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DOE OSTI2023

Rechargeable metal-metal alkaline batteries: Recent advances, current issues and future research strategies

Over the past few decades, remarkable advancement has been attained in the field of rechargeable metal–metal alkaline batteries (RABs). In terms of safety, energy density, charge-discharge capacity, and long-term storage capability, metal-metal RABs (e.g., Ni–Zn, Ni–Fe, Ni–Bi, Ni–MH, Ag–Zn, Co–Zn, Cu–Zn, and Bi–Zn systems) are contemplated as the promising energy storage devices for the applications in electric vehicles (EVs), hybrid EVs, grid-scale energy storage, as well as various implantable and wearable electronic devices. Especially, Ni-MH batteries become competitive with Li-ion batteries for EVs and hybrid EVs applications due to their high tolerance against mechanical abuse, stability under wide temperature ranges, and considerable charge/discharge capacity. Meanwhile, earlier works reviewed only specific topics, so, as a rapidly growing research topic, providing a deep understanding on metal–metal RABs is timely and worthwhile. So here, in this work, we discuss the electrochemistry of all metal-metal RABs, then full cell designing with their performance will be discussed thoroughly. Further, issues associated with the existing metal–metal RABs and corresponding improvement approaches will be provided for future advances in high-performance and reliable metal-metal RABs.

25 ENERGY STORAGE↗
DOE OSTI2026

Electrochemo-mechanics unlocks hidden dynamics of lithium plating under stacking pressure

Understanding and mitigating lithium plating remains one of the most pressing challenges in advancing the safety and longevity of lithium-ion batteries (LIBs). Here, we present a novel integrative framework that combines in-operando swelling force measurements with a physics-based electro-chemo-mechanical model to uncover previously inaccessible insights into lithium plating dynamics under mechanical constraints. Unlike existing approaches that focus primarily on electrochemical signatures, our approach captures the coupled mechanical responses of commercial pouch cells during cycling, revealing how mechanical constraints fundamentally alter degradation pathways. We demonstrate that the use of a moderate stacking pressure suppresses lithium plating and enhances lithium stripping. This mechanically driven structural effect, coupled with the electrochemical process, significantly extends the linear aging regime in LIBs. Intriguingly, intermittent capacity recovery events that were observed during the battery cycling suggest dynamic lithium reactivation, a phenomenon rarely captured in real-time. This study pioneers a stress-aware methodology for diagnosing and managing lithium plating, establishing a new paradigm for real-time battery health monitoring. The findings offer transformative implications for the design of durable, high-performance LIB systems, opening new avenues for intelligent control strategies in battery management systems.

Bhowmick, Amit↗
DOE OSTI2023

Drying of Spent Nuclear Fuel: Considerations and Examples

A recently revised American Society for Testing and Materials consensus standard guide for drying of spent nuclear fuel (SNF) provides considerations and guidance for preparing SNF for its safe storage in a sealed dry storage system. The standard discusses (1) needs for drying, (2) techniques to dry, and (3) demonstration of adequate dryness. No specific approach is prescribed since the effective techniques and needs for drying depend on the specifics of the fuel and dry storage system. Here, this paper discusses these topics using examples for both Zr-alloy-clad commercial SNF and for aluminum-alloy-clad research reactor SNF. Residual water can include free water (liquid and/or vapor), physisorbed water bound to internal surfaces, and chemisorbed water incorporated into surface films, such as (oxy)hydroxides. The potential impacts of these residual waters are corrosion/oxidation, radiolytic breakdown into gaseous and/or reactive species, and canister pressurization. For commercial SNF, inadvertent free water, even up to large amounts (e.g., 10+ mol), is not predicted to cause adverse corrosion degradation, except possible fuel oxidation for breached SNF. For aluminum-clad SNF, the production of radiolytic hydrogen with contribution from the chemisorbed water in its hydrated oxides is a primary consideration. For both SNF systems, canister pressurization is predicted to be well within the canister design, and flammability would not pose a safety concern using an oxygen limit of 5 vol % criterion. (Flammability control can be achieved by limiting either hydrogen or oxygen, and an oxygen limit is expected to be easier to meet in the presence of radiolytic H 2 generation.) The two primary technologies for SNF drying, vacuum drying and forced-gas dehydration, are described herein, and drying tests and campaigns using these methods are cited. Dryness criteria and the methods used to detect and measure residual (free) water are also discussed.

11 NUCLEAR FUEL CYCLE AND FUEL MATERIALS↗
NASA NTRS1995

Formal verification of an avionics microprocessor

Formal specification combined with mechanical verification is a promising approach for achieving the extremely high levels of assurance required of safety-critical digital systems. However, many questions remain regarding their use in practice: Can these techniques scale up to industrial systems, where are they likely to be useful, and how should industry go about incorporating them into practice? This report discusses a project undertaken to answer some of these questions, the formal verification of the AAMPS microprocessor. This project consisted of formally specifying in the PVS language a rockwell proprietary microprocessor at both the instruction-set and register-transfer levels and using the PVS theorem prover to show that the microcode correctly implemented the instruction-level specification for a representative subset of instructions. Notable aspects of this project include the use of a formal specification language by practicing hardware and software engineers, the integration of traditional inspections with formal specifications, and the use of a mechanical theorem prover to verify a portion of a commercial, pipelined microprocessor that was not explicitly designed for formal verification.

Srivas, Mandayam, K.↗
DOE OSTI2017

Web-Based Computational Model Builder For Nuclear Energy Advanced Modeling and Simulation (Final Report)

According to the World Nuclear Association, the U.S. is the largest producer of nuclear power worldwide. In fact, the U.S. provides over 30 percent of the world's nuclear generation of electricity. Although few new reactors have been built in the past 30 years, the association anticipates that four to six reactors may be built by 2020. The first of the reactors will be built in response to 16 license applications, which have been completed since 2007, to build 24 additional nuclear reactors. Currently, both government and industry are working to accelerate approval for the construction and design of new nuclear energy plants. The U.S. nuclear industry has already achieved significant developments in the implementation of nuclear power plants due to advancements in refueling, maintenance, and safety systems at current power plants. Meanwhile, changes in government policy, which have occurred since the late 1990s, have provided for noteworthy expansion in nuclear capacity. For example, the Energy Policy Act of 2005 evoked investment in electricity infrastructure such as nuclear power. To design future systems and continue operational improvements at existing U.S. plants, advanced modeling and simulation of nuclear reactors are crucial. We developed a Cloud/Web-based tool, HPCCloud, that enables nuclear energy firms, or other manufacturing and engineering companies, to innovate using advanced modeling and simulation. Through the Web-Based Computational Model Builder for Nuclear Energy Advanced Modeling and Simulation grant, we develop HPCCloud to simplify and democratize advanced modeling and simulation in the nuclear energy industry on a range of nuclear engineering applications. It leverages millions of investment dollars from the Department of Energy's Consortium for Advanced Simulation of Light Water Reactors (CASL) and the Office of Nuclear Energy's research and development in Nuclear Energy Advanced Modeling and Simulation (NEAMS). Our approach simplifies the workflow, alleviates the need for in-house computational science and engineering experts, and lowers the capital investments required for advanced modeling and simulation. The Cloud/Web-based simulation environment guides end-users and developers through the advanced modeling and simulation lifecycle. In addition to providing significantly improved, intuitive software, the environment offers reproducible workflows where one can save, share, and even publish the full path of data from input to final analyzed results. HPCCloud addresses identified challenges to the nuclear energy industry's use of advanced modeling and simulation. With this unique Cloud/Web-based environment, we enable an ecosystem of synergistic activities, fueling new research and development for nuclear energy. HPCCloud lays the groundwork for commercialization, through customization, technology integration, and advanced research and development services.

22 GENERAL STUDIES OF NUCLEAR REACTORS↗
NASA NTRS2023

The Planetary Protection Strategy of Mars Sample Return’s Earth Return Orbiter Mission

The Mars Sample Return campaign aims to use three flight missions and one ground element to safely bring rock cores, regolith and atmospheric samples from the surface of Mars to Earth to answer key questions about the geologic and climate history of Mars, including the potential for ancient life. Since its landing in Jezero Crater in 2021, the first mission, NASA’s Mars 2020, has collected a number of samples on the crater floor and on the delta using the Perseverance rover. Subsequent missions would recover the sealed sample tubes, launch them into Mars orbit, and transport them back to Earth. The ground element would be a high-containment facility that would isolate and protect the samples during initial sample characterization, which would include sample safety assessments and time-sensitive scientific investigations. These elements are currently in the planning and design stages of development, and represent an international effort of NASA, the European Space Agency (ESA), and many industry partners. The work presented here provides an overview of the planetary protection strategy of the third flight mission, the ESA-led Earth Return Orbiter (ERO), which hosts the NASA-provided Capture, Containment, and Return System (CCRS). ERO-CCRS would capture the container with up to 30 sealed tubes previously put in Martian orbit, contain them in redundant containers to ensure that no potentially hazardous Mars particles are released, and return them to Earth through an entry vehicle. Both NASA and ESA policies comply with the United Nations’ Outer Space Treaty by planning to protect Earth’s biosphere from any potential adverse effects from material returned from solar system bodies beyond the Earth-Moon system. In the conduct of Mars Sample Return, the two agencies have agreed to apply approaches consistent with their own planetary protection standards to the campaign elements each provides.

Mars Sample Return↗
NASA NTRS2024

The Planetary Protection Strategy of Mars Sample Return’s Earth Return Orbiter Mission

The Mars Sample Return campaign aims to use three flight missions and one ground element to safely bring rock cores, regolith and atmospheric samples from the surface of Mars to Earth to answer key questions about the geologic and climate history of Mars, including the potential for ancient life. Since its landing in Jezero Crater in 2021, the first mission, NASA’s Mars 2020, has collected a number of samples on the crater floor and on the delta using the Perseverance rover. Subsequent missions would recover the sealed sample tubes, launch them into Mars orbit, and transport them back to Earth. The ground element would be a high-containment facility that would isolate and protect the samples during initial sample characterization, which would include sample safety assessments and time-sensitive scientific investigations. These elements are currently in the planning and design stages of development, and represent an international effort of NASA, the European Space Agency (ESA), and many industry partners. The work presented here provides an overview of the planetary protection strategy of the third flight mission, the ESA-led Earth Return Orbiter, which hosts the NASA-provided Capture, Containment, and Return System. The orbiter would detect and capture the container with up to 30 sealed tubes previously put in Martian orbit, contain them in redundant containers to ensure that no potentially hazardous Mars particles are released, and return them to Earth through an entry vehicle. Both NASA and ESA policies comply with the United Nations’ Outer Space Treaty by planning to protect Earth’s biosphere from any potential adverse effects from material returned from solar system bodies beyond the Earth-Moon system. In the conduct of Mars Sample Return, the two agencies have mutually agreed to apply approaches consistent with their own planetary protection standards to the campaign elements they each provide.

Mars Sample Return↗
DOE OSTI2025

Radiation Accidents and Malicious Events – Scenarios and Scope of the Work of ICRP Task Group 120

The International Commission on Radiological Protection (ICRP) Task Group 120 (TG120) is developing ICRP recommendations for radiological protection for a wide range of radiation accidents and malicious events, complementing those given in ICRP Publication 146 (2020) for large nuclear accidents. The scope includes accidents involving criticalities, operating faults, and fires and explosions in nuclear facilities, inadvertent damage to sealed radiation sources, as well as malicious events, such as sabotage of nuclear facilities or materials, use of radiological dispersal devices, the contamination of food and drinking water supplies, and the deployment of nuclear weapons. A template has been designed to collate relevant information on a wide range of case studies and hypothetical malicious scenarios to ensure that the recommendations developed are broadly applicable and comprehensive. For all scenarios, a graded approach to protection is being taken, accepting that specific guidance may be required for some distinctive aspects, for example, protection during times of armed conflict. This paper provides an overview of the scenarios and scope of the work of TG120, including some of the radiological and non-radiological impacts of radiation emergencies, along the response and recovery timeline.

ICRP↗
DOE OSTI2016

Whole Genome Sequence Analysis Using JSpecies Tool Establishes Clonal Relationships between Listeria monocytogenes Strains from Epidemiologically Unrelated Listeriosis Outbreaks

In an effort to build a comprehensive genomic approach to food safety challenges, the FDA has implemented a whole genome sequencing effort, GenomeTrakr, which involves the sequencing and analysis of genomes of foodborne pathogens. As a part of this effort, we routinely sequence whole genomes of Listeria monocytogenes (Lm) isolates associated with human listeriosis outbreaks, as well as those isolated through other sources. To rapidly establish genetic relatedness of these genomes, we evaluated tetranucleotide frequency analysis via the JSpecies program to provide a cursory analysis of strain relatedness. The JSpecies tetranucleotide (tetra) analysis plots standardized (z-score) tetramer word frequencies of two strains against each other and uses linear regression analysis to determine similarity (r 2 ). This tool was able to validate the close relationships between outbreak related strains from four different outbreaks. Included in this study was the analysis of Lm strains isolated during the recent caramel apple outbreak and stone fruit incident in 2014. We identified that many of the isolates from these two outbreaks shared a common 4b variant (4bV) serotype, also designated as IVb-v1, using a qPCR protocol developed in our laboratory. The 4bV serotype is characterized by the presence of a 6.3 Kb DNA segment normally found in serotype 1/2a, 3a, 1/2c and 3c strains but not in serotype 4b or 1/2b strains. We decided to compare these strains at a genomic level using the JSpecies Tetra tool. Specifically, we compared several 4bV and 4b isolates and identified a high level of similarity between the stone fruit and apple 4bV strains, but not the 4b strains co-identified in the caramel apple outbreak or other 4b or 4bV strains in our collection. This finding was further substantiated by a SNP-based analysis. Additionally, we were able to identify close relatedness between isolates from clinical cases from 1993–1994 and a single case from 2011 as well as links between two isolates from over 30 years ago. The identification of these potential links shows that JSpecies Tetra analysis can be a useful tool in rapidly assessing genetic relatedness of Lm isolates during outbreak investigations and for comparing historical isolates. In conclusion, our analyses led to the identification of a highly related clonal group involved in two separate outbreaks, stone fruit and caramel apple, and suggests the possibility of a new genotype that may be better adapted for certain foods and/or environment.

59 BASIC BIOLOGICAL SCIENCES↗
DOE OSTI2016

Development and Execution of a Large-scale DDT Tube Test for IHE Material Qualification

Insensitive High Explosive (IHE) Materials are defined in Chapter IX of the DOE Explosive Safety Standard (DOE-STD-1212-2012) as being materials that are massdetonable explosives that are so insensitive that the probability of accidental initiation or transition from burning to detonation is negligible1. There are currently a number of tests included in the standard that are required to qualify a material as IHE, however, none of the tests directly evaluate for the transition from burning to detonation (aka deflagration-to-detonation transition, DDT). Currently, there is a DOE complex-wide effort to revisit the IHE definition in DOE-STD-1212-2012 and change the qualification requirements. The proposal lays out a new approach, requiring fewer, but more appropriate tests, for IHE Material qualification. One of these new tests is the Deflagration-to-Detonation Test. According to the redefinition proposal, the purpose of the new deflagration-todetonation test is “to demonstrate that an IHE material will not undergo deflagration-to-detonation under stockpile relevant conditions of scale, confinement, and material condition. Inherent in this test design is the assumption that ignition does occur, with onset of deflagration. The test design will incorporate large margins and replicates to account for the stochastic nature of DDT events.” In short, the philosophy behind this approach is that if a material fails to undergo DDT in a significant over-test, then it is extremely unlikely to do so in realistic conditions. This effort will be valuable for the B61 LEP to satisfy their need qualify the new production lots of PBX 9502. The work described in this report is intended as a preliminary investigation to support the proposed design of an overly conservative, easily fielded DDT test for updated IHE Material Qualification standard. Specifically, we evaluated the aspects of confinement, geometry, material morphology and temperature. We also developed and tested a thermally robust igniter system.

36 MATERIALS SCIENCE↗
NASA NTRS1994

Milestone 4: Test plan for Reusable Hydrogen Composite Tank System (RHCTS). Task 3: Composite tank materials

This document is the detailed test plan for the series of tests enumerated in the preceding section. The purpose of this plan is to present the test objectives, test parameters and procedures, expected performance and data analysis plans, criteria for success, test schedules, and related safety provisions and to describe the test articles, test instrumentation, and test facility requirements. Initial testing will be performed to screen four composite materials for suitability for SSTO LH2 tank loads and environmental conditions. The laminates for this testing will be fabricated by fiber placement, which is the manufacturing approach identified as baseline for the tank wall. Even though hand layup will be involved in fabricating many of the internal structural members of the tank, no hand-layup laminates will be evaluated in the screening or subsequent characterization testing. This decision is based on the understanding that mechanical properties measured for hand-layup material should be at least equivalent to properties measured for fiber-placed material, so that the latter should provide no less than a conservative approximation of the former. A single material will be downselected from these screening tests. This material will be subsequently characterized for impact-damage tolerance and durability under conditions of mechanical and thermal cycling, and to establish a preliminary design database to support ongoing analysis. Next, testing will be performed on critical structural elements fabricated from the selected material. Finally, the 8-foot diameter tank article, containing the critical structural features of the full-scale tank, will be fabricated by fiber placement and tested to verify its structural integrity and LH2 containment.

Greenberg, H. S.↗
NASA NTRS2011

Testing Strategies and Methodologies for the Max Launch Abort System

The National Aeronautics and Space Administration (NASA) Engineering and Safety Center (NESC) was tasked to develop an alternate, tower-less launch abort system (LAS) as risk mitigation for the Orion Project. The successful pad abort flight demonstration test in July 2009 of the "Max" launch abort system (MLAS) provided data critical to the design of future LASs, while demonstrating the Agency s ability to rapidly design, build and fly full-scale hardware at minimal cost in a "virtual" work environment. Limited funding and an aggressive schedule presented a challenge for testing of the complex MLAS system. The successful pad abort flight demonstration test was attributed to the project s systems engineering and integration process, which included: a concise definition of, and an adherence to, flight test objectives; a solid operational concept; well defined performance requirements, and a test program tailored to reducing the highest flight test risks. The testing ranged from wind tunnel validation of computational fluid dynamic simulations to component ground tests of the highest risk subsystems. This paper provides an overview of the testing/risk management approach and methodologies used to understand and reduce the areas of highest risk - resulting in a successful flight demonstration test.

Schaible, Dawn M.↗
DOE OSTI2022

Development and Demonstration of a Risk-Informed Approach to the Regulatory Required Fuel Reload Safety Analysis

The United States (U.S.) nuclear industry is facing a strong challenge to maintain regulatory-required levels of safety while ensuring economic competitiveness to stay in business. Safety remains a key parameter for all aspects related to the operation of light water reactor (LWR) nuclear power plants (NPPs) and can be achieved more economically by using a risk-informed ecosystem such as that being developed by the Risk-Informed Systems Analysis (RISA) Pathway under the U.S. Department of Energy (DOE) Light Water Reactor Sustainability (LWRS) Program. The LWRS Program is promoting a wide range of research and development (R&D) activities with the goal to maximize both the safety and economically efficient performance of NPPs through improved scientific understanding, especially given that many plants are considering second license renewal. The RISA Pathway has two main goals: (1) the deployment of methodologies and technologies that enable better representation of safety margins and the factors that contribute to cost and safety; and (2) the development of advanced applications that enable cost-effective plant operation. The plant reload optimization framework development project aims to build an artificial intelligence, i.e., Genetic Algorithm (GA), based reactor core designing tool taking into account reactor safety and fuel performance analyses.

11 NUCLEAR FUEL CYCLE AND FUEL MATERIALS↗
NASA NTRSDate not supplied

The Planetary Protection Strategy of Mars Sample Return Earth Return Orbiter Mission

The Mars Sample Return campaign aims to use three flight missions and one ground element to safely bring rock cores, regolith and atmospheric samples from the surface of Mars to Earth to answer key questions about the geologic and climate history of Mars, including the potential for ancient life. Since its landing in Jezero Crater in 2021, the first mission, NASA’s Mars 2020, has collected a number of samples on the crater floor and on the delta using the Perseverance rover. Subsequent missions would recover the sealed sample tubes, launch them into Mars orbit, and transport them back to Earth. The ground element would be a high-containment facility that would isolate and protect the samples during initial sample characterization, which would include sample safety assessments and time-sensitive scientific investigations. These elements are currently in the planning and design stages of development, and represent an international effort of NASA, the European Space Agency (ESA), and many industry partners. The work presented here provides an overview of the Planetary Protection strategy of the third flight mission, the ESA-led Earth Return Orbiter (ERO), which hosts the NASA-provided Capture, Containment, and Return System (CCRS). ERO-CCRS would detect and capture the container with up to 30 sealed tubes previously put in Martian orbit, contain them in redundant containers to ensure that no potentially hazardous Mars particles are released, and return them to Earth through an entry vehicle. Both NASA and ESA policies comply with the United Nations’ Outer Space Treaty by planning to protect Earth’s biosphere from any potential adverse effects from material returned from solar system bodies beyond the Earth-Moon system. In the conduct of Mars Sample Return, the two agencies have mutually agreed to apply approaches consistent with their own planetary protection standards to the campaign elements they each provides.

mars sample return↗
DOE OSTI2016

Fundamental approaches for analysis thermal hydraulic parameter for Puspati Research Reactor

The 1-MW PUSPATI Research Reactor (RTP) is the one and only nuclear pool type research reactor developed by General Atomic (GA) in Malaysia. It was installed at Malaysian Nuclear Agency and has reached the first criticality on 8 June 1982. Based on the initial core which comprised of 80 standard TRIGA fuel elements, the very fundamental thermal hydraulic model was investigated during steady state operation using the PARET-code. The main objective of this paper is to determine the variation of temperature profiles and Departure of Nucleate Boiling Ratio (DNBR) of RTP at full power operation. The second objective is to confirm that the values obtained from PARET-code are in agreement with Safety Analysis Report (SAR) for RTP. The code was employed for the hot and average channels in the core in order to calculate of fuel’s center and surface, cladding, coolant temperatures as well as DNBR’s values. In this study, it was found that the results obtained from the PARET-code showed that the thermal hydraulic parameters related to safety for initial core which was cooled by natural convection was in agreement with the designed values and safety limit in SAR.

21 SPECIFIC NUCLEAR REACTORS AND ASSOCIATED PLANTS↗
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↗