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Fast and Universal Kohn-Sham Density Functional Theory Algorithm for Warm Dense Matter to Hot Dense Plasma

Understanding many processes, e.g., fusion experiments, planetary interiors, and dwarf stars, depends strongly on microscopic physics modeling of warm dense matter and hot dense plasma. This complex state of matter consists of a transient mixture of degenerate and nearly free electrons, molecules, and ions. This regime challenges both experiment and analytical modeling, necessitating predictive ab initio atomistic computation, typically based on quantum mechanical Kohn-Sham density functional theory (KS-DFT). However, cubic computational scaling with temperature and system size prohibits the use of DFT through much of the warm dense matter regime. A recently developed stochastic approach to KS-DFT can be used at high temperatures, with the exact same accuracy as the deterministic approach, but the stochastic error can converge slowly and it remains expensive for intermediate temperatures (< 50 eV). Here we have developed a universal mixed stochastic-deterministic algorithm for DFT at any temperature. This approach leverages the physics of KS-DFT to seamlessly integrate the best aspects of these different approaches. We demonstrate that this method significantly accelerated self-consistent field calculations for temperatures from 3 to 50 eV, while producing stable molecular dynamics and accurate diffusion coefficients.

70 PLASMA PHYSICS AND FUSION TECHNOLOGY↗

Bohm Criterion of Plasma Sheaths away from Asymptotic Limits

The plasma exit flow speed at the sheath entrance is constrained by the Bohm criterion. The so-called Bohm speed regulates the plasma particle and power exhaust fluxes to the wall, and it is commonly deployed as a boundary condition to exclude the sheath region in quasineutral plasma modeling. In this work, the Bohm criterion analysis is performed in the intermediate plasma regime away from the previously known limiting cases of adiabatic laws and the asymptotic limit of infinitesimal Debye length in a finite-size system, using the transport equations of an anisotropic plasma. The resulting Bohm speed has explicit dependence on local plasma heat flux, temperature isotropization, and thermal force. Comparison with kinetic simulations demonstrates its accuracy over the plasma-sheath transition region in which quasineutrality is weakly perturbed and the Bohm criterion applies.

70 PLASMA PHYSICS AND FUSION TECHNOLOGY↗

The effect of chronic erythrocytic polycythemia and high altitude upon plasma and blood volumes.

Comparison of two kinds of physiological chronic erythrocytic polycythemias in order to differentiate the specific effect of erythrocytic polycythemia from the general effects of high altitude upon the plasma volume. The two kinds were produced hormonally in female chickens, at sea level, or by protracted high-altitude exposures. It appears that the vascular system of the body may account for an increase in red blood cell mass either by reduction in plasma volume, or by no change in plasma volume, resulting in differential changes in total blood volumes.

Burton, R. R.↗

Coronal Holes

This paper reviews measurements of the plasma properties in coronal holes and how these measurements are used to reveal details about the physical processes that heat the solar corona and accelerate the solar wind. Evidence is presented for both heating and acceleration of the solar wind by open flux tubes energized by footpoint-driven wave-like fluctuations, and for intermittent energy deposition from closed loops into the open-field regions. Special emphasis is given to spectroscopic and coronagraphic measurements that allow the highly dynamic nonequilibrium evolution of the plasma to be followed as the asymptotic conditions in interplanetary space are established in the extended corona. For example, the importance of kinetic plasma physics and turbulence in coronal holes has been affirmed by surprising measurements from the UVCS instrument on SOHO that heavy ions are heated to hundreds of times the temperatures of protons and electrons. These observations point to specific kinds of collisionless Alfven wave damping (i.e., ion cyclotron resonance). Despite our incomplete knowledge of the complex multi-scale plasma physics, much progress has been made toward the goal of understanding the physical processes ultimately responsible for producing the observed properties of coronal holes.

Cranmer, Steven R.↗

Simulating Magnetic Reconnection in ‘Two Ribbon’ Type Solar Flares

Magnetic reconnection is an astrophysical process where neighboring magnetic field lines, facing anti-parallel, are reconfigured. This reconfiguration results in built up magnetic energy being explosively released as it is being converted to plasma kinetic and thermal energies. There are various kinds of simulations used to simulation reconnection; our work begins with Athena++, a magnetohydrodynamic (MHD) simulation code typically used for astrophysical problems, and a reconnection specific code file. The resistive MHD equations are solved with Riemann solvers. There was an initial test run without modifying the code to understand the dynamics of the simulation. We expand on the original reconnection problem file by implementing a radiative cooling term specific to the corona. The radiative cooling is theorized to have an effect on solar coronal plasma and magnetic reconnection dynamics. The cooling term will be tested with various parameters and compared to the case without cooling to study these dynamics. The condensation found in only the with cooling case emphasizes the importance of implementing this feature and will be later tested with a thermal conduction term. We want to determine the parameter regime where non-equilibrium cooling will be important for the reconnection dynamics.

79 ASTRONOMY AND ASTROPHYSICS↗

About the parametric interplay between ionic Mach number, body-size, and satellite potential in determining the ion depletion in the wake of the S3-2 satellite

The variation of ion current depletion in the wake of the U.S. Air Force satellite S3-2 is quantitatively determined, taking into account altitudes in the range from 300 to 1100 km. The considered investigation has the objective to present results which besides of being of scientific interest per se are useful to the planning of future experiments of body-plasma electrodynamic interactions in a supersonic and sub-Alfvenic flow regime to be conducted on board the Shuttle/Spacelab. More specifically, it is expected that the outcome of investigations of the kind presented will be useful in the planning of instrument location on ejectable ensembles of probes and on the Orbiter itself in future Shuttle/Spacelab missions.

Samir, U.↗

Coupling of Spark Plasma Sintering with Advanced Modeling to Enable Process Scale-Up: Presentation to DOE-NE [Slides]

The research goal of this project is to develop at Idaho National Laboratory (INL) a first-of-its-kind Multiphysics Object-Oriented Simulation Environment (MOOSE)-based, multiscale, multiphysics spark plasma sintering (SPS) modeling and simulation code application, termed “Freya.” Freya will simulate the thermo-mechanical-electrical aspects of the SPS fabrication process and will be paired with lower length scale sub-models, such as phase-field, to predict the resulting microstructure. SPS is an advanced manufacturing process that can be used to solve a variety of material manufacturing challenges; however, this process is an extremely challenging problem for modeling and simulation. The SPS process is inherently multiphysics and multi-scale, with the macroscale electro-thermo-mechanical behavior linked intricately to the microstructure evolution of the part being sintered. Accurate modeling and simulation tools, specifically geared towards the SPS process, are needed to predict the influence of the multiple variables involved in the manufacturing process. Modeling and simulation accuracy is achieved and demonstrated through comparison to multiple validation experiments. The validation efforts for Freya include both separate effects and complete multiphysics SPS process experiments. One of the key benefits this Laboratory Directed Research & Development (LDRD) project offers stems from the emphasis placed on experimental validation of the Freya models, both on the individual length scales and of the final coupled multiscale multiphysics simulations. Experimental validation of Freya’s multiscale coupling capability provides the technical credibility necessary for potential future industry and research partners to accept the simulation predictions.

36 MATERIALS SCIENCE↗

Diagnostics: Chapter 8 of the special issue: on the path to tokamak burning plasma operation

This chapter presents the activity conducted by the ITPA topical group (TG) on Diagnostics over about the last 15 years. Following a general introduction of the ITER Diagnostics led by their measurement roles, the document is organized in several subchapters detailing the design support, research and development activity conducted by each of the specialist working groups (WGs) of the TG. Please note that the magnetic diagnostics were supported at the TG without a specific WG. Their status is included in the general introduction. In the following some highlights of the subchapter’s contents are provided. Recent advances in ITER first wall (FW) diagnostics for the measurements of plasma-metallic wall interaction in support of the ITER research plan are reported. An InfraRed imaging Video Bolometer for ITER has been developed and tested on several tokamaks to measure the radiated power loss. A laser-induced breakdown spectroscopy (LIBS) technique which utilizes a pulsed laser beam to ablate locally by forming a crater, will measure local tritium inventory in the FW material. Real-time Residual Gas Analyzers will measure the neutral gas composition in a divertor port and an equatorial port during plasma operation. Due to the full metallic FW environment, the plasma-wall interaction in ITER will face several challenges such as the compromised radiated power and divertor heat flux measurements by reflection. Ray tracing and analysis codes have been developed to eliminate and correct the effects of reflection in the measurements. The characteristics of the reflecting surfaces depending on the roughness and angle of the incidence have been measured by dedicated experiments, and the results were applied to the reflection elimination. For the measurement of the metallic impurity radiation induced by eroded metallic atoms, a vacuum ultraviolet spectrometer has been developed and tested. An extensive thermonuclear diagnostic suite will be required to support the operation of ITER and the planned experimental program for future burning plasma experiments. Due to the harsh environmental conditions, the implementation of diagnostic systems in ITER is a major challenge. These conditions include high levels of neutron and gamma fluxes, neutron heating, particle bombardment. Therefore, the selection and design of diagnostic systems must take into account a number of phenomena previously unseen in diagnostic design. For this reason, the measurement of neutrons and confined or lost fast ions, with particular emphasis on alpha particles, is critical to ITER. The diagnostics associated with these measurements will be important for future plasma-burning experiments at ITER. The high neutron emission and very large plasma size in ITER make neutron diagnostics the main diagnostic method used to measure plasma parameters such as fusion power, fusion power density, ion temperature, energy of fast ions and their spatial distributions in the plasma core. Active spectroscopy techniques are methods where a neutral particle beam is injected into the plasma and information on plasma parameters is extracted from the measurement of line emission resulting from the beam-plasma interaction, either by plasma ions or by beam atoms. Spatial localization is achieved by crossing the beamline and multiple observation lines. The ITER plasma will be a high temperature, moderately dense, fully ionized collisional plasma. The plasma facing surfaces are principally metallic being fashioned from beryllium or tungsten but many other elements, arising from either structural or from operational needs, may enter this plasma. The energy range of the emitted photons range from meV (infra-red) to multi keV (x-rays) and originate from all areas of the plasma volume. The primary role of passive emission diagnostics is to identify what is in the plasma from spectral signatures. Extracting quantitative information from these measurements such as impurity content, ion temperature, rotation, degree of detachment and radiated power depends on calibrated instruments, a physics model of the atomic and molecular processes and plasma transport and an analysis workflow that takes into account environmental effects such as reflections. The particular needs for ITER have prompted a multi-machine, many-year effort to address all these aspects and this chapter reviews the work on diagnostic design, experiments and new analysis techniques. An overview of the laser diagnostics to be implemented on ITER is also provided in this paper. This includes descriptions of the Thomson scattering in the core, edge and divertor regions, polarimetry and interferometry diagnostics used for measuring plasma density and also measurements of helium density in the divertor using Laser Induced Flourescence. Techniques which can allow improvements on current measurements are also addressed in particular expanding poloidal polarimetry measurements to measure field fluctuations and proposed use of dispersion interferometery which has a number of advantages over existing methods. This paper identifies particular areas where further research and testing on existing tokamaks is useful even at this advanced stage to inform the design of diagnostics for ITER. Outstanding areas of concern for the implementation of laser diagnostics, in particular with a view to reliable operation are identified. An overview of the latest developments of microwave diagnostic systems and techniques is given. The primary focus is the contributions for ITER—the next step burning plasma experiment—which is supplemented by describing recent progress of techniques applicable for fusion experiments beyond ITER. The contributions are intentionally kept concise, and are being supplemented by a rich list of references for further studies. Radiation induced effects are receiving continuous and well-deserved attention of the ITER diagnostic community and they are in many cases one of the primary design drivers of the ITER diagnostic systems. The paper summarizes recent progress in this area focusing primarily on the ITER diagnostics but in some cases provides also outlook for the possible solutions for even more demanding radiation environment of fusion reactors beyond ITER. Despite advancements in the area of modeling and simulation of various radiation induced effects, experimental testing in a nuclear environment as close as possible to the target one is still seen as unavoidable for proper qualification of particular diagnostic functional elements. Recent advancement within three diagnostic areas: optical diagnostics, magnetics and bolometers is covered. Encouraging results on qualification of silica glass vacuum window assemblies are presented. In the area of magnetic sensors, progress of irradiation tests performed on ITER in-vessel LTCC inductive sensors is presented with outlook for novel technological approaches to inductive sensors utilizing thick printing and photolithography technologies being highlighted. Summary of advancements in the area of steady state magnetic field sensors based on Hall effect is given. New results of neutron irradiation test of the ITER borosilicate glass inserts for vacuum electrical feedthroughs are summarized finding negligible swelling at target level of neutron fluence. Off-line irradiation tests of fiber optic current sensors for plasma current measurement demonstrated that both for gamma doses up to 5 MGy and a total neutron fluence up to 10 15 cm −2 , radiation induced changes are still compatible with required measurement accuracy on ITER. The ITER bolometers are given as an example how considering radiation effects may influence the diagnostic design. Finally, outlook for future main R&D directions is outlined. All optical and laser-based diagnostics in ITER will be using mirrors to guide plasma radiation toward detectors, cameras and sensors. In the hostile plasma, radiation and particle environment the optical characteristics of diagnostic mirrors will degrade directly affecting the entire performance of involved diagnostic systems. An assessment of factors affecting mirror performance is provided. Among the prime adverse factors are deposition of plasma impurities, sputtering of mirror surface and steam ingress in the vicinity of mirrors. Within the International Tokamak Physics Activity with active support by ITER central team and domestic agencies, the structured research and development (R&D) program on mitigation of risks for diagnostic mirrors is underway. Within this program the mirror material development, the passive mitigation of mirror degradation by using diagnostic ducts and shutters along with an active mirror recovery program comprising the in-situ mirror cleaning and calibration is underway. Recent developments in diagnostic mirror R&D are described in this Chapter along with an example of their implementation of R&D solutions in ITER Infrared Thermography diagnostic. An assessment of still open engineering and physics questions, considerations on mirror risks during an early phase of ITER operation are given along with an overview of diagnostic mirror evolution in the late ITER operation stage toward the demonstration fusion power plant. Several crucial areas of diagnostic R&D outlined in ITER Research Plan are addressed. The basic control groups in a fusion reactor can be broken-down in five categories: (1) plasma position, magnetic configuration, and plasma current control, (2) profile control and confinement optimization, (3) MHD control and suppression, (4) edge dissipation control, radiation and plasma exhaust control and (5) break-down optimization. These categories are coupled via the physics (a control action in one domain will affect the other domains) and via shared actuators (e.g. ECRH for impurity accumulation avoidance, current density distribution control and MHD suppression). Consequently, a supervisory control system should determine the priority of the various control tasks, their couplings, and the interfaces with the safety and interlock system. For the systematic development of the various controllers taking the complexity of the plasma and the control system into account, a model-based approach is required. A short historical overview is given of the developments in systems and control theory and control engineering with special emphasis on those developments that are most relevant for Nuclear Fusion research and operation. An overview is given of the state of the field of fusion plasma control for the control categories. It will be shown how synthetic diagnostics are being developed in ITER and how they are used in diagnostic design and design validation and how they can be in model-based controller synthesis using relatively simple models. In modern control methods, multiple diagnostics are used to constrain relatively simple models. The constrained models provide an estimate for the state. This opens the route to state controllers, such as model predictive control. A major challenge in nuclear fusion research is the coherent combination of data from heterogeneous diagnostics and modeling codes for machine control and safety as well as physics studies. Measured data from different diagnostics often provide information about the same subset of physical parameters. Additionally, information provided by some diagnostics might be needed for the analysis of other diagnostics. A joint analysis of complementary and redundant data allows, e.g. to improve the reliability of parameter estimation, to increase the spatial and temporal resolution of profiles, to obtain synergistic effects, to consider diagnostics interdependencies and to find and resolve data inconsistencies. Physics-based modeling and parameter relationships provide additional information improving the treatment of ill-posed inversion problems. A coherent combination of all kind of available information within a probabilistic framework allows for improved data analysis results. The concept of integrated data analysis (IDA) in the framework of Bayesian probability theory is outlined and contrasted with conventional data analysis. Components of the probabilistic approach are summarized and specific ingredients beneficial for data analysis at fusion devices are discussed.

ITER↗

Fusion for Space Propulsion

The need for fusion propulsion for interplanetary flights is discussed. For a propulsion system, there are three important system attributes: (1) The absolute amount of energy available, (2) the propellant exhaust velocity, and (3) the jet power per unit mass of the propulsion system (specific power). For efficient and affordable human exploration of the solar system, propellant exhaust velocity in excess of 100 km/s and specific power in excess of 10 kW/kg are required. Chemical combustion obviously cannot meet the requirement in propellant exhaust velocity. Nuclear fission processes typically result in producing energy in the form of heat that needs to be manipulated at temperatures limited by materials to about 2,800 K. Using the fission energy to heat a low atomic weight propellant produces propellant velocity of the order of 10 kinds. Alternatively the fission energy can be converted into electricity that is used to accelerate particles to high exhaust velocity. However, the necessary power conversion and conditioning equipment greatly increases the mass of the propulsion system. Fundamental considerations in waste heat rejection and power conditioning in a fission electric propulsion system place a limit on its jet specific power to the order of about 0.2 kW/kg. If fusion can be developed for propulsion, it appears to have the best of all worlds - it can provide the largest absolute amount of energy, the propellant exhaust velocity (> 100 km/s), and the high specific jet power (> 10 kW/kg). An intermediate step towards fusion propulsion might be a bimodal system in which a fission reactor is used to provide some of the energy to drive a fusion propulsion unit. There are similarities as well as differences between applying fusion to propulsion and to terrestrial electrical power generation. The similarities are the underlying plasma and fusion physics, the enabling component technologies, the computational and the diagnostics capabilities. These physics and engineering capabilities have been demonstrated for a fusion reactor gain (Q) of the order of unity (TFTR: 0.25, JET: 0.65, JT-60: Q(sub eq) approx. 1.25). These technological advances made it compelling for considering fusion for propulsion.

Thio, Y. C. Francis↗

Real-time measurement of materials properties at high temperatures by laser produced plasmas

Determination of elemental composition and thermophysical properties of materials at high temperatures, as visualized in the context of containerless materials processing in a microgravity environment, presents a variety of unusual requirements owing to the thermal hazards and interferences from electromagnetic control fields. In addition, such information is intended for process control applications and thus the measurements must be real time in nature. A new technique is described which was developed for real time, in-situ determination of the elemental composition of molten metallic alloys such as specialty steel. The technique is based on time-resolved spectroscopy of a laser produced plasma (LPP) plume resulting from the interaction of a giant laser pulse with a material target. The sensitivity and precision were demonstrated to be comparable to, or better than, the conventional methods of analysis which are applicable only to post-mortem specimens sampled from a molten metal pool. The LPP technique can be applied widely to other materials composition analysis applications. The LPP technique is extremely information rich and therefore provides opportunities for extracting other physical properties in addition to the materials composition. The case in point is that it is possible to determine thermophysical properties of the target materials at high temperatures by monitoring generation and transport of acoustic pulses as well as a number of other fluid-dynamic processes triggered by the LPP event. By manipulation of the scaling properties of the laser-matter interaction, many different kinds of flow events, ranging from shock waves to surface waves to flow induced instabilities, can be generated in a controllable manner. Time-resolved detection of these events can lead to such thermophysical quantities as volume and shear viscosities, thermal conductivity, specific heat, mass density, and others.

Kim, Yong W.↗

Fundamentals of Spark-Plasma Sintering (Final Report)

This project was focused on the development of the general theory of spark-plasma sintering (SPS) taking into account the role of both thermal and non-thermal factors in the acceleration of SPS mass transport. SPS is a particular kind of field-assisted sintering, which provides potentially revolutionary capabilities to the processing of materials into configurations previously unattainable. This approach significantly improves the processing time- and quality-wise. It carries the potential of maintaining the nano and sub-micron structure in nano-powder-based materials after consolidation. SPS gains particular prominence in connection with its exceptional potential of rapid and ultra-rapid processing of very hard-to-deform materials, which would typically require lengthy consolidation times at significantly elevated temperatures under conditions of conventional powder pressing or sintering. The achievement of the ultimate goal of the formulation of the general theory of spark plasma sintering required the identification of the contributions of all the thermal and non-thermal factors in the enhancement of mass transport under SPS processing conditions. As our research indicated, this enhancement is mostly reduced to the creation of the conditions of controlled non-equilibrium, which is especially important in ultra-rapid field-assisted sintering techniques. Thus, the main project objective was the analysis of the SPS physical basis at multiple scales specifically exploring the role of electric current in the acceleration of mass transport and with an emphasis on the conditions of controlled non-equilibrium.

36 MATERIALS SCIENCE↗

Detection of Ionospheric Alfven Resonator Signatures Onboard C/NOFS: Implications for IRI Modeling

The 2008-2009 long-lasting solar minimum activity has been the one of its kind since the dawn of space age, offering exceptional conditions for investigating space weather in the near-Earth environment. First ever detection of Ionospheric Alfven Resonator (IAR) signatures in orbit offers new means for investigating ionospheric electrodynamics, namely MHD (MagnetoHydroDynamics) wave propagation, aeronomy processes, ionospheric dynamics, and Sun-Earth connection mechanisms at a local scale. Local and global plasma density heterogeneities in the ionosphere and magnetosphere allow for formation of waveguides and resonators where magnetosonic and shear Alfven waves propagate. The ionospheric magnetosonic waveguide results from complete magnetosonic wave reflection about the ionospheric F-region peak, where the Alfven index of refraction presents a maximum. MHD waves can also be partially trapped in the vertical direction between the lower boundary of the ionosphere and the magnetosphere, a resonance mechanism known as IAR. In this work we present C/NOFS (Communications/Navigation Outage Forecasting System) Extremely Low Frequency (ELF) electric field measurements related to IAR signatures, discuss the resonance and wave propagation mechanisms in the ionosphere, and address the electromagnetic inverse problem from which electron/ion distributions can be derived. These peculiar IAR electric field measurements provide new, complementary methodologies for inferring ionospheric electron and ion density profiles, and also contribute for the investigation of ionosphere dynamics and space weather monitoring. Specifically, IAR spectral signatures measured by C/NOFS contribute for improving the International Reference Ionosphere (IRI) model, namely electron density and ion composition.

Simoes, F.↗

The Discharging of Roving Objects in the Lunar Polar Regions

In 2007, the National Academy of Sciences identified the lunar polar regions as special environments: very cold locations where resources can be trapped and accumulated. These accumulated resources not only provide a natural reservoir for human explorers, but their very presence may provide a history of lunar impact events and possibly an indication of ongoing surface reactive chemistry. The recent LCROSS impacts confirm that polar crater floors are rich in material including approx 5%wt of water. An integral part of the special lunar polar environment is the solar wind plasma. Solar wind protons and electrons propagate outward from the Sun, and at the Moon's position have a nominal density of 5 el/cubic cm, flow speed of 400 km/sec, and temperature of 10 eV (approx. equal 116000K). At the sub-solar point, the flow of this plasma is effectively vertically incident at the surface. However, at the poles and along the lunar terminator region, the flow is effectively horizontal over the surface. As recently described, in these regions, local topography has a significant effect on the solar wind flow. Specifically, as the solar wind passes over topographic features like polar mountains and craters, the plasma flow is obstructed and creates a distinct plasma void in the downstream region behind the obstacle. An ion sonic wake structure forms behind the obstacle, not unlike that which forms behind a space shuttle. In the downstream region where flow is obstructed, the faster moving solar wind electrons move into the void region ahead of the more massive ions, thereby creating an ambipolar electric field pointing into the void region. This electric field then deflects ion trajectories into the void region by acting as a vertical inward force that draws ions to the surface. This solar wind 'orographic' effect is somewhat analogous to that occurring with terrestrial mountains. However, in the solar wind, the ambipolar E-field operating in the collision less plasma replaces the gradient in pressure that would act in a collisional neutral gas. Human systems (roving astronauts or robotic systems created by humans) may be required to gain access to the crater floor to collect resources such as water and other cold-trapped material. However, these human systems are also exposed to the above-described harsh thermal and electrical environments in the region. Thus, the objective of this work is to determine the nature of charging and discharging for a roving object in the cold, plasma-starved lunar polar regions. To accomplish this objective, we first define the electrical charging environment within polar craters. We then describe the subsequent charging of a moving object near and within such craters. We apply a model of an astronaut moving in periodic steps/cadence over a surface regolith. In fact the astronaut can be considered an analog for any kind of moving human system. An astronaut stepping over the surface accumulates charge via contact electrification (tribocharging) v.lith the lunar regolith. We present a model of this tribo-charge build-up. Given the environmental plasma in the region, we determine herein the dissipation time for the astronaut to bleed off its excess charge into the surrounding plasma.

Jackson, T. L.↗

Multi-Sourced Collaboration for the Production and Refining of Rare Elements and Critical Metals (Final Technical Report)

The project objective was to develop a feasible and cost-effective method for recovering rare earth elements (REEs) and critical materials (CMs) from coal and coal byproducts, resulting in high-purity individually separated REEs and CMs. The targeted REEs included Y, Pr, Nd, Gd, Dy, and Sm, with a purity of over 99.5%, while the CMs included Co, Mn, Ga, Sr, Li, Ni, Zn, and Ge, with a purity of over 90%. The project aimed to design a prototype facility capable of producing 1-3 tonnes/day of high-purity REO mixes. The work was divided into four designated circuits: 1) REE extraction and concentration, 2) REE separation and purification, 3) RE metal production, and 4) CM production. To achieve these goals, the project involved 11 tasks, including technology reviews, research, process flow diagram development, mass balance estimation, and preliminary technical-economic analysis. The project team included researchers from the University of Kentucky, University of Alabama and Virginia Tech as well as process specialists from Argonne National Laboratory. MP Materials provided technical support regarding rare earth markets and processing while Alliance Coal performed resource assessment. The project included a market analysis for Nd/Pr, Tb, Dy, Gd, Y, Co, Mn, Li, Sr, Ga, Ni, Zn, and Ge. These analyses provided insights into the supply and demand trends as well as historic and future projections of market price relative to purity requirements for these elements. Two coal resources were selected for the project: the West Kentucky No. 13 (Baker) Seam and an undisclosed lignite resource in the Illinois coal basin. The estimated quantities of REEs in these resources were calculated based on production samples and drilling data. It was estimated that there is adequate supply for an operation producing one metric ton daily of higher purity mixed rare earth oxides (MREO) for approximately 20 years at a site located in western Kentucky. In Circuit 1, project data was obtained from a pilot heap leach and REE concentration facility. It was concluded that the existing circuit, which generated a MREO concentrate, two types of CM mixed products, and Li- and Sr-containing waters, would be suitable feed for circuits 2-4. Data from the first-of-its-kind coal coarse refuse heap leach pilot pad played a crucial role in estimating reliable elemental concentrations of the pregnant leaching solution (PLS). The average total REE concentration in the PLS was found to be 28.6 ppm. In Circuit 2, several concepts were explored including a novel process referred to as solvent-assisted chromatography (SAC). This concept involved a novel columnar reactor that incorporated multiple mixer/settlers, thereby enabling the operation of counter-flowing aqueous and organic phases. Unfortunately, due to project time constraints, a complete fundamental modeling analysis could not be completed to fully evaluate the technology. Molten salt electrowinning was considered as an alternative for circuit 3 following circuit 2 purification circuit utilizing the novel SAC process. A mass and energy balance of Nd reduction to metal in a fluoride containing molten salt electrolyte was conducted. Comparisons were made with the current state of Asian molten salt electrorefining, and potential improvements in siphoning rare earth metals (REM) from the reactor were presented. A cost estimate was performed for the production of 1 tonne per day, which yielded a total of $2.29 million for the nine electrowinning (EW) cells required. The selected option for circuits 2 and 3 was a plasma distillation process, which initially separates rare earth elements (REEs) from other elements. This is followed by selective electrowinning in various ionic liquids. The selection was made on the basis of thermodynamic modeling and experimental data previously published by a project partner. The combination offers an innovative approach to integrated refining and RE metal production. For Circuit 4, an extensive literature review was conducted for the processing of the CMs. The ultimate decision was to utilize a combined plasma and ionic liquid process as well to produce individual high-purity concentrates of Zn, Ni, Co, Mn, and Mg. A separate flowsheet for Li and Sr was recommended, which would yield carbonates of these elements. Due to the lack of suitable experimental data at this time, a process recommendation could not be provided but several methods have been proposed for consideration. Lastly, a techno-economic analysis (TEA) was conducted to assess the effectiveness of the proposed process for further investigation. The TEA results revealed a capital expense (CapEx) of $737 million and an annual operational expense (OpEx) of $220 million. Due to the selected elements, the hypothetical heap leach pad can produce 1 metric tonne per day of REO equivalent, but a conscious decision was made to only treat targeted REEs, resulting in the production of 0.4 metric tonne of REM. An estimated annual revenue of $90.87 million was projected based on standard market pricing information provided by the funding agency. During the TEA, ten different modules were evaluated for costing purposes. The precipitation circuit was identified as the largest single operational expense, followed by the Mg/Mn process due to the amount of treated metal. In terms of capital expenditures, the heap leach process incurred the highest cost, followed by the Mg/Mn process. The scalability of the plasma process is a crucial consideration since the reactors cannot be scaled beyond the largest demonstrated size due to their reliance on surface area of the slag and vapor phase. The purity estimate for the REEs are generally 98%±2% to produce a metal. The purity level being lower than the project objective was due to the lack of specific experimental data needed to tighten the tolerance of the estimates. Based on literature and previous experience, the CMs are estimated as follows; Ga (95%+, metal), Sr (95%+, carbonate), Li (95%+, carbonate), Ni (98%±2%, metal), Zn (95%+, metal sponge), Ge (95%+, metal), Co (98%±2%, metal), and Mn (98%±2%, metal).

01 COAL, LIGNITE, AND PEAT↗