overlying structures (superstructures) and the bed material below (subsurface). Development of a hydropower foundation system must consider the various characteristics of the surrounding stream environment and subsurface while adhering to the engineering requirements of the superstructure that it supports. The care of water, excavation, and other construction activities are important features of foundation design and construction. The design and construction cost of the foundation system is largely dependent on the site geology and riverbed composition and is influenced by the level of geotechnical assessment required and conducted. Thus, a hydropower facility’s geotechnical foundation is often highly site-specific, with proper site selection and assessment being important to project success. The foundation system is designed to provide structural stability (of the foundation and dam), limit seepage, ensure public safety, and maintain functionality for the project life, during both construction and facility operations. Inadequate foundation or dam design can result in dam failure and the uncontrolled release of significant volumes of water, which could cause a high number of casualties and extensive property damage downstream of the failure. According to the Association of State Dam Safety Officials, approximately 30% of all historical dam failures in the United States are attributed to foundation or abutment defects, and another 20% are attributed to piping or seepage through the embankment, foundation, or abutment. To ameliorate these safety considerations, foundations often require massive amounts of construction material (e.g., grout, concrete, engineered dam fill) and long construction times. Foundation design also requires significant analysis prior to construction because the initial in-stream and abutment subsurface conditions are site-specific, and sufficient data for them often are lacking. Current practice requires on-site assessment, using expensive drilling and invasive and non-invasive investigation methods, to determine the expected cost of foundation material and treatment. Additionally, foundation construction often requires site dewatering (and other care of water activities), which involves constructing temporary diversion structures upstream and often downstream, called cofferdams, and water diversion systems that route water around the construction site. Cofferdams and water diversion systems can drastically increase construction costs and contribute to environmental disruption, including modification of flow patterns and benthic habitats. Given the technical, economic, and environmental challenges associated with hydropower foundations, opportunities exist to improve the current state of practice and to develop new and innovative solutions to challenges frequently encountered with traditional approaches. With this understanding, it is critically important to understand and document the current state of practice for hydropower geotechnical foundations, identify key challenges, and define opportunities for innovative solutions. To this end, this report documents the current state of practice across the three main phases of geotechnical foundation development: (1) geotechnical site assessment, (2) design, and (3) construction for hydropower systems. It also describes the major challenges with conventional approaches and identifies opportunities for innovation to reduce hydropower foundations costs, timelines, and risks. Key takeaways from this report include the following: Approximately 80% of available low-head sites are expected to have foundations on soil beds rather than rock beds, suggesting that rockfill and earthfill dams may be the most cost-effective conventional dam type for new projects.; Geotechnical and geologic investigation activities are time-consuming and expensive but are essential to define the parameters and criteria needed for foundation design.; Certain riverbed soil and bedrock types present significant technical challenges or require expensive foundation construction, which can prove financially prohibitive for low-head project development.; Modular hydropower design and prefabricated modular foundations represent a promising but unproven paradigm for new hydropower development. Design and construction approaches using optimized and highly repeatable, reliable components would benefit project cost, time, and risk but require additional research and development.; Temporary construction features for foundations, including cofferdams, water diversion, and water control systems, can prove costly and have inherent construction risk.; For economically viable development, hydropower geotechnical foundations should be limited to 4 to 15% of the project’s total initial capital costs. Many proposed projects have experienced cost overruns attributable to foundation difficulties or surprises during construction. These overruns may have been due to inadequate investigations, lack of adequate engineering effort to tailor the structures to site geology and topography, and/or contractual terms, among other considerations.; Challenges for hydropower foundations and opportunities for innovative technology solutions are identified in the following areas (consistent with the three main phases of foundation development): Geotechnical site assessment, Foundation design and materials, Construction methods and technology. Ultimately, this report aims to provide information about geotechnical foundations for low-head hydropower and to motivate transformative technologies to support hydropower growth.

13 HYDRO ENERGY↗

DOE OSTI2021

Conversion of CO 2 into Synthetic Graphite

Carbon Dioxide (CO 2 ) can be utilized as a source for producing synthetic graphite. Our method converts CO 2 into solid carbon. These CO 2 -sourced solid carbon have an anisotropic property that allow them to be graphitized into synthetic graphite. Our patented thermal catalytic process uses carbon dioxide and hydrogen as the feedstocks for the reaction, producing solid carbon material, with distilled water as the sole byproduct. The process is designed as a closed loop, where all feedstock gases entering the reactor are converted into durable bulk carbons and water, with no emissions. These carbons materials can be sintered into a solid structure and then thermally annealed, taking the carbon atoms from a disordered state to a highly ordered state of graphitic material – producing synthetic graphite structures. Phase 1 will prove that these bulk carbons can be sintered into a machinable solid carbon structure, which will then be annealed into a fully graphitic solid structure. Standard analytics will be done to verify the extent of graphitization (Raman, XRD). Proving this CO 2 -sourced carbon pathway to synthetic graphite structures will give the US a domestic supply route for this critical material and remove reliance on foreign sources. In addition, since the synthetic graphite structure is made from CO 2 -sourced carbon, this is also a method to mitigate CO 2 . Graphite structures are used in high temperature and high friction applications, for example, as anodes for steel refining, for brake pad linings, as neutron reflectors in nuclear reactors.

36 MATERIALS SCIENCE↗