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

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At least 19 records
All sourcesNASA NTRSDOE OSTI
DOE OSTI2021

ORNL FACE Final Harvest, 2009, with data on leaf characteristics and tree mass

During the final year of the Oak Ridge National Laboratory (ORNL) free-air CO2 enrichment (FACE) experiment, 16 trees were felled and processed during July 2009. The trees had been grown for 12 years in ambient or elevated CO2. Two data sets are reported. Leaf characteristics (leaf mass per unit area, leaf thickness, average leaf size, carbon and nitrogen concentrations) are reported for each 1-meter section of the tree crowns in data set "Canopy_subsamples.csv". The measurements were made on approximately 20 subsamples collected from each 1-meter section of the canopy. Wood dry mass, total tree height, basal area, total leaf mass and leaf area are reported in "Tree_harvest.csv", based on field measurements of fresh mass and dry mass to fresh mass ratio of subsamples. The ORNL FACE experiment, including photos of the harvesting activity, is described at: https://richnorby.org/home/face-home/.

54 ENVIRONMENTAL SCIENCES↗
DOE OSTI2021

Living on the edge: A continental-scale assessment of forest vulnerability to drought

Globally, forests are facing an increasing risk of mass tree mortality events associated with extreme droughts and higher temperatures. Hydraulic dysfunction is considered a key mechanism of drought-triggered dieback. By leveraging the climate breadth of the Australian landscape and a national network of research sites (Terrestrial Ecosystem Research Network), we conducted a continental-scale study of physiological and hydraulic traits of 33 native tree species from contrasting environments to disentangle the complexities of plant response to drought across communities. Here, we found strong relationships between key plant hydraulic traits and site aridity. Leaf turgor loss point and xylem embolism resistance were correlated with minimum water potential experienced by each species. Across the data set, there was a strong coordination between hydraulic traits, including those linked to hydraulic safety, stomatal regulation and the cost of carbon investment into woody tissue. These results illustrate that aridity has acted as a strong selective pressure, shaping hydraulic traits of tree species across the Australian landscape. Hydraulic safety margins were constrained across sites, with species from wetter sites tending to have smaller safety margin compared with species at drier sites, suggesting trees are operating close to their hydraulic thresholds and forest biomes across the spectrum may be susceptible to shifts in climate that result in the intensification of drought.

59 BASIC BIOLOGICAL SCIENCES↗
DOE OSTI2022

Challenges and Capabilities in Estimating Snow Mass Intercepted in Conifer Canopies With Tree Sway Monitoring

Snowpack accumulation in forested watersheds depends on the amount of snow intercepted in the canopy and its partitioning into sublimation, unloading, and melt. A lack of canopy snow measurements limits our ability to evaluate models that simulate canopy processes and predict snowpack. We tested whether monitoring changes in wind-induced tree sway is a viable technique for detecting snow interception and quantifying canopy snow water equivalent (SWE). Over a 6 year period in Colorado, we monitored hourly sway of two conifers, each instrumented with an accelerometer sampling at 12 Hz. We developed an approach to distinguish changes in sway frequency due to thermal effects on tree rigidity versus intercepted snow mass. Over 60% of days with canopy snow had a sway signal that could not be distinguished from thermal effects. However, larger changes in tree sway could not generally be attributed to thermal effects, and canopy snow was present 93%–95% of the time, as confirmed with classified PhenoCam imagery. Using sway tests, we converted changes in sway to canopy SWE, which were correlated with total snowstorm amounts from a nearby SNOTEL site (Spearman r = 0.72 to 0.80, p < 0.001). Greater canopy SWE was associated with storm temperatures between -7°C and 0°C and wind speeds less than 4 m s -1 . Lower canopy SWE prevailed in storms with lower temperatures and higher wind speeds. Monitoring tree sway is a viable approach for quantifying canopy SWE, but challenges remain in converting changes in sway to mass and distinguishing thermal and snow mass effects on tree sway.

54 ENVIRONMENTAL SCIENCES↗
DOE OSTI2024

Getting allometry right at the Oak Ridge free‐air CO 2 enrichment experiment: Old problems and new opportunities for global change experiments

Societal Impact Statement Free‐air CO 2 enrichment (FACE) experiments provide essential data on forest responses to increasing atmospheric CO 2 for evaluations of climate change impacts on humanity. Understanding and reducing the uncertainty in the experimental results is critical to ensure scientific and public confidence in the models and policy initiatives that derive therefrom. One source of uncertainty is the estimation of tree biomass using mathematical relationships between biomass and easily obtained and non‐destructive measurements (allometry). We evaluated the robustness of the allometric relationships established at the beginning of a FACE experiment and discuss the challenges and opportunities for the new generation of FACE experiments. Summary Long‐term field experiments to elucidate forest responses to rising atmospheric CO 2 concentration require allometric equations to estimate tree biomass from non‐destructive measurements of tree size. We analyzed whether the allometric equations established at the beginning of a free‐air CO 2 enrichment (FACE) experiment in a Liquidambar styraciflua plantation were still valid at the end of the 12 year experiment. Aboveground woody biomass was initially predicted by an equation that included bole diameter, taper, and height, assuming that including taper and height as predictors would accommodate changes in tree structure that might occur over time and in response to elevated CO 2 . At the conclusion of the FACE experiment, we harvested 23 trees, measured dimensions and dry mass of boles and branches, and extracted and measured the woody root mass of 10 trees. Although 10 of the harvested trees were larger than the trees used to establish the allometric relationship, measured aboveground woody biomass was well predicted by the original allometry. The initial linear equation between bole basal area and woody root biomass underestimated final root biomass by 28%, but root biomass was just 21% of total wood mass, and errors in aboveground and belowground estimates were offsetting. The allometry established at the beginning of the experiment provided valid predictions of tree biomass throughout the experiment. New allometric approaches using terrestrial laser scanning should reduce an important source of uncertainty in decade‐long forest experiments and in assessments of centuries‐long forest biomass accretion used in evaluating carbon offsets and climate mitigation.

59 BASIC BIOLOGICAL SCIENCES↗
DOE OSTI2021

ORNL FACE Tree Height, with data on height of a subset of trees measured every year, 1997-2009. Free-Air CO2 Enrichment (FACE) Experiment Synthesis Activities.

Height of 20 sweetgum trees in three rows of each of the plots in the Oak Ridge National Laboratory (ORNL) free-air CO2 enrichment (FACE) experiment was measured each year of the experiment (1997-2009). The trees were exposed to ambient or elevated CO2. Tree height data contribute to the overall project objectives to determine the integrated response of a deciduous forest to elevated CO2. Average tree height per plot was used in allometric equations to calculate tree dry mass each year and to test whether there were effects of elevated CO2 on canopy development. Height was derived from trigonometric calculation from measurements of horizontal distance of observer from the bole and the angles from observer’s eye to top and base of tree, using a Haglof sonic hypsometer. The data are presented in a csv file, with plot number in the first column, tree number in the second column, and height recorded to 0.1 m in 1997 to 2009 in remaining columns. Plots 1 and 2 had elevated CO2, and plots 3-5 were in ambient CO2. Missing data occur after the tree died. The experiment and the height measurement are described in: Norby, R. J., D. E. Todd, J. Fults, and D. W. Johnson. 2001. Allometric determination of tree growth in a CO2-enriched sweetgum stand. New Phytologist 150: 477-487. The ORNL FACE experiment is described at: https://richnorby.org/home/face-home/.

54 ENVIRONMENTAL SCIENCES↗
DOE OSTI2020

Vacuum stability in inert higgs doublet model with right-handed neutrinos

We analyze the vacuum stability in the inert Higgs doublet extension of the Standard Model (SM), augmented by right-handed neutrinos (RHNs) to explain neutrino masses at tree level by the seesaw mechanism. We make a comparative study of the high- and low-scale seesaw scenarios and the effect of the Dirac neutrino Yukawa couplings on the stability of the Higgs potential. Bounds on the scalar quartic couplings and Dirac Yukawa couplings are obtained from vacuum stability and perturbativity considerations. These bounds are found to be relevant only for low-scale seesaw scenarios with relatively large Yukawa couplings. The regions corresponding to stability, metastability and instability of the electroweak vacuum are identified. These theoretical constraints give a very predictive parameter space for the couplings and masses of the new scalars and RHNs which can be tested at the LHC and future colliders. The lightest non-SM neutral CP-even/odd scalar can be a good dark matter candidate and the corresponding collider signatures are also predicted for the model.

71 CLASSICAL AND QUANTUM MECHANICS, GENERAL PHYSIC↗
DOE OSTI2020

Bootstrap bounds on closed Einstein manifolds

A compact Riemannian manifold is associated with geometric data given by the eigenvalues of various Laplacian operators on the manifold and the triple overlap integrals of the corresponding eigenmodes. This geometric data must satisfy certain consistency conditions that follow from associativity and the completeness of eigenmodes. We show that it is possible to obtain nontrivial bounds on the geometric data of closed Einstein manifolds by using semidefinite programming to study these consistency conditions, in analogy to the conformal bootstrap bounds on conformal field theories. These bootstrap bounds translate to constraints on the tree-level masses and cubic couplings of Kaluza-Klein modes in theories with compact extra dimensions. We show that in some cases the bounds are saturated by known manifolds.

71 CLASSICAL AND QUANTUM MECHANICS, GENERAL PHYSIC↗
DOE OSTI2020

Minimal realizations of Dirac neutrino mass from generic one-loop and two-loop topologies at d =5

We carry out a systematic investigation for the minimal Dirac neutrino mass models emerging from generic one-loop and two-loop topologies that arise from d = 5 effective operator with a singlet scalar, σ. To ensure that the tree-level Dirac mass, as well as Majorana mass terms at all orders, are absent for the neutrinos, we work in the framework where the Standard Model is supplemented by the well-motivated U(1)B-L gauge symmetry. At the one-loop level, we analyze six possible topologies, out of which two of them have the potential to generate desired Dirac neutrino mass. Adopting a systematic approach to select minimal models, we construct seventeen viable one-loop Dirac neutrino mass models. By embracing a similar methodical approach at the two-loop, we work out twenty-three minimal candidates. Among the forty selected economical models, the majority of the models proposed in this work are new. In our search, we also include the scenarios where the particles in the loop carry charges under the color group. Furthermore, we discuss the possible dark matter candidates within a given model, if any, without extending the minimal particle content.

79 ASTRONOMY AND ASTROPHYSICS↗
DOE OSTI2024

Radiative Majorana neutrino masses in a parity solution to the strong CP problem

The strong CP problem is solved in Parity symmetric theories, with the electroweak gauge group containing SU(2) L × SU(2) R broken by the minimal set of Higgs fields. Neutrino masses may be explained by adding the same number of gauge singlet fermions as the number of generations. The neutrino masses vanish at tree-level and are only radiatively generated, leading to larger couplings of right-handed neutrinos to Standard Model particles than with the tree-level seesaw mechanism. We compute these radiative corrections and the mixing angles between left- and right-handed neutrinos. We discuss sensitivities to these right-handed neutrinos from a variety of future experiments that search for heavy neutral leptons with masses from tens of MeV to the multi-TeV scale.

72 PHYSICS OF ELEMENTARY PARTICLES AND FIELDS↗
DOE OSTI2024

Mass generation in an Abelian gauge theory with multiple scalar fields and no tree-level dimensionful couplings

We study the Abelian Higgs model with multiple scalar fields, but without mass terms. Solving the model nonperturbatively order-by-order in the number of scalar fields, we find that radiative corrections generate masses for the scalar and gauge boson, without spontaneous symmetry breaking. The mass scales are set by the Λ -parameter of the electroweak running coupling, thereby naturally avoiding the hierarchy problem. No part of our calculation employs a weak-coupling expansion, and we find that the perturbative vacuum is metastable, and hence must decay to the stable nonperturbative vacuum of the theory, which we identify. Although the field content of our Lagrangian is standard, our results predict the existence of two heavy scalar resonances in addition to the Higgs. We believe that these predicted resonances will ultimately allow experimentalists to discriminate between our method and standard solutions of the Higgs model. Published by the American Physical Society 2024

72 PHYSICS OF ELEMENTARY PARTICLES AND FIELDS↗
DOE OSTI2022

Whole-tree dormant season nitrogen pools for different species receiving combinations of fertilization and irrigation after one short rotation

Our understanding of the accretion and distribution of tree tissue nitrogen (N) pools across a variety of species and genotypes suitable for short-rotation woody crop (SRWC) production in response to water and N availability remains limited. We measured dormant-season, rotation-length, whole-tree N pools for five tree genotypes from four species (two eastern cottonwood, Populus deltoides Bartr., genotypes; American sycamore, Platanus occidentalis L.; American sweetgum, Liquidambar styraciflua L.; and loblolly pine, Pinus taeda L.) receiving irrigation (I), fertilization (F), their combination (IF), or no resources manipulation (C). Our results demonstrate that foliar nitrogen concentration [N] responded to fertilization but was constrained within genotype-specific ranges and varied temporally. Tree genotypes differed in their composite and component tissue N content (N C ), and these differences mostly reflected tissue mass (i.e., larger components and trees resulted in higher N C ). Resource amendments (I, F, IF) resulted in up to 3.8-fold increases in N C compared with C, which were most pronounced for sycamore and sweetgum with F and IF treatments, respectively. By the end of the rotation, forest stands accumulated 73 to 452 kg N ha –1 in tree tissues with 40 – 78 % distributed aboveground and 22 – 60 % distributed belowground. A critical difference between genotypes was that all hardwoods exhibited larger belowground N distributions than the evergreen conifer. Our results stress the importance of belowground N pools and highlight differences among genotypes. Furthermore, our study underscores valuable information about N pools across genotypes suitable for SRWC production, which can be leveraged to inform fertilization plans and devise sustainable nutrient management as production expands across marginal lands.

54 ENVIRONMENTAL SCIENCES↗
DOE OSTI2022

Insights into the origin of halo mass profiles from machine learning

ABSTRACT The mass distribution of dark matter haloes is the result of the hierarchical growth of initial density perturbations through mass accretion and mergers. We use an interpretable machine-learning framework to provide physical insights into the origin of the spherically-averaged mass profile of dark matter haloes. We train a gradient-boosted-trees algorithm to predict the final mass profiles of cluster-sized haloes, and measure the importance of the different inputs provided to the algorithm. We find two primary scales in the initial conditions (ICs) that impact the final mass profile: the density at approximately the scale of the haloes’ Lagrangian patch RL ($R\sim 0.7\, R_L$) and that in the large-scale environment (R ∼ 1.7 RL). The model also identifies three primary time-scales in the halo assembly history that affect the final profile: (i) the formation time of the virialized, collapsed material inside the halo, (ii) the dynamical time, which captures the dynamically unrelaxed, infalling component of the halo over its first orbit, (iii) a third, most recent time-scale, which captures the impact on the outer profile of recent massive merger events. While the inner profile retains memory of the ICs, this information alone is insufficient to yield accurate predictions for the outer profile. As we add information about the haloes’ mass accretion history, we find a significant improvement in the predicted profiles at all radii. Our machine-learning framework provides novel insights into the role of the ICs and the mass assembly history in determining the final mass profile of cluster-sized haloes.

79 ASTRONOMY AND ASTROPHYSICS↗
DOE OSTI2021

The Last Journey. II. SMACC—Subhalo Mass-loss Analysis Using Core Catalogs

Here we introduce Subhalo Mass-loss Analysis using Core Catalogs (SMACC). SMACC adds a mass model to substructure merger trees based on halo "core tracking." Our approach avoids the need for running expensive subhalo finding algorithms and instead uses subhalo mass-loss modeling to assign masses to halo cores. We present details of the SMACC methodology and demonstrate its excellent performance in describing halo substructure and its evolution. Validation of the approach is carried out using cosmological simulations at significantly different resolutions. We apply SMACC to the 1.24-trillion-particle Last Journey simulation and construct core catalogs with the additional mass information. These catalogs can be readily used as input to semianalytic models or subhalo abundance matching approaches to determine approximate galaxy distributions, as well as for in-depth studies of small-scale structure evolution.

79 ASTRONOMY AND ASTROPHYSICS↗
DOE OSTI2024

Probing lepton number violation and Majorana nature of neutrinos at the LHC

Abstract Observation of lepton number (L) violation by two units at colliders would provide evidence for the Majorana nature of neutrinos. We study signals ofL-violation in the context of two popular models of neutrino masses, the type-II seesaw model and the Zee model, wherein small neutrino masses arise at the tree-level and one-loop level, respectively. We focus onL-violation signals at the LHC arising through the processpp→ℓ ± ℓ ′± + jets within these frameworks. We obtain sensitivity toL-violation in the type-II seesaw model for triplet scalar masses up to 700 GeV and in the Zee model for charged scalar masses up to 4.8 TeV at the high-luminosity LHC with an integrated luminosity of 3 ab −1 .

Physics↗
DOE OSTI2020

Conifer water use patterns in the East River Watershed, Colorado US, based on stable water isotopes and cellulose isotopes

This data package contains a series of datasets aimed at understanding the seasonal origins of water used by the dominant conifer species, Abies lasiocarpa and Picea engelmannii, in the East River Watershed. There is a distinct difference in the stable isotopic ratio of summer rain and snowpack and thus by tracking the isotopic ratio of the xylem water in trees, it is possible to separate when a tree is using snow vs. summer rain. Following typical protocols, we sampled and extracted water from soils in the "Research Meadow" near Gothic, CO within the East River Watershed through the 2016 growing season. The stable isotopic ratio of these waters were then measured. Using values of the isotopic ratio of precipitation and snowpack from that season, we develop a mixing model to show how the trees transitioned from use of snowpack to summer in late July. We extended the information on the seasonal origins of water from 2016 back until 1980 by using measurements of the isotopic ratio of cellulose from trees in the Research Meadow. The isotopic ratio of tree ring cellulose records a signal both of the Vapor Pressure Deficit at the leaf-atmosphere boundary and also the source water for the trees. We concluded from this extended analysis that the trees underwent transitions between periods where snow was the dominant water source and summer rain was the dominant water source. More details on this analysis can be found in the publication: Persistence and Plasticity in Conifer Water Use Strategies. JGR Biogeoscience. DOI 10.1029/2018JG004845. The dataset specifically includes stable isotope measurements of xylem and soil water for Spruce and Fir trees at the Rocky Mountain Biological Lab's Research Meadow as well as snowpack and precipitation stable isotopes from nearby National Atmospheric Deposition Program sites. Associated meteorological data is included, which is needed to understand the source water for the trees based on the cellulose measurements.This dataset was updated in June 2021 also include intra-ring measurements of the d18O and d13C of cellulose these same species of trees at the Ziegler Reservoir site in Snowmass, CO. These are listed as files: "Interglaciald18OCellulose.csv", "Interglaciald13OCellulose.csv" and "Modernd13CCellulose.csv". The intent of these measurements was to assess whether common conifers (abies and picea) had undergone ecophysiological or ecohydrological changes during the last period in Earth's history was warmer than today, i.e. the last Interglacial (116,000 to 130,000 years ago). This site was chosen because it is a location where subfossil wood from this critical warm period was discovered. We measured the d18O and d13C of the subfossil trees following the same protocol as the modern samples which included chemical extraction of cellulose and isotope ratio mass spectrometry. We found that the trees showed little difference in water use efficiency but utilized more summer rain during the interglacial period. This analysis and detailed methods are provided in the following manuscript: Wetter summers mitigated temperature stress on Rocky Mountain forests during the last interglacial warm period which is in revision at GRL but is available as a preprint here: 10.1002/essoar.10506740.2

54 ENVIRONMENTAL SCIENCES↗
DOE OSTI2026

Validating a Dynamic PWR Safety and Security Model?

Nuclear power plants (NPPs) are assessed for safety and security using separate models that cannot capture how an attacker's decisions and a plant's response unfold together in real time, leaving regulators and operators without a complete picture of true plant vulnerability. Traditional probabilistic risk assessment (PRA) methods treat adversarial events as fixed initiators with predetermined outcomes, and are structurally incapable of representing the time-dependent interplay between physical security events, safety system response, and operator mitigative actions. At Idaho National Laboratory (INL), I contributed to the development and validation of Modeling and Analysis for Safety and Security using the Dynamic EMRALD Framework (MASS-DEF). Where static PRA relies on event-tree logic that cannot evolve mid-scenario, MASS-DEF couples a time-dependent dynamic PRA tool EMRALD (Event Modeling Risk Assessment using Linked Diagrams) with attack simulation software, allowing attacker behavior, plant system states, and operator actions to interact across time. My work focused on validating a general Pressurized Water Reactor (PWR) model. I traced model logic against PWR plant to identified errors in logic and confirm accuracy. I then built and tested attack scenarios against a general PWR model to verify that the model produced expected outcomes across all logical pathways. I also contributed a section to a related technical paper applying the same EMRALD platform to radiation dose modeling. Results show that MASS-DEF can quantitatively demonstrate that many plants exceed their regulatory security thresholds. This demonstrated margin provides a technically defensible basis for reducing the number of guards without compromising regulatory compliance. Physical security costs represent roughly 10% of annual operating budgets, making such reductions directly meaningful to INL's mission of sustaining existing commercial NPPs. This internship strengthened my understanding of nuclear systems, probabilistic modeling, and technical writing, and has solidified my pursuit of a career at a national laboratory.

98 - NUCLEAR DISARMAMENT, SAFEGUARDS, AND PHYSICAL↗
DOE OSTI2024

A Metabolomics Assay to Diagnose Citrus Huanglongbing Disease and to Aid in Assessment of Treatments to Prevent or Cure Infection

Citrus greening disease, or Huanglongbing (HLB), has devastated citrus crops globally in recent years. The causal bacterium, ‘ Candidatus Liberibacter asiaticus’, presents a sampling issue for qPCR diagnostics and results in a high false negative rate. In this work, we compared six metabolomics assays to identify HLB-infected citrus trees from leaf tissue extracted from 30 control and 30 HLB-infected trees. A liquid chromatography-mass spectrometry-based assay was most accurate. A final partial least squares-discriminant analysis (PLS-DA) model was trained and validated on 690 leaf samples with corresponding qPCR measures from three citrus varieties (Rio Red grapefruit, Hamlin sweet orange, and Valencia sweet orange) from orchards in Florida and Texas. Trees were naturally infected with HLB transmitted by the insect vector Diaphorina citri. In a randomized validation set, the assay was 99.9% accurate to classify diseased from nondiseased samples. This model was applied to samples from trees receiving plant defense-inducer compounds or biological treatments to prevent or cure HLB infection. From two trials, HLB-related metabolite abundances and PLS-DA scores were tracked longitudinally and compared with those of control trees. We demonstrate how our assay can assess tree health and the efficacy of HLB treatments and conclude that no trialed treatment was efficacious.

Plant Sciences↗
DOE OSTI2021

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

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

01 COAL, LIGNITE, AND PEAT↗