2015 sbir topics - maine technology institute · chemicals, industrial enzymes, diagnostics, and...

2015 SBIR Topics Note: These topics are from the Agency's last issued solicitation. There is no guarantee that the topics will remain the same in their next solicitation Defense Advanced Research Project Agency (DARPA) 2- 18

Department of Homeland Security (DHS) 19-35

Department of Energy (DOE) 36-177

National Science Foundation (NSF) 178-205

US Department of Agriculture (USDA) 206-224

National Aeronautics and Space Administration (NASA) 225-272

Maine Technology Institute/UMaine 273

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DARPA is conducting a "Direct to Phase II" pilot implementation of this authority for this 15.2 SBIR

solicitation only and does not guarantee the pilot will be offered in future solicitations.

Not all DARPA topics are eligible for a Direct to Phase II award. Potential offerors should read the topic

requirements carefully. Topics may accept Phase I and Direct to Phase II proposals, Phase I proposals

only, or Direct to Phase II proposals only – refer to the 15.2 Topic Index to review proposal types

accepted against each topic. DARPA reserves the right to not make any awards under the Direct to Phase

II pilot. All other instructions remain in effect. Direct to Phase II proposals must follow the instructions in

the DARPA Direct to Phase II Solicitation Instructions.

DARPA SBIR 15.2 Topic Index

These instructions ONLY apply to Phase I Proposals. For Direct to Phase II, refer to the DARPA 15.2

Direct to Phase II (DP2) Topics and Proposal Instructions available at

(http://www.acq.osd.mil/osbp/sbir/index.shtml).

Proposals Types Accepted

Topic Number Topic Title Phase I DP2

SB152-001 Cell Free Platforms for Prototyping and Biomanufacturing YES NO

SB152-002 Cortical Modem Systems Integration and Packaging YES YES

SB152-003 Broadband Self-calibrated Rydberg-based RF Electric Field

and Power Sensor

YES YES

SB152-004 Many-Core Acceleration of Common Graph Programming

Frameworks

YES YES

SB152-005 Ovenized Inertial Micro Electro Mechanical Systems YES NO

SB152-006 Compact, Configurable, Real-Time Infrared Hyperspectral

Imaging System

YES YES

SB152-007 Depth Insensitive Pressure/Vector Sensor Arrays NO YES

SB152-008 Low Cost Expendable Launch Technology YES NO

DARPA SBIR 15.2 Topic Descriptions

SB152-001 TITLE: Cell Free Platforms for Prototyping and Biomanufacturing

PROPOSALS ACCEPTED: Phase I Only

TECHNOLOGY AREAS: Materials/Processes, Biomedical

Karen

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DARPA

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OBJECTIVE: Improve the ability to rationally and predictably engineer biology by developing cell-free

methods for rapid, low-cost, and high-throughput prototyping of biological functions and systems capable

of providing an accurate characterization of in vivo performance.

DESCRIPTION: There is a critical need for capabilities that will enable DoD to leverage the unique and

powerful attributes of biology to solve challenges associated with production of new materials, novel

capabilities, fuels, and medicines. This topic is focused on improving the utility of cell-free systems as a

platform technology to address key technical hurdles associated with current practices in engineering

biology.

A successful platform should address several or all of the bottlenecks associated with the state-of-the-art

in cell-free systems, including production of cell-free reagents with improved consistency and scalability,

improved methods for characterizing and validating cell-free reagent preparations, new cell-free systems

to expand the number of organisms capable of being modeled, and improved reproducibility of results

over scaled volumes. In addition, these cell-free platforms should be distributable in a format that can be

readily transitioned to academic, government, and commercial researchers, all of whom rely on the ability

to rapidly assay engineered biological systems.

Biological production platforms have great potential to provide new materials, capabilities, and

manufacturing paradigms for the Department of Defense (DoD) and the Nation. However, the complete

realization of this potential has been limited by current approaches to engineering biology that rely on ad

hoc, laborious, and time-consuming processes, as well as the large amount of trial and error required to

generate designs of even moderate complexity.

One technology that could address many of these bottlenecks is the use of cell-free systems for the rapid

prototyping and testing of biological systems. Conventional approaches to engineering genetic systems

rely on molecular cloning into DNA vectors, transformation or transfection of cells, antibiotic

resistancebased selection, growth in appropriate media, and assaying cells for the desired function. While

significant progress has been made toward improving these processes, engineering living cells is

inherently costly, slow, and complex.

By short circuiting many of the steps required for in vivo gene expression, cell-free systems offer several

advantages that could potentially transform the state-of-the-art, including reduced cost, increased

throughput, decreased system complexity, and the ability to be utilized in a distributed setting. In

addition, cell-free systems enable the production and testing of cytotoxic compounds, the prototyping of

pathways with toxic metabolic intermediates, and for the production of molecules, such as proteins

containing non-standard amino acids, that are difficult to engineer into living systems. Although the use

of cell-free assays has significant potential to rapidly engineer and test biological systems, several

technical hurdles remain that have prevented widespread adoption of the technology.

Methods for preparing reagents used in cell-free experiments are often inconsistent, which can lead to

irreproducible results. In addition, current methods do not produce batches of a sufficient volume of high

quality reagent to enable widespread use. Furthermore, existing internal controls are insufficient for the

complete characterization and validation of reagents, which makes instituting process controls difficult.

The cell-free platform itself also requires improvement, as only relatively simple biological processes

have been demonstrated and in only a handful of organismal environments.

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PHASE I: Develop an initial design and determine the technical feasibility of a technology platform for

the consistent and large-scale production of cell-free reagents from multiple organisms, including

methodologies for characterization and validation. Develop detailed analysis of the cell-free platform‟s

predicted performance characteristics including, but not limited to, total volume of reagent to be

produced, batch volume and variability, organisms to be utilized, cost per unit, and distribution format.

Include analysis of predicted performance relative to current standard practices. Define key component

technological milestones and metrics and establish the minimum performance goals necessary to achieve

successful execution of the cell-free platform. Phase I deliverables will include: a detailed analysis of the

proposed platform, a technical report detailing experiments and results supporting the feasibility of the

approach, and defined milestones and metrics as appropriate for the program goals. Also included with

the Phase I deliverables is a Phase II plan for transitioning initial designs and proof-of-concept

experiments into protocols that are sufficiently robust and reproducible to be viable as commercial

technologies.

PHASE II: Finalize the design from Phase I and initiate the development and production of the cell-free

platform. Establish appropriate performance parameters through experimentation to determine the

efficaciousness, robustness, and fidelity of the approach being pursued. Develop, demonstrate, and

validate the reagents and protocols necessary to meet the key metrics as defined for the program, and

provide an experimentally validated comparison of the new methods relative to competing state-of-the-art

processes. Phase II deliverables include a prototype set of cell-free reagents, including for new organismal

systems, and valid test data, appropriate for a commercial production path.

PHASE III: The widespread availability and use of cell-free systems will further enable the rapid

engineering and optimization of biologically-based manufacturing platforms for the production of

previously inaccessible technologies and products, and will facilitate the rapid prototyping of

multipathway metabolic designs necessary for the engineering of complex biological systems. This will

enable DoD to leverage the unique and powerful attributes of biology to solve challenges associated with

production of new materials, novel capabilities, fuels, and medicines, while providing novel solutions and

enhancements to military needs and capabilities. The successful development of reliable and distributable

cell-free platforms for rapidly prototyping biological systems will have widespread applications across the

biotechnology and pharmaceutical industries including rapid, optimized production of high value

chemicals, industrial enzymes, diagnostics, and therapeutics. These cell-free platforms will be impactful

for industrial biotechnology and pharmaceutical firms, as well as government and academic researchscale

operations.

REFERENCES:

1. Carlson ED, Gan R, Hodgman CE, Jewett MC. Cell-free protein synthesis: applications come of age.

Biotechnol Adv. 2012 Sep-Oct; 30(5): 1185-94

2. Hodgman CE, Jewett MC. Optimized extract preparation methods and reaction conditions for

improved yeast cell-free protein synthesis. Biotechnol Bioeng. 2013 Oct; 110(10):2643-54

3. Noireaux V, Maeda YT, Libchaber A. Development of an artificial cell, from self-organization to

computation and self-reproduction. Proc Natl Acad Sci USA. 2011 Mar 1; 108(9): 3473-80

4. Siegal-Gaskins D, Tuza ZA, Kim J, Noireaux V, Murray RM. Gene circuit performance

characterization and resource usage in a cell-free „breadboard‟. ACS Synth Biol. 2014 Jun 20; 3(6): 41625

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5. Sun ZZ, Yeung E, Hayes CA, Noireaux V, Murray RM. Linear DNA for rapid prototyping of synthetic

biological circuits in an Escherichia coli based TX-TL cell-free system. ACS Synth Biol. 2014 Jun 20;

3(6): 416-25

KEYWORDS: Bioengineering, Biomanufacturing, Biotechnology, Cell-Free Production Systems, TXTL,

Lysate, Synthetic Biology, Genetic Engineering, Biology, Molecular Biology, In Vitro

SB152-002 TITLE: Cortical Modem Systems Integration and Packaging

PROPOSALS ACCEPTED: Phase I and DP2. Please see the DARPA 15.2 Direct to Phase II solicitation

instructions for DP2 requirements and proposal instructions.

TECHNOLOGY AREAS: Biomedical, Electronics

OBJECTIVE: Design and fabricate Cortical Modem electro/optical systems that demonstrate low-power

telemetry of neural data and power across the scalp, skull, and brain tissue using standard data protocols.

The system should be integrated within a single state-of-the-art system-on-a-chip scale implantable

package suitable for use in humans.

DESCRIPTION: The DoD has a critical need for breakthrough medical therapies to treat wounded

warriors with multiple comorbidities of sensory organs. This topic seeks to integrate state-of-the-art

electronics, packaging, and passivation technologies with the latest low-power data and power delivery

semiconductor components in a single package. In other words, DARPA seeks to wirelessly bridge

cortical neural activity sensing components within the skull to external computing and network systems,

designing an effective “Cortical Modem” that connects human brains to computer equipment and

networks in a direct analogy to early telephonic modems, which connected computers to the ARPANET.

DARPA is open to a multiplicity of system architectures that, first and foremost, demonstrate significant

improvements in the scale of neural channel bandwidth from the current 100-signal demonstrations, but

secondly, may span a wide spectrum of implementation strategies from high-bandwidth transmission

systems with limited implantable computation capability, to implantable integrated analysis and

compression systems coupled to a limited bandwidth telemetry systems.

Significant advances in the miniaturization and ever lower-power performance of electronic and photonic

technologies have enabled critical developments in miniaturized communications products like cellular

phones. However, the time lag between such advances and their adoption in the fields of neuroscience and

neuro-engineering has, in many cases, grown to more than twenty years. With such large interface

component feature sizes characteristic of the older technologies in common experimental use, the

supporting interface electronics have now become one of the most significant and fundamental limits to

their integration within human and animal bodies. For example, the Utah array features a 400 micrometer

electrode pitch, a limitation compounded by the wet etch microfabrication technology available to the

manufacturer. Note that this 400 micron feature size is representative of 1980s CMOS technologies, and

is too coarse for interfacing with, for example, the visual cortex where neural pitch ranges from ten to

thirty microns. As the mobile computing industry continues to push miniaturization, functionality, and

power-consumption requirements to their limits, so too is the field of neuroscience pushing ever closer to

full-duplex single-neuron scale interfaces. With focused technology development and integration to build

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a Cortical Modem, the necessary critical electronics and packaging could be leveraged across the entire

academic and corporate neuroscience ecosystem to result in dramatically accelerated advances in science

and commercialization of neuroscience technologies.

The goal of this topic is to develop cortical modem components that substantially improve the scale of

signal transduction from the current 10x10 electronic probe arrays, as well as the scale of telemetry

delivery of those signals., For reference purposes, one mm^3 volume of cortical tissue encloses

approximately 100,000 neurons indicating an eventual need to both transduce and deliver wireless

telemetry for as many as 10^7 independent neural channels. Proposals should target the design and

implementation of a COTS-based full duplex cortical interface component. Essential elements of this

component include flexible direct electronic interfaces to neural activity, sensors and low power

preprocessing circuitry to convert and encode neural sensor signals into formats that can be transmitted

wirelessly across the skull, wireless telemetry suitable for safe use in humans, and power delivery

electronics. Packaging must leverage state-of-the-art miniaturized single system-on-a-chip ceramic

packaging that incorporates on-board wireless power reception and conditioning circuitry.

Critical to the design of the system is a careful power and link budget analysis to account for relevant

FDA and FCC regulations. In addition, proposals should detail the intended components (i.e. make,

model, and part numbers), their interface design, and the technical and mechanical specifications that will

ultimately yield the lowest power, smallest form-factor, highest signal-to-noise ratio and bandwidth

system possible using COTS components. Critical systems integration challenges must be addressed

explicitly in the proposal. Technical challenges and considerations include system power, transmission

bandwidth, frequency and data rates, transmission protocols, optical wavelengths, etc. Offerors are to first

uncover and understand the critical integration challenges that may limit the translation and

commercialviability of full-duplex cortical interfaces, and second to push the standards of integration by

producing a first generation of truly miniaturized and implantable interface componentry, thereby

accelerating innovation across the entire field of neuro-engineering.

Industrial and military collaborators should then produce products and reach their first commercialization

milestones on a similarly accelerated timeline. Technical challenges may include:

• The development of a standard interface between a multiplicity of different neural sensing components

and the data collection and transmission system.

• Maximizing the scalability and bandwidth-power product of both the internal neural sensing and

external wireless data and power interfaces, but doing so within safe heat dissipation limits of the outer

cortex and skull.

• The potential need for data translation and encoding components to minimize power requirements for

transcranial data and power delivery.

• Establishing optimal trade-offs between physical, electronic, and data transmission specifications

required to minimize the componentry bill of materials (BoM) and hence the size of the device that

needs to be implanted.

• Sourcing state-of-the-art packaging and system-on-a-chip prototyping support

• Determining optimal bio-material passivation strategies and packaging materials limitations.

• Determining optimal power-bandwidth tradeoffs and scalability to support increasing sensory density,

resolution, and sensitivity limitations.

PHASE I: Explore and determine the fundamental systems integration and packaging limitations (that are

common across the entire neural interface field) in implementing a full-duplex read/write neural interface

system that bridges data and power delivery across the human skull.

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Phase I deliverables: 1) Final Report that identifies the neural read/write signals modalities (not

necessarily required to be the same); details the technical challenges relevant to the read and write signals

within the deployment environment; quantifies the information limits to the system relative to the

information input/output of the cortical area of interest; details component-level metrics for coping with

the data and power requirements; describes integration process, system-level challenges; and a thorough

business plan describing the NRE costs, minimum rate of production, units per year required to achieve

sustainable production of a cortical modem, and market analysis; 2) Develop a fully-operational proof-

ofconcept demonstration of the key components and functional systems in a bench-top / PC-board scaled

prototype along with all the design documents and complete specifications, along with documentation of

committed sources and service providers for the fabrication of the ultimate integrated system-on-a-chip

Cortical Modem device to be produced in Phase II; full specifications and a complete BoM are required,

itemizing each component and system that comprises the final prototype system. These demonstrations

should be performed in relevant in vitro environments analogous to the final deployment environment in

the human skull and cortex.

PHASE II: Development, demonstration, and delivery of a working fully-integrated cortical modem at a

1:1 physical scale with the underlying neurons. The Phase II demonstration should operate within a

physical simulacrum that mimics as closely as possible the electrical and mechanical properties of human

cortex, skull, and scalp. The integrated system should leverage COTS silicon and electro-optical devices

wherever possible, and form a data and power bridge between the internal cortex and external machines.

On the cortex side, a modular neural interface architecture should support bi-directional communications

through a multiplicity of neural probe modalities, including, but not limited to, optical, electronic, and

bio-molecular sensing interfaces. The external interface should be comprised of a wireless interconnection

through intervening brain and skull tissue to external computing systems.

Proposers are encouraged to adapt modular componentry strategies that are generalizable to a wide range

of neural interfaces. The Cortical Modem system should be able to collect and transmit neural signals

through the skull in a complete, implantable package. It will have a form-factor and packaging that can be

implanted in the cortex with core system functionality provided by COTS semiconductor components in a

single ceramic system-on-a-chip package, rather than a fully-customized chipset.

The Phase II final report shall include (1) full system design and specifications detailing the electronics

and proof-of-concept neural interfaces to be integrated; (2) expected performance specifications of the

proposed components in vivo; and (3) calculations of energy and link budget scalability to larger cortical

regions.

PHASE III: Breakthrough medical treatments for wounded warriors with multiple comorbidities of the

sensory organs. Effective restoration sight, sound, smell, and vestibular sensation after massive head

trauma. Breakthrough medical treatments for upper spinal cord injuries, enabling restoration of motor and

sensory capability. Breakthrough medical treatments for diseases of sensory organs, providing sight and

sound to treat indications not possible through use of current retinal prostheses and cochlear implants.

REFERENCES:

1. Norman, Richard A., et al. "A neural interface for a cortical vision prosthesis." Vision research 39.15

(1999): 2577-2587.

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2. Ahuja, A. K., et al. "Blind subjects implanted with the Argus II retinal prosthesis are able to improve

performance in a spatial-motor task." British Journal of Ophthalmology 95.4 (2011): 539-543.

3. Wilson, Blake S., et al. "Better speech recognition with cochlear implants." Nature 352.6332 (1991):

236-238.

KEYWORDS: neurotechnologies, cortical, systems integration, optical, transduction, in vivo,

brainmachine interfaces, photonic, prototype

SB152-003 TITLE: Broadband Self-calibrated Rydberg-based RF Electric Field and Power Sensor



TECHNOLOGY AREAS: Sensors, Electronics

OBJECTIVE: Develop a Rydberg-based broadband (1 GHz – 1 THz) self-calibrated electric field sensor,

power sensor, or components with high-sensitivity capable of working in a strong electric field

environment (>1 kV/m). The electric field-sensing device should also be capable of imaging

subwavelength RF fields to verify and guide circuit and metamaterial design achieving better than 10 µm

spatial resolution.

DESCRIPTION: There is a critical need for capabilities that will enable the DoD to have self-calibrated

electric field and power sensors in the RF, microwave, and millimeter-wavelength regimes. This topic

seeks the demonstration of a portable broadband (1 GHz – 1 THz) electric field, power sensor, or key

components towards a device. The sensor should be capable of operating in greater than 1 kV/m electric

fields as to be usable for high-energy DoD applications. The electric field and power measurements must

be SI traceable to remove the need for the recalibration process. Furthermore, the electric field-sensing

device should be capable of sub-wavelength imaging of RF electric fields with spatial resolutions

exceeding 10 µm. Many DoD and commercial applications critically rely on using calibrated electric field

and power sensors in the RF, microwave, and millimeter-wavelength regimes. Currently no selfcalibrated

sensor exists in the 100 GHz – 1 THz frequency band. Typical detectors in the sub-THz frequency range

are antennas which inherently perturb the field they are trying to sense, resulting in greater than 5%

measurement errors.

Antennas have the further limitation that they are narrow-band detectors. A SI-traceable sensor in the 1

GHz – 1 THz range would remove the need for costly recalibration of older devices and would replace

many narrow-band antennas with a single low-SWaP device in a handheld package. Quantum sensors

based upon Rydberg atoms offer the potential of traceable calibration, high sensitivity, wide spectral

coverage, and high power capability.

In addition to DoD applications, a Rydberg field and power sensor would have numerous commercial

applications: circuit design [1, 2], biological sensing [3], aeronautics applications [4], and mobile

communication [5]. This technology would not only verify circuit design but inform it by employing

subwavelength RF field imaging of the complicated electronic fields from various dense circuits and

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metamaterials [1, 2]. Current technology employing electromagnetically induced transparency (EIT) in

Rydberg atoms in an atomic vapor cell is a promising route but requires further development in order to

achieve DoD functionality. These devices function by converting an electric field amplitude into a

measurable frequency splitting [6] that is SI-traceable [7]. The electric field magnitude E is given by

|E|=ℏΔf/P, where ℏ is Planck‟s constant divided by 2π, Δf is the measured frequency splitting, and P is the

transition dipole moment. Current work has demonstrated sensitivities of 3 µV/sqrt(Hz) measuring

electric fields as low as 7.3 µV/cm [8] and up to 40 V/m [9] in a 1-130 GHz frequency range. These

results are the first calibrated field measurements in the 100 GHz – 1 THz frequency band to date.

Employing this technique to image RF electric fields resulted in sub-100 µm spatial resolutions [1] for

electric fields with frequencies up to 104 GHz [2, 10].

The fabrication of micrometer-sized vapor cells is one of the more challenging technological

developments necessary for these sensors. The size of these vapor cells must be reduced to at least one

quarter of the length of the minimum wavelength of interest in order to prevent variations in the measured

RF fields produced by standing waves. These cells must be all dielectric, made of quartz or Pyrex for

example, and must be filled with alkali atoms such as Rb and Cs or a mixture of atomic species. The

fabrication of micrometer-sized vapor cells suffers from atomic adsorption to the cell walls. These vapor

cells must employ a mitigation technique for the reduced vapor pressure such as novel coatings or

materials, bonded infrared absorption glass to the outside of the cell for IR heating or optical coupling

mirrors bonded to the cell to form optical resonators for enhanced atom-light interaction. Such vapor cell

production would not only benefit electric field sensing but atomic vapor-based magnetometry. Atomic

vapor magnetometry currently provides the most sensitive magnetic field measurements [11] but it does

not have high spatial resolution because it is limited to integration over the vapor cell length.

Commercially available micrometer-sized atomic vapor cells would allow for the extension of atom-based

magnetometry into a different spatial resolution regime [12, 13].

PHASE I: Demonstrate the operation of key components towards the electric field or power sensor in a

laboratory setting such as: broadband measurements (100-250 GHz), electric field sensitivities better than

100 µV/cm, circuitry imaging with better than 50 µm spatial resolution, or fabrication of an alkali vapor

cell with sub-mm length scales, and the development of a technique to mitigate reduced vapor pressures.

Phase I deliverables include a final report that documents the results of each demonstration and design

concepts to extend the measurement space to 1 GHz - 1 THz, improve the spatial resolution, and detail an

experimental method to use the device in a high electric field environment (greater than 1 kV/m).

PHASE II: Construct and demonstrate a breadboard system with a path towards a portable device. If the

performer is developing components, fabricate the miniaturized alkali vapor cell to less than a 100 µm

length.

Phase II deliverables: 1) a demonstration in a simulated or relevant environment achieving broadband

measurement (1 GHz – 1 THz), detection of less than 1 µV/cm electric fields, and sub-wavelength

imaging with better than 10 µm spatial resolution. 2) a final report that documents the results of the

demonstration and specifications of the fabricated alkali vapor cell 3) Completed designs for a portable

prototype. This phase is expected to reach TRL 5.

PHASE III: If successful this technology could transition to multiple DoD offices and could eventually

replace current 1 GHz – 1 THz based electric field and power sensors, removing the need for recalibration

against standards. This device could also be commercially viable to examine densely packed microwave

circuit designs imaging the electric fields with sub-100 µm resolution to strongly inform and guide circuit

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design. Development of the micrometer-sized alkali-based vapor cells would be commercially usable for

atomic vapor-based magnetometry opening new realms of spatial resolution for the highest magnetic field

sensitive magnetometers. Such vapor cells could also have potential use in the timing community.

REFERENCES:

1. H. Q. Fan, S. Kumar, R. Daschner, H. Kübler, and J. P. Shaffer, “Subwavelength microwave

electsricfield imaging using Rydberg atoms inside atomic vapor cells,” Optics Letters, Vol. 39, Issue

10, pp. 3030-3033 (2014).

2. C.L. Holloway, J.A. Gordon, A. Schwarzkopf, D. Anderson, S. Miller, N. Thaicharoen and G.

Raithel, “Sub-wavelength imaging and field mapping via EIT and Autler-Townes splitting in Rydberg

atoms. Appl. Phys. Lett. 104, 244102;

3. S. Bakhtiari, T. W. Elmer, N. M. Cox, N. Gopalsami, A. C. Raptis, S. Liao, I. V. Mickelson, and A.

V. Sahakian, “Compact millimeter-wave snsor for remote monitoring of vital signs”, IEEE Trans.

Inst. and Mease, 61, 830, (2012)

4. A. H. Lettington, D. Dunn, N. E. Alexander, A. Wabby, B. N. Lyons, R. Doyle, J. Walshe, M. F.

Attia, and I. Blankson, “Design and devolpment of a high-perfomance passive millimeter-wave

imager for aeronautical applications,” Optical Engineering 44(9), 093202-1 (2005).

5. Z. P. and F. Khan, “An introduction to millimeter-wave mobile broadband systems,” Samsung

Electronics, IEEE Comm. Mag. 101 (2011).

6. J. A. Sedlacek, A. Schwettmann, H. Kübler, R. Löw, T. Pfau, and J. P. Shaffer, “Microwave

electrometry with Rydberg atoms in a vapour cell using bright atomic resonances” Nat. Phys. 8, 819

(2012).

7. C.L. Holloway, J.A. Gordon, S. Jefferts, A. Schwarzkopf, D. A. Anderson, S.A. Miller, N.

Thaicharoen and G. Raithelet. Broadband Rydberg atom-based electric-field probe: From self-calibrated

measurements to sub-wavelength imaging” IEEE Trans. on Antennas and Propagation. 99, (2014).

8. J. A. Sedlacek, A. Schwettmann, H. Kübler, and J. P. Shaffer, “Atom-Based Vector Microwave

Electrometry Using Rubidium Rydberg Atoms in a Vapor Cell,” Phys. Rev. Lett. 111, 063001 (2013).

9. D. A. Anderson, A. Schwarzkopf, S. A. Miller, N. Thaicharoen, G. Raithel, J. A. Gordon and C. L.

Holloway, “Two-photon microwave transitions and strong-field effects in a room-temperature

Rydbergatom gas,” Phys. Rev. A 90, 043419 (2014).

10. J.A. Gordon, C.L. Holloway, A. Schwarzkopf, D. A. Anderson, S. Miller, N. Thaicharoen and G.

Raithel, “Millimeter wave detection via Autler-Townes splitting in rubidium Rydberg atoms” Appl. Phys.

Lett., Vol. 105, Issue 2, 2014.

11. D. Sheng, S. Li, N. Dural, and M. V. Romalis, “Subfemtotesla Scalar Atomic Magnetometry Using

Multipass Cells,” Phys. Rev. Lett. 110, 160802 (2013).

12. G. Vasilakis, H. Shen, K. Jensen, M. Balabas, D. Salart, B. Chen, E. S. Polzik “Generation of a

squeezed state of an oscillator by stroboscopic back-action-evading measurement,” arXiv: 1411.6289

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13. G. Vasilakis, H. Shen, K. Jensen, D. Salart, A. Fabricant, M. Balabas, and E. Polzik, “Cavity

enhanced quantum limited magnetometry,” DOI: 10.1364/QIM.2014.QTu3B.6 Conference: Quantum

Information and Measurement, At Messe Berlin, Berlin Germany.

KEYWORDS: atomic sensor, Rydberg, EIT, vapor cell, self-calibrated, RF, microwave, millimeterwave,

directed energy

SB152-004 TITLE: Many-Core Acceleration of Common Graph Programming Frameworks



TECHNOLOGY AREAS: Information Systems, Electronics

OBJECTIVE: Develop next-generation many-core acceleration capabilities for current leading edge

graph programming ecosystems such as Tinkerpop, GraphLab, and GraphX, deployable on modern

massively parallel architectures such as GPU-accelerated systems, to facilitate ease of integration and

lower barriers to adoption of many-core technologies.

DESCRIPTION: Today there is a DoD need for graph analytics capabilities, which are critical for a large

range of application domains with a vital impact on both national security and the national economy,

including, among others: counter-terrorism; fraud detection; drug discovery; cyber-security; social media;

logistics and supply chains; e-commerce, etc. Widely used graph development frameworks have enabled

online (but not real-time) graph analytics for broad classes of problems at a modest data scales and

support only offline analytics for very large data scales. The Facebook graph today has over 1 Trillion

edges. A single iteration of a graph traversal takes up to 3 minutes using Apache Giraph on 200

commodity CPU servers. A full breadth first traversal of the graph could take nearly 20 minutes, and

algorithms that relax to a solution can require 50-100 iterations, implying that it could take several hours

to compute the Page Rank of the Facebook graph.

Bringing analytics within these graph programming frameworks into real-time on large graphs requires

that they be able to leverage the computing advances in multi-core platforms. However, scalable,

dataparallel graph analytics on many-core hardware is a fundamentally hard problem that goes well

beyond the current state of the art. Graph data models and algorithms are used for network structured

data, when the data are poorly structured, or when complex relationships must be drawn from multiple

data sets and analyzed together. Graph operations are inherently non-local and, for many real-world data

sets, that nonlocality is aggravated by extreme data skew.

Graph analytics are data intensive rather than compute intensive which means that memory and network

bandwidth are the bottlenecks for graph processing. Overall, current solutions applied to scaling graph

frameworks such as Tinkerpop and Graphlab do not have all of the desired attributes integrated,

specifically 1) Solutions based on map/reduce or requiring checkpoints to disk are 1000s of times too

slow to extract the value latent in graphs for time-sensitive analytics. (2) Solutions based on nonupdatable

data representations are limited in their application to complex analytics. 3) Solutions that provide robust

scaling and high performance require specialized programming techniques that are not easily accessible to

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the existing graph development community. Approaches leveraging multi-core technology have

significant promise. At the purely hardware level, GPU memory bandwidth is set to jump by 4x by Q1

2016 (Pascal). This should provide a 4x speedup. Thus going from 10x - 100x speedups over CPUs to 40x

- 400x over CPUs.

PHASE I: Develop innovative approaches to apply many-core GPU and/or hybrid CPU technologies to

existing graph development APIs. The focus should be on framework fidelity, computational scalability,

and easing the burden of integration. In addition, develop detailed analysis of predicted performance of

the proposed approach and plans for developing the approach into a comprehensive platform to accelerate

a graph framework in Phase II. The Phase I deliverable is a final report documenting the effort and

results.

PHASE II: Develop a comprehensive implementation of an existing graph framework accelerated for

commodity high performance many-core (GPUs) and multi-core CPUs technologies using the approaches

identified in Phase I. Develop a prototype and establish a preliminary benchmark using various standard

problems, and apply the tool to a DoD relevant problem. Phase II deliverables will include software, a

final report documenting the effort, a document describing the architecture and a user‟s manual.

PHASE III: Real time data ingest and reasoning analytics for military situational awareness platforms.

Commercial uses of the accelerated graph framework include a 1000-10000X acceleration of existing

graph analytics such as Facebook‟s current graph traversal.

REFERENCES:

1. http://www.mapgraph.io/ (Sourcecode – Apache 2 license)

http://sourceforge.net/projects/mpgraph/files/

2. http://www.stingergraph.com (Sourcecode – BSD derivative license)

https://github.com/robmccoll/stinger

KEYWORDS: PlanX, XDATA, Cyber operations, Cyber, situational awareness

SB152-005 TITLE: Ovenized Inertial Micro Electro Mechanical Systems

PROPOSALS ACCEPTED: Phase I

TECHNOLOGY AREAS: Sensors, Battlespace

OBJECTIVE: Develop temperature stabilization and packaging of MEMS inertial sensors with consistent

tactical grade performance across the operating range of -40C to +85C.

DESCRIPTION: There is a critical DoD need for capabilities that focus on temperature stabilization of

MEMS inertial sensors to improve bias and scale factor stability. Military operations rely on

satellitebased Global Positioning System (GPS) for precision Positioning, Navigation & Timing (PNT)

information. However, GPS is an extremely small signal, which may be degraded due to signal

interference or obstructed by environmental factors such as clouds, urban canyons or other impeding

structures [1]. In GPS-degraded environments critical PNT information must be gathered from alternate

DARPA - 20

sources, such as navigation by the technique of dead reckoning based on acceleration and rotation inputs

from an Inertial Measurement Unit (IMU) [2]. IMUs based on Micro Electro Mechanical Systems

(MEMS) are low Cost, Size, Weight, and Power (CSWaP), but typically exhibit high calibration

environmental sensitivity, particularly to external temperature variation [3,4]. MEMS sensors are early in

their development; they have made their way into consumer market but underlying limits to sensitivity

and stability are not well understood. This is analogous to the development of crystal oscillators (XO)

developed early in the 20th century.

Over the past century, temperature sensitivity of crystal oscillators has been improved by applying

temperature compensation algorithms based on the externally sensed ambient temperature (TCXO) [5].

However, the best performing crystal oscillators rely on ovenization of the resonant device to provide the

highest stability (OCXO)[6]. The evolution of MEMS-based inertial sensors is likely to follow a similar

trajectory due to the similarity of vibrating MEMS devices to quartz oscillators. At present,

uncompensated MEMS inertial sensors are widely available for commercial applications and digital

temperature compensation (TC-MEMS) devices are emerging [7]. Temperature stabilization has been

demonstrated to improve long-term stability and reproducibility of MEMS inertial sensors in an academic

setting but has yet to be transitioned into marketable MEMS-based inertial sensors [8]. This SBIR seeks

to develop Ovenized Inertial MEMS (OI-MEMS) with a viable path to commercialization.

PHASE I: Design a concept for achieving tactical grade inertial sensor performance, as listed below. The

sensor should operate on 500mW in a 0.5cc package. Phase I deliverables will include: a fabrication flow

process, and a detailed analysis of predicted performance metrics. Bias Stability over temperature (-40 to

+85°C)

• Gyroscope: 1°/hr

• Accelerometer: 1 mg Scale Factor Stability over temperature (-40 to +85°C)

• Gyroscope: 10 ppm

• Accelerometer: 1 ppm ARW

• Gyroscope: 0.125°/rt(hr)

• Accelerometer: .5 ft/s/rt(hr)

PHASE II: Develop, demonstrate, and validate Phase 1 model predictions; refine fabrication procedures

to fine tune thermal expansion and coefficient second-order effects; conduct life cycle and environmental

testing to verify performance; manufacture and deliver gyroscope or accelerometer prototypes for

government evaluation. Required Phase II deliverables include 5 packaged sensors with necessary

electronics to operate the Ovenized Inertial MEMS device.

PHASE III: The military need for PNT information in the absence of GPS is in very high demand.

Current DARPA programs are pursuing self-contained navigation for applications such as missile

guidance, mounted and dismounted soldier navigation in GPS denied environments. Much progress has

been made in existing microPNT programs. This SBIR will complement those efforts, by addressing the

key driver of long-term instability with a fast track to commercialization. Due to the high performance of

the OI-MEMS, there is limited commercial application. However, there is a market for high performance,

small CSWaP inertial sensors for oil drilling and agricultural applications.

REFERENCES:

1. Vulnerability of the GPS Signal to Jamming, GPS Solutions, 1999, Volume 3, Number 2, Page 19,

Aron Pinker & Charles Smith

DARPA - 21

2. Strapdown Inertial Navigation Technology 2nd Edition, David Titterson, and John Weston, IET, 2004

3. M. Weinberg, A. Kourepenis, “Error sources in in-plane silicon tuning-fork MEMS gyroscopes,” IEEE

JMEMS, vol. 15, pp. 479-491, 2006.

4. E. Ng, V. Hong, Y. Yang, C. Ahn, C. Everhart, T. Kenny, “Temperature dependence on the elastic

constants of doped silicon,” JMEMS, August 2014

5. L. Hurley, “A temperature-controlled crystal oscillator,” IEEE 43rd Annual Symposium on Frequency

Control, 1989

6. M. Vaish, “A high precision qurtz oscillator with performance comparable to Rubidium oscillators in

many respects,” 1996 IEEE International Frequency Control Symposium

7. http://www.vectornav.com/products/vn100-smt

8. I. Prikhodko, S. Zotov, A. Trusov, A. Shkel, “Thermal calibration of silicon MEMS gyroscopes,”

IMAPS International Conference & Exhibition on Device Packaging, March 2012

KEYWORDS: MEMS, Ovenized, Inertial Sensors, PNT, gyroscopes, accelerometers, temperature

control

SB152-006 TITLE: Compact, Configurable, Real-Time Infrared Hyperspectral Imaging System



TECHNOLOGY AREAS: Chemical/Bio Defense, Sensors

OBJECTIVE: Develop and demonstrate a re-configurable, real-time portable infrared hyperspectral

imaging system. This capability should have the ultimate utility in detection and identification of critical

targets in complex, highly variable backgrounds.

DESCRIPTION: There is a compelling DoD need to create a low cost, compact and reconfigurable

infrared imaging spectrometer that can operate in real time, and in a variety of backgrounds and ambient

conditions. Hyperspectral imaging (HSI) systems have been fielded for the detection of hazardous

chemical and explosives threat materials, tag detection, friend vs. foe detection (IFF) and other defense

critical sensing missions. Such systems currently exist in airborne and ground sensing configurations in

short-wave, mid-wave and long-wave infrared (IR) spectral regions. They are based on HSI sensor

hardware architectures combined with multivariate analysis algorithms [1,2]. While these imaging

systems can provide sensitive and specific detections of targets and identification of materials in complex

backgrounds, they are typically large, costly to field, operate, and support, and generally do not operate in

real-time. Those systems that operate in real time typically compromise some degree of freedom, such as

the number of spectral bands, image definition, or number of targets being detected. Reconfiguring the

system to an alternative set of targets or backgrounds requires significant effort, which makes adjusting to

dynamic mission conditions impractical. Nonetheless, intelligence based on HSI systems has proven very

DARPA - 22

useful, resulting in an increasing demand for it; but due to the high cost of procuring and maintaining an

HSI system, they are only available to privileged users.

Specifically, what is needed is an IR hyperspectral imaging and sensing capability with the following

characteristics: (1) rapidly field-configurable operation to adapt to different targets or operating

conditions; (2) real-time, target on-the-move operation, ideally at the frame rate of the focal plane array

camera; (3) real-time automated target signature detection, performed within the system to dramatically

reduce data bandwidth, downlink transmission bandwidth requirements, and post-processing; (4)

significantly reduced cost, size, and weight; and (5) imaging operation with minimal support

infrastructure. The resulting system should be able to support one or more of the following missions:

counter IED detection, IFF, bio/chemical WMD detection and tag, track and locate (TTL) missions.

The performance goals of such a system are:

• Frame rate 10 frame per second (fps) or greater

• Free spectral range covering at least one band of 850-1700 nm for SWIR, 3-5µm for MWIR, 8-11+µm

for LWIR

• Form factor, suitable for operation as a handheld, wearable or UAV-mounted configuration

• Weight less than 5 lbs.

• Run time greater than 4 hours, with power source included in weight metric

• Cost of less than $50,000 in volume of 1000 or more

• High Definition Chemical Image - Megapixel (1Kx1K) or greater

• Low latency of less than or equal to 100ms

• Interface compatible with XML schema

• Autonomously link to existing military architecture or infrastructure (e.g., cell phone).

In summary, a Compact, Mission-Configurable, on-Demand, Real-Time, Infrared Hyperspectral Imaging

Sensor is envisioned. It is acknowledged that all spectral ranges may not be accommodated in a single

sensor, and that the objective vision may not be fully realizable during the course of a Phase II SBIR.

However, concrete and compelling hardware/software progress towards this vision is expected to be

demonstrated.

PHASE I: Design a concept for an infrared hyperspectral imaging system capable of real-time, and

multimission configurable-on-demand operation with specific performance objectives as described.

Develop an analysis of predicted performance, and define key component technological milestones.

Establish performance goals in terms of parameters such as time of operation; probability of detection and

false alarm; detection time; spectral range; image quality; field of view; day, night and obscured condition

visualization; image frame rate; and size, weight and power (SWaP). In addition, provide a contrast with

existing hyperspectral imaging systems. Produce an initial mockup, possibly using 3D printed parts

and/or solid models, showing the system form factor at the preliminary design level.

Phase I deliverables would include:

• A description of the system design and functions mapped to real-time imaging system requirements,

• A performance assessment against existing approaches,

• An evaluation of key tradeoffs, and • A risk reduction and demonstration plan.

• Final report/phase II proposal

PHASE II: Develop and demonstrate a prototype real-time mission-configurable infrared hyperspectral

imaging sensor system with the specified features, including on board detection, and operation at 10 fps

DARPA - 23

or higher sampling rate. Construct and demonstrate the operation of a laboratory prototype, which would

have the core features needed to achieve mission configurability capabilities. Exercise relevant software

functions and exposure to different mission conditions, including demonstration of ability to change

system detection configurations against multiple different target sets through rapid field configuration.

Perform additional analyses as needed to project eventual performance capabilities.

Phase II deliverables would include:

• A final design with all drawings, simulations and modeling results;

• One prototype of the real-time chemical imaging system; • Software applications as needed; •

Performance data compared with performance and environmental goals; and

• Schedule with financial data for program execution.

• Preliminary and critical design reviews

• Monthly reports

PHASE III: As described above, the military utility of the data and intelligence that is generated by the

current large and costly systems has been demonstrated. Driving the SWaP and cost down such that the

system can be used by a dismount or on a small UAV will enable proliferation of the capability in the

same way that night vision goggles or cell phones have become an integral part of the soldier‟s arsenal.

Requiring the system to be compatible with existing systems and data formats will help ensure more rapid

acceptance and use. Commercial application of hyperspectral imaging has been increasing in parallel to

military applications. These include agriculture, mining, medical imaging and diagnoses, environmental

management, disaster management and hazard assessment. Like military applications, the cost and size of

these systems limits their availability to all but the most privileged users. Driving the system cost and

SWaP down would enable proliferation of these devices to a potentially large user base, including

municipalities (police, fire, etc.), agriculture (farmers, land managers, etc.), and healthcare (health

screening and microbiology).

REFERENCES:

1. Eismann, M.T., 2012. Hyperspectral Remote Sensing, SPIE Press, ISBN: 9780819487872.

2. National Research Council. Visualizing Chemistry: The Progress and Promise of Advanced Chemical

Imaging. Washington, DC: The National Academies Press, 2006. ISBN: 978-0-309-09722-2.

KEYWORDS: Hyperspectral; infrared; real-time; spectrometer; handheld; counter IED; unmanned aerial

vehicle; UAV

SB152-008 TITLE: Low Cost Expendable Launch Technology

PROPOSALS ACCEPTED: Phase I

TECHNOLOGY AREAS: Space Platforms, Weapons

OBJECTIVE: Leverage emerging commercial entrepreneurial and defense technologies enabling

lightweight, high-specific-energy liquid-rocket technology. Develop the design, manufacturing and test

approach for fabricating extremely low-cost, high propellant mass fraction launch vehicles and upper

stages for space access. Critical component or analytical risk reduction is encouraged.

DARPA - 24

DESCRIPTION: There is a compelling DoD need to leverage emerging commercial entrepreneurial and

defense technologies enabling lightweight, high-specific-energy liquid-rocket technology. Many

established aerospace and emerging entrepreneurial companies are developing new rocket stage

technologies that promise to reduce the cost of access to space. The goal of this topic is to leverage these

investments to enable low-cost launch vehicles that minimize gross and dry weight while maximizing the

propellant load, engine specific impulse and/or payload. Technological trends facilitating such lightweight

stages include an ongoing computer/software revolution enabling affordable design, sophisticated

software in lieu of mechanical complexity, integration, and test; micro-miniaturization of electronics and

mechanical actuators; high strength-to-weight composites and nano-engineered materials; lightweight

structural concepts and thermal protection; advanced manufacturing methods, high thrust/weight rocket

engines and turbo-machinery; and novel high-density-impulse liquid propellants that are safe, cheap and

easy to handle.

The offeror must demonstrate a clear understanding of the system applications of the launch vehicle and

the supporting technologies. A system application of interest to the government is modifying the launch

vehicle as a low-cost upper stage for DARPA‟s Experimental Spaceplane (XS-1) program. Key design

goals include balancing low gross mass with adequate velocity change, payload and manufacturing cost.

Additionally, reusable launch concepts such as XS-1 may carry stages through either normal or

longitudinally-oriented hardpoints/racks.

Stages with efficient structural arrangements to cope with such load paths while remaining low in mass

and cost are of interest. Other potential system applications include a wide range of commercial launch

vehicles, tactical missiles, satellite integral propulsion and future boost-glide tactical or air transport

systems. Similarly, a clear understanding of the technology applications to XS-1 as well as other proposed

military and commercial systems is also essential.

Critical technologies could include lightweight structures and propulsion, high-density-impulse

propellants, miniaturized avionics, modular components, altitude compensation and complementary

aerodynamic/propulsion integration, and stability, guidance and control subsystems all integrated into the

stage while keeping the system simple and affordable. Offerors may seek to design and fabricate an entire

stage or only critical subsystems.

PHASE I: Develop the design, manufacturing and test approach for fabricating extremely low-cost, high

propellant mass fraction launch vehicles and upper stages for space access. Critical component or

analytical risk reduction is encouraged. Identify potential system level and technology applications of the

proposed innovation. Although multiple applications are encouraged, to help assess the military utility the

proposed stage should be useful as an upper stage on the XS-1 experimental spaceplane. The stage(s)

must be designed to support: 1) an ideal velocity change of up to 20,000 fps objective, 2) a payload of

3,000 lbs, 3) a gross mass of less than 30,000 lbs, 4) a unit fly away cost of <$1M per stage, and 5) a safe

and affordable alternative to today‟s carcinogenic propellants such as hydrazine, unsymmetrical

dimethylhydrazine and red fuming nitric acid.

PHASE II: Finalize the Phase I design, then develop, demonstrate and validate the system design, critical

hardware components and/or enabling technologies. Design, construct and demonstrate the experimental

hardware or component prototypes identified or developed in Phase I. The Phase II demonstration should

advance the state of the art to between Technology Readiness Level 5 and 6. Required Phase II

deliverables will include the experimental prototype hardware and a final report including design data

DARPA - 25

such as CAD and detailed mass properties, manufacturing and test plan, costing data, test data, updated

future applications and Phase III military transition and commercialization strategies.

PHASE III: The offeror will identify military applications of the proposed innovative technology(s)

including use as a low-cost upper stage on the XS-1 experimental spaceplane. Leveraging of commercial

and defense stages tailored to support specific upper stage needs is encouraged. Technology transition

opportunities will be identified along with the most likely path for transition from SBIR research to an

operational capability. The transition path may include use on commercial launch vehicles or alternative

system and technology applications of interest to operational military and commercial customers.

REFERENCES:

1. Modern Engineering for Design of Liquid Propellant Rocket Engines, Dieter Huzel, David

Huang, Harry Arbit, 1992. (Density Impulse defined, pg 19).

2. Sutton, G. and Biblarz, O. Rocket Propulsion Elements, 8th ed., Liquid rocket propulsion options

and propellants.

3. http://en.wikipedia.org/wiki/List_of_private_spaceflight_companies, Listing of robust

commercial spaceflight industry members.

4. https://www.fbo.gov/spg/ODA/DARPA/CMO/DARPA-BAA-14-01/listing.html, XS-1 Program

proposer‟s day information.

KEYWORDS: Upper stage, commercial launch, XS-1, point to point, ballistic, transport, suborbital,

flight, rocket, space, airlift, boost glide and propulsion.

Offerors are strongly encouraged to read the Portal Registration and Submissions Training Guide and follow the instructions for proposal submission. This guide can be found at https://sbir2.st.dhs.gov under “Reference Materials.” The Guide provides step-by-step instructions for company registration and proposal submission. Questions about the electronic submission of proposals should be submitted to the Help Desk. The Help Desk may be contacted at (703) 480-7676, or [email protected] from 9:00 a.m. to 5:00 p.m. ET, Monday through Friday. Late proposals will not be accepted or evaluated. Note: As the close of the solicitation approaches, heavy traffic on the web servers may cause delays. Plan ahead and leave ample time to prepare and submit your proposal. Offerors bear the risk of website inaccessibility due to heavy usage in the final hours before the Solicitation closing time. In accordance with the FAR clause 52.215-1, Offerors are responsible for submitting proposals, and any modifications or revisions, so as to reach the Government office designated in the Solicitation by the time specified in the Solicitation. FAR clause 52.215-1, Instructions to Offerors – Competitive Acquisition (Jan 2004) is hereby incorporated in this Solicitation by reference. 7.0 RESEARCH TOPICS 7.1 S&T Directorate Topics The following are the topics for the FY15.1 S&T Directorate’s SBIR Program: H-SB015.1-001 H-SB015.1-002 H-SB015.1-003 H-SB015.1-004 H-SB015.1-005 H-SB015.1-006 H-SB015.1-007 Specific details for each topic are included in Appendix A. 7.2 DNDO Topics The following are the topics for the FY15.1 DNDO SBIR Program: H-SB015.1-008 H-SB015.1-009 Specific details for each topic are included in Appendix A.

30

https://sbir2.st.dhs.gov/

mailto:[email protected]

Karen

Typewritten Text

Dept. of Homeland Security

APPENDIX A – RESEARCH TOPIC DESCRIPTIONS

SBIR TOPIC NUMBER: H-SB015.1-001 TITLE: DNA and Latent Fingerprint Collection from Same Sample

TECHNOLOGY AREAS: Border Forensics, Cargo Forensics

OBJECTIVE: Develop a method for latent print work and DNA analysis from the same sample while optimizing DNA extraction protocol for fingerprints deposited on evidentiary materials used for human identification.

DESCRIPTION: Forensic evidence collection is an essential tool for acquiring information for law enforcement investigations and latent fingerprints are the main piece of evidence to investigate due to the unique and unchanged nature of the ridge patterns of each individual. Leveraging the S&T Directorate’s current DNA Collection Efficiency project, identify techniques to both recover latent fingerprint and to extract DNA profile from the same piece of fingerprint evidence collected in the crime scene.

PHASE I: Determine by theory, previous research in related areas and/or laboratory experimentation, the most efficient and practical approach to both preserve the physical integrity of latent fingerprints on the typical surfaces on evidence encountered by Custom and Border Protection (CBP) forensic analysts while not interfering with DNA collection, extraction and analysis. Indicate for each method investigated, latent fingerprint image and DNA collection efficiency, physical and chemical degradation, detection sensitivity in the context of real world scenarios on each surface material from sample evidence and a prototype chemical or optical concept in the Phase I final report. PHASE II: Construct, operate, and analyze the data from one (1) working prototype device based on a down select from concepts identified in Phase I, calibrated against a laboratory gold standard and real world evidence. The prototype will be delivered to the CBP LSS forensic laboratory no later than six months before the contracted closing date of the Phase II project with a comprehensive performance analysis. Government personnel will operate the system in the CBP LSS forensic laboratory for the remaining 6 months of the Phase II project.

PHASE III: COMMERCIAL OR GOVERNMENT APPLICATIONS: A commercial version of the system, if system performance is confirmed, will be developed, and then installed to operate in the CBP forensic laboratory in Houston, TX. A system architecture, specification, and operator manual will be provided with the system for CBP to procure additional systems for use in other CBP forensic laboratories. REFERENCES: Presley, L.A.; Baumstark, A.L.; Dixon, A. (1996). The Effects of Specific Latent Fingerprint and

Questioned Document Examinations on the Amplification and typing of the HLA DQ Alpha Gene Region in Forensic Casework. J Forensic Sci; 41(6), 1012-1017. https://www.doj.state.wi.us/sites/default/files/2010-news/dna-analysis-plan-20100421.pdf

APPENDIX A - 1

https://www.doj.state.wi.us/sites/default/files/2010-news/dna-analysis-plan-20100421.pdf


Grubwieser, P.; Thaler, A.; Köchl, S.; Teissl, R.; Rabl, W.; Parson, W. (2003). Systematic Study on

STR Profiling on Blood and Saliva Traces after Visualization of Fingerprint Marks. J Forensic Sci; 48 (4), 733-741.

KEY WORDS: touch DNA, latent fingerprint collection, DNA collection method, forensic science, short tandem repeat (STR), epithelial cells, polymerase chain reaction (PCR) TECHNICAL POINT OF CONTACT: David Masters, 202-254-6364, [email protected] SBIR TOPIC NUMBER: H-SB015.1-002

TITLE: Low-cost, Disposable, Tamper-Proof Bolt Seal

TECHNOLOGY AREAS: Transportation Security, Cargo Security, Cargo Container Seals and Locks, Electronic Seals and Locks

OBJECTIVE: Develop, prototype, and demonstrate a low-cost electronic reusable and/or disposable, tamper-proof cargo container/conveyance bolt seal for the maritime and air cargo environments.

DESCRIPTION: The current generation of bolt seals, despite being ISO-17712-2013 compliant, provides only limited protection from tampering and illicit entry into the container or conveyance. They can be defeated to gain access to the container or conveyance through removal and replacement, and disassembly and reassembly among other methodologies. Entries may be for the purpose of removing goods or merchandise but, they also present an opportunity for insertion of contraband (i.e., drugs, bulk currency, weapons, etc.), weapons of mass effect, as well as illegal aliens. A number of more sophisticated and more secure devices have been developed and are available to industry as well as Customs and Border Protection (CBP) and Transportation Security Administration (TSA). While such units are very secure, they are also more costly and can be difficult to use. Except for compliance factors under the C-TPAT and FAST programs, the use of these devices are not mandatory to the industry, and as such, industry is reluctant to use these devices except in the case of highly valued and expensive merchandise. Meanwhile containers carrying more mundane cargo are essentially unprotected. This SBIR topic seeks a solution that would ensure the integrity of the container and its cargo between segments of the supply chain such as, for example, between a freight consolidator and an air cargo facility subject to the requirements as established below. The bolt seal must have unique non-duplicable features such that it cannot be replaced, must not in any way or in any form be reassembled after disassembly and removal, and must not allow tampering in any manner. The electronics of such device may have GPS and time keeping capability and, if so equipped, may store location and time of a tamper event in non-volatile memory. The memory may be

APPENDIX A - 2



queried by a relocatable device and/or by a handheld device such as a smart phone. The vendor shall propose schema whereby a point of departure interrogation system shall relay presence of a seal and identification of such to the receiving facility. However, under no circumstances shall the actions described herein increase the time, effort, or workload on CBP or TSA Officers using the seals. In addition, the seals shall be designed so that they can be mass produced. This SBIR topic description seeks proposals to prototype and test, in a field environment, an innovative, low-cost (i.e., ≤$15.00 each), electronic disposable and/or reusable tamper-proof cargo container/conveyance bolt seal. PHASE I: Develop conceptual designs for the bolt seal and determine the technical feasibility and potential for transition to high-speed bulk manufacturing for each concept. A final report on the above is required at the conclusion of the Phase I period.

PHASE II: Phase II will develop one (1) or more low-cost prototype(s), electronic disposable and/or reusable tamper-proof cargo container/conveyance bolt seals for internal (Contractor) testing. Upon successful completion of internal testing, the Contractor shall deliver to the Government no less than six (6) prototypes including any support or ancillary equipment for external testing by the Government with assistance from the Contractor. These prototypes shall be delivered not later than seven (7) months prior to the end of Phase II period of performance to allow for six (6) months testing and one (1) month for analysis and final report development. The final report is to include, at a minimum, external test results (with Government assistance); disposable and/or reusable bolt seal business case; and, a definitive plan to transition to full scale production. PHASE III: COMMERCIAL OR GOVERNMENT APPLICATIONS: This technology can benefit government entities such as the DHS operating components, CBP and TSA, as well as DOD, DOS, and ODNI. Commercial entities that ship high-value goods within the U.S. can benefit from the use of simple, cheap, and secure protection for their goods. REFERENCES: Wolfe, M. (2002). Electronic Cargo Seals: Context, Technologies, and Marketplace. Prepared

for: Intelligent Transportation Systems, Joint Program Office, Federal Highway Administration, U.S. Department of Transportation. https://www.hsdl.org/?view&did=444589

Supply Chain Security (GAO-10-887). (2010). United States Government Accountability Office.

http://www.gao.gov/new.items/d10887.pdf Caldwell, S. L. (2014). Maritime Security, Progress and Challenges with Selected Port Security

Programs (GAO-14-636T). United States Government Accountability Office. https://www.hsdl.org/?view&did=754266

APPENDIX A - 3

https://www.hsdl.org/?view&did=444589

http://www.gao.gov/new.items/d10887.pdf

https://www.hsdl.org/?view&did=754266


KEY WORDS: Cargo, Cargo Security, bolt seal, innovation, prototype, cargo container, container security

TECHNICAL POINT OF CONTACT: David Taylor, 202-254-5884, [email protected] SBIR TOPIC NUMBER: H-SB015.1-003 TITLE: Enhanced Distributed Denial of Service Defense

TECHNOLOGY AREAS: Cyber Security, Denial of Service, Information Sharing

OBJECTIVE: Develop tools, techniques, and polices that mitigate the impact of distributed denial of service (DDoS) attacks. DESCRIPTION: Distributed Denial of Service (DDoS) attacks are used to render key resources unavailable. For example, a classic DDoS attack might disturb a financial institution’s website, and temporarily block a consumer’s ability to conduct online banking. A more strategic attack makes a key resource inaccessible during a critical period. Some examples of this type of attack may include rendering a florist’s website unavailable on Valentine’s Day, slowing or blocking access to tax documents in mid-April, disrupting communication during a critical trading window, etc. Prominent DDoS attacks have been conducted against financial institutions, news organizations, providers of internet security resources, and government agencies. Any organization that relies on network resources is considered a potential target. The current environment provides several advantages to the attacker, considering that the resource acquisition cost for attackers is relatively low. An attacker often relies on a large number of compromised computers to conduct the attack. Further, as the network bandwidth and computational power increases, the attacker benefits from the increased resources, providing the capability to conduct more powerful attacks. Organizations that make use of network services must invest in resources that keep pace with the increasing significance of the attacks; while organizations that fail to do so run the risk of being compromised. In addition, organizations that deploy resources carelessly may simply provide the attacker with easily compromised resources that can then be used in future attacks. Even businesses with global scale reach, including those providing security related services, have faced challenges in keeping pace with vast DDoS attacks. This effort seeks tools, techniques, and policies that would help mitigate the attack impact of a 1 Tbps attack originating from over 1,000 locations while shifting the overall advantage from the attacker to defender. The target of the attack may be a hypothetical regional bank that does not have capacity to absorb a 1 Tbps attack. Some collaborative effort will be needed to mitigate the attack. The collaborative effort must make reasonable assumptions on business relationships between the victim and other ISPs, content providers, and other organizations that may be relevant to mitigating the attack.

APPENDIX A - 4



In addition to tools that address today’s attacks, this effort also encourages an approach that looks forward to new DDoS attack vectors, and propose solutions for attacks that are likely to occur in the future. Many of today’s defenses are reactive and designed to address attack patterns that have already been observed. The network infrastructure continues to evolve, therefore enabling the potential for both new types of DDoS attacks and new defenses. For example, attackers are now adapting to growth in smart devices, cyber physical systems, and cloud computing, and are developing new types of DDoS attacks that exploit the unique characteristics of these systems. These same device characteristics may also be used to develop new defenses. Proposals that look forward to network changes and exploit these changes for defense are encouraged.

PHASE I: Phase I proposals should describe a specific tool or technique that can be applied in DDoS defense in the current network, and/or show how the tool or technique would address network changes that might occur in the next 3-5 years. The result is expected to include both an analysis that demonstrates the potential of the approach and proof of concept software.

PHASE II: A prototype device or software capable of deployment in medium scale organization or government agency is desired. The developed component will be delivered to DHS for piloting. The component should leverage applicable and operational best practices for the intended environment. Assertions of security should be verified by independent 3rd parties. PHASE III: COMMERCIAL OR GOVERNMENT APPLICATIONS: Refine components from Phase II, and work with operating systems and application developers to leverage the functions the module provides. Ensure that the component meets the standards necessary for the deployment in a federal government agency or department. REFERENCES: Understanding Denial-of-Service Attacks: http://www.us-cert.gov/ncas/tips/ST04-015 A Taxonomy of DDoS Attacks and DDoS Defense Mechanisms; Mirkovic, Martin, Reiher;

http://www.lasr.cs.ucla.edu/ddos/ucla_tech_report_020018.pdf REN-ISAC Alert: Prevent Your Institution From Being An Unwitting Partner In Denial Of

Service Attacks; http://www.educause.edu/discuss/discussion-groups-related-educause-programs/security-discussion-group/ren-isac-alert-prevent-your-institution-being-u

A Framework for Collaborative DDoS Defense G. Oikonomou, J. Mirkovic, P. Reiher and M.

Robinson, ACSAC 2006, http://www.isi.edu/~mirkovic/publications/ACSAC06.pdf DHS, FBI warn over TDoS attacks on emergency centers,

http://www.csoonline.com/article/731069/dhs-fbi-warn-over-tdos-attacks-on-emergency-centers

APPENDIX A - 5

http://www.us-cert.gov/ncas/tips/ST04-015

http://www.lasr.cs.ucla.edu/ddos/ucla_tech_report_020018.pdf

http://www.educause.edu/discuss/discussion-groups-related-educause-programs/security-discussion-group/ren-isac-alert-prevent-your-institution-being-u



http://www.isi.edu/%7Emirkovic/publications/ACSAC06.pdf




KEY WORDS: Distributed Denial of Service Defense, DDoS, communication tools, collaboration TECHNICAL POINT OF CONTACT: Daniel Massey, 202-254-6669, [email protected]

SBIR TOPIC NUMBER: H-SB015.1-004 TITLE: Privacy Protecting Analytics for the Internet of Things

TECHNOLOGY AREAS: Big Data Analytics, Embedded Systems, Cyber-security, Sensors

OBJECTIVE: Develop and commercialize analytic capabilities and systems to characterize information from large collections of static and mobile sensors while protecting the privacy of individuals.

DESCRIPTION: With the rapid proliferation of sensors, embedded systems, and big data analytics come a host of opportunities for improving safety and security services for the public, critical infrastructure and first responders. As embeddable sensors and sensor platforms become smaller, consume less power and are dynamically re-configurable, a variety of applications associated with awareness, prevention, mitigation and response can be developed to improve the homeland security mission and operations related to catastrophic events. For example, an embedded accelerometer can determine impact to an object, chemical sensors detect the presence of toxic gasses, and physiological sensors can communicate health status. Analysis of different sensor modalities and locations can improve the efficiency and accuracy of responsive actions. However, there are significant privacy concerns associated with such individual sensors and/or sensor readings involving locations and individuals. This effort explores systems that will make it possible to accumulate process and characterize such data in ways that are not attributable to individuals but result in analytic results that are actionable to improve public safety and security. PHASE I: Phase I will examine the feasibility of a proposed privacy protecting system for leveraging the internet of things for public security and safety. During this phase, sensors, embedded systems and scalable architecture designs will be defined that clearly protect the privacy of individuals while producing sensor network information that is clearly actionable for public safety and security applications. Primarily, the performers will conduct an analysis of the proposed system architecture and components that are relevant to the homeland security enterprise. Although not absolutely required, for mature concepts, performers may wish to demonstrate technical feasibility of the privacy protection methods that are inherent in the proposed design. Finally, depending on system maturity, performer may prototype and/or model a proposed system and components that demonstrate their proof of concept. Required Phase I deliverables will include a technical report that outlines the proposed concept and include architecture, embedded system and sensor design requirements and choices. Included in the report will be an analysis of the proposed system and results from relevant modeling

APPENDIX A - 6



activities and if available, any experimental prototyping that reflects performance for a mutually determined operational environment that is relevant to homeland security applications. PHASE II: In Phase II, feasible designs will be implemented and demonstrate a priority homeland security capability in an operationally relevant environment. (See the 2014 Quadrennial Homeland Security Review 2014). Performers will demonstrate the efficacy of their design through a series of increasingly complex operations where various aspects of privacy, security, and information accuracy are communicated to the government. Progress and performance analysis of the sensors, embedded systems and architecture will be documented in the monthly technical reports. A robust prototype of the system will be developed and demonstrated using design choices that are suitable for commercialization, manufacturing and maintenance with targeted price points that are realistic relative to market demand. Demonstrations of the system will clearly communicate the privacy protection inherent in the design, scalability for large applications (greater than millions of sensors) and the value proposition created for users and responders to the overall system. Deliverables will include a demonstration for privacy officials as well as the user community, a final technical report that documents the Phase II system design, prototype sensors, embedded systems and the architecture. PHASE III: COMMERCIAL OR GOVERNMENT APPLICATIONS: Capabilities that result from this effort will lead to increased privacy for architecture designs involving high scale sensor networks. Commercial applications are significant and include: improved traffic flow, medical treatment, and customer service. Government applications include the prevention of Weapons of Mass Destruction related terrorism, situation awareness for first responders, and mass evacuation management. REFERENCES: The 2014 Quadrennial Homeland Security Review

http://www.dhs.gov/sites/default/files/publications/qhsr/2014-QHSR.pdf National Institute of Standards and Technology Cyber-Physical Systems Working Group.

http://www.nist.gov/cps/cpspwg.cfm Mobile Millennium Project. http://traffic.berkeley.edu

KEY WORDS: Internet of things, privacy, big data, sensors, embedded systems, sensor networks TECHNICAL POINT OF CONTACT: Stephen Dennis, 202-254-5788, [email protected]

APPENDIX A - 7

http://www.dhs.gov/sites/default/files/publications/qhsr/2014-QHSR.pdf

http://www.nist.gov/cps/cpspwg.cfm

http://traffic.berkeley.edu/



SBIR TOPIC NUMBER: H-SB015.1-005 TITLE: A Wearable Communications Hub Designed to Streamline and Improve First Responder Communication Capabilities

TECHNOLOGY AREAS: Wearable Technologies, Situational Awareness, Connected Sensors, Public Safety Grade Communication, Personal Area Network

OBJECTIVE: Develop a high-level, scalable next-generation architecture and prototype for an intelligent communications interface device (also referred to as a communications hub) that serves to interconnect wearable technologies (e.g., video camera, sensors, heads-up displays) and voice communication tools to an array of radio communication devices carried by a first responder.

DESCRIPTION: Today, when a highly-trained first responder arrives at an incident scene, an array of communication tools such as land mobile radio (LMR), smartphone and other available communication devices and sensors can overwhelm and distract the first responder. The objective of the communications hub is to dissolve the barrier between responders and the many available sources of critical information. The final goal is to integrate existing and emerging communications technologies already under development and sensors into responders’ protective garments and standard equipment, making each responder a mobile, wireless communications hub and sensor platform, linked automatically to a wide-ranging mesh network. For example, a first responder could send a video clip collected at an incident scene without specifying which wireless network will be used to transmit the video clip, and be given a notification whether the video clip was successfully transmitted. With the creation of a broadband network by the First Responder Network Authority (FirstNet), public safety will have access to another broadband network in addition to their commercial provider, resulting in the ability for first responders to move seamlessly from one network to the other. The communications hub will further improve the situational awareness of the first responders in performing their duty of saving lives and protecting property. To enable first responders to communicate seamlessly, a next generation communications system must include the following features: multimedia (support emergency responder’s requirement for voice, data and video services); user friendly (auto detection, connection and configuration of wearable sensors and tools, including an array of available wireless communication devices); scalable (can incorporate new devices by using standard communication protocol); streamlined (automatically select the optimum communication network medium for communication); resilient (store and forward information when communication resources are congested or unavailable); ruggedized (able to withstand different extreme environmental conditions); weight and size (must be wearable in

APPENDIX A - 8


lightweight, compact enclosure); and availability (battery will support a minimum of 8 hours of emergency response operation). PHASE I: Develop a high level concept of operations for a next generation communications hub that supports a list of the various connected wearable sensors and tools and relevant use cases. The communications hub will also include a conceptual scalable next generation architecture supporting multiple networks (e.g., LMR, Commercial as well as Public Safety Broadband, Satellite, LTE deployable, Wi-Fi, etc.) connected to existing and theoretical first responder devices, along with a section outlining the technical feasibility and potential improvement in operations. The concept should embrace a standards-based approach. PHASE II: Develop a detailed next generation technical architecture with width backward compatibility along with identifying and proposing relevant standards, and interfaces. Develop and deliver one or more working prototype(s) and conduct a pilot(s) and/or trial(s) to evaluate the operational use of the proof of concept. Include a comprehensive security assessment. PHASE III: COMMERCIAL OR GOVERNMENT APPLICATIONS: Based on the pilots/trials, refine the prototype for possible inclusion into the current APEX program within the First Responder Group at the DHS Science and Technology Directorate. REFERENCES: Lien, S., Chen, K., and Lin, Y. (2011). Toward ubiquitous massive accesses in 3GPP machine-to-

machine communications. Communications Magazine, IEEE 49, no. 4: 66-74. Retrieved from http://santos.ee.ntu.edu.tw/papers/2011/2011_M_COM_Lien.pdf.

The National Public Safety Telecommunications Council (NPSTC). (2014). Defining Public Safety Grade Systems and Facilities. Retrieved from http://www.npstc.org/download.jsp?tableId=37&column=217&id=3066&file=Public_Safety_Grade_Report_140522.pdf.

KEY WORDS: machine-to-machine, LTE deployables, Internet of Everything, wearable devices, sensors, situational awareness TECHNICAL POINT OF CONTACT: John Merrill, 202-254-5604, [email protected] SBIR TOPIC NUMBER: H-SB015.1-006 Title: Total Vehicle Mobile X-Ray Scanner TECHNOLOGY AREAS: Counter Improvised Explosive Device (C-IED), Scanning and diagnostics, vehicle borne Improvised Explosive Devices (VBIED)

APPENDIX A - 9

http://santos.ee.ntu.edu.tw/papers/2011/2011_M_COM_Lien.pdf

http://www.npstc.org/download.jsp?tableId=37&column=217&id=3066&file=Public_Safety_Grade_Report_140522.pdf

http://www.npstc.org/download.jsp?tableId=37&column=217&id=3066&file=Public_Safety_Grade_Report_140522.pdf



OBJECTIVE: Develop a real time mobile X-Ray scanning and diagnostics device that can quickly scan an entire vehicle in near real time in order to determine if any explosive devices are present. DESCRIPTION: Vehicle Borne Improvised Explosives Devices (VBIEDs) are the choice weapons of terrorists that threaten the security of a society. To counter this threat, the First Responders and other law enforcement personnel need Diagnostic Imaging tools to make a determination of the contents of the suspicious object without endangering the lives of the First Responders and security personnel. Current COTS (Commercially-Off-The Shelf) Mobile X-ray Scanners are truck mounted and neither suited for use in tight spaces or between parked cars to scan for vehicle bombs nor autonomous. The scanners also have a very small imaging area that makes them unsuitable for effectively scanning large objects. Screening vehicles for threats using X-Ray technology is a tedious and time consuming effort for bomb technicians. When responding to a possible vehicle bomb, a bomb technician’s current options include manually opening the vehicle or using techniques that physically intrude upon the vehicle possibly resulting in physical damage to the vehicle. Bomb technicians require a means of determining the contents of a car or truck without physically opening or breaking into the vehicle. Three-dimensional mapping of vehicle contents is also desired. The mobile Total Vehicle X-Ray Scanner would fill this capability gap by providing bomb squads the ability to conduct rapid mobile screening of vehicles and identifying explosive threats in near real time. Images will be of diagnostic resolution able to identify the threats listed above, will be sent to a mobile control box/screen operated by a bomb technician positioned a safe distance from the scanning area. The system can be used by public safety bomb squads, law enforcement and other first responders operating at the scene to scan suspicious vehicles that have a maximum height of 83 inches. The mobile platform needs to be remotely controlled, and must be maneuverable in tight spaces. The system will also improve the safety of first responders by allowing them to remotely control the device, providing a safe distance between themselves and the target being examined. All operations must be remotely controlled by a wireless link, an optical fiber, or an Ethernet cable. The system is battery operated and can be driven around using a standard game pad. In the event the game pad is lost or damaged, all operations including driving and deployment can be performed by keys on a laptop. The image of the scanned object is displayed real-time on the laptop screen. This scanning system will be designed to communicate with the laptop over a standard Wi-Fi link. In situations where there is radio frequency interference, an optical fiber can be used to communicate between the laptop and the scanner. The optical fiber is provided on a spool and unwraps as the scanner drives away.

PHASE I: Conduct and deliver a feasibility study to determine the most suitable option and establish requirements for the development of a Total Vehicle X-ray Scanning device. This includes initial design drawings and a list of materials needed.

APPENDIX A - 10


PHASE II: Develop and delivera Total Vehicle X-Ray Scanner prototype. Images must be of sufficient diagnostic quality and resolution to clearly identify all components of an IED to include power sources, detonators, circuit boards, and wires. PHASE III: COMMERCIAL OR GOVERNMENT APPLICATIONS: The Total Vehicle Mobile X-Ray Scanner would be a commercially available tool for bomb technicians at all levels of government whether federal, state or local as well as the private sector. REFERENCES: There are numerous reports and products (e.g., Rapiscan, Leidos, and others) available on explosives detection but they are not specific to the topic of a mobile scanner as requested in this topic description. However, a number of references are given here to indicate the importance of the topic under consideration. United States Government Accountability Office Report to Congressional Requesters, “Aviation

Security, Federal Efforts to Secure U.S.-Bound Air Cargo Are in the Early Stages and Could Be Strengthened”; GAO-07-660; April 2007

Center for American Progress, “Keeping Bombs Off Planes: Securing Air Cargo, Aviation’s Soft

Underbelly”; P.J. Crowley and Bruce R. Butterworth; May 2007; www.americanprogress.org The following two reports are from Homeland Security Market Research: http://homelandsecurity research.com/report/ Tomographic Explosives Detection systems; EDS & BHS: Industry, Technologies and Global

Market – 2014 – 2020 X-Ray Security Screening: Technologies, Industry and Global Market 2014 – 2020 KEY WORDS: vehicle, total, x-ray, scan, mobile TECHNICAL POINT OF CONTACT: William Stout, 202-254-6021, [email protected] SBIR TOPIC NUMBER: H-SB015.1-007 TITLE: Canine Mounted Track and Transmit Device TECHNOLOGY AREAS: Law Enforcement Asset Tracking, Sensor Integration, Detection Canine Systems, Emergency Response

OBJECTIVE: Demonstrate canine carried low profile GPS with stabilized integrated camera, to real-time track, record and transmit canine’s path of movement.

APPENDIX A - 11

http://www.americanprogress.org/



DESCRIPTION: Develop a tracking device that will attach to a canine for the purpose of documenting the movements of the canine for court/evidence purposes or verification of area(s) that have or have not been searched by a canine during deployments (i.e., wooded areas, water deployment reference cadaver canines, search and rescue operations, large crowd deployments for PB-IED K9 operations to verify whether a canine has swept an area or not, etc.). Such a device should be able to relay information to both the handler of the canine via a wrist or forearm mounted remote monitor and a command coordination center which would allow supporting teams to track the location of the canine teams for both safety and situational awareness. The described tracking device would need to be able to deploy in all types of weather conditions (heat, cold, wet, dry, etc.) and be able to take direct impact strikes from objects to include but not limited to obstacles a canine might encounter during deployments and suspects during criminal apprehension. The mounting of such devices should be streamlined to the canine and avoid the possibility of being entangled around certain types of obstacles during actual deployments (i.e., tree branches, shrubs, fencing, furniture, etc.). The construction of such device needs to be of a low profile configuration that is a requirement for both the safety of the canine and handler who may have to be exposed while freeing the canine from becoming entangled. The proposed device should be affixed to a mounting device (collar, harness, etc.) that could be easily and quickly attached to the canine prior to being deployed (sometimes seconds can make a difference in the apprehension of a fleeing felon so the ease of utilizing this device is a must). The information/location from such tracking device would also need to be archived and producible for court purposes. The device should be able to record the location of evidence or other important factors observed during the deployment of canines (i.e., clothing, weapons, change in direction, origination points, end points, etc.). Law enforcement canines deploy for various reasons that consist of the apprehension of fleeing persons, lost or medically ill persons, the recovery of evidence, the detection of contraband, crowd control, search and rescue operations, recovery of persons fatally injured, etc. Having a device that would track and record information during such deployment would be instrumental in the accuracy/proficiency of such operation. Data output requires date, time and location stamping at 1 sample/second and be capable of up to 8 hours of person borne recording media and 4 hours for canine borne storage data. Video data requires up to 30 minutes of storage allowing for overwriting of data over 30 minutes. All video output must be capable of being transferred to permanent storage. Geospatial location of 20 feet for outdoors and 10 feet for indoors are required. All outputs must match commercial quality standards. Offerors are encouraged to consider all devices already on the COTS market for potential integration and applicability in meeting the requirements described above. PHASE I: Deliverable will be a design analysis that identifies the key component technologies used in the design, the integration approach, application to the mission areas identified, and design approach to achieve real-time stabilized streaming video to both handler and remote command center. The design analysis should also detail the technical feasibility of integration

APPENDIX A - 12


of additional sensory inputs including, but not limited to, canine physiological measurements, accelerometers, audio inputs and environmental conditions. PHASE II: Develop and deliver five complete functioning prototypes for Government test and evaluation, with at least one spare component replace module for each piece of the key technologies, i.e., tracking and recording devices. Prototypes to be sufficiently ruggedized to operate in typical conditions of canine law enforcement deployment with a streamlined deployment profile that does not increase safety risk to either the canine or handler. In addition, the Offeror shall produce a complete developmental test and evaluation report depicting the results of a prototype assessment in simulated (or actual) operational conditions. PHASE III: COMMERCIAL OR GOVERNMENT APPLICATIONS: Deployment of a fully functional canine tracking device has diverse application throughout the Homeland Security Enterprise (HSE). Major DHS components including the Transportation Security Administration, Customs and Border Protection, U.S. Secret Service, Federal Emergency Management Agency and the Federal Protective Service all maintain canine teams that are employed for diverse mission areas from narcotics and explosives detection, urban and rural search and rescue and traditional law enforcement patrol. There are over 16,000 non-Federal canine teams nationwide under the HSE umbrella that could have operational use of an effective tracking device. This device could be commercialized for use within the federal, state and local canine communities with a potential for use in the recreational canine community with some modification. REFERENCES: DHS S&T Explosive Detection Canine Program Webinar - https://share.dhs.gov/io_canine/

FEMA Urban Search and Rescue - www.fema.gov/urban-search-rescue

International Police Working Dog Association - www.ipwda.org

Penn Vet Working Dog Center – www.pennvetwdc.org

KEY WORDS: law enforcement, working dogs, canine tracking, sensor integration TECHNICAL POINT OF CONTACT: Don Roberts, 202-254-5850, [email protected] SBIR TOPIC NUMBER: H-SB015.1-008 TITLE: Mass/Shielding Anomaly Passive Detector Module TECHNOLOGY AREAS: Detection of R/N through technical means, Algorithms, Radiation detection techniques, Shielded threat detection techniques/technologies

APPENDIX A - 13

https://share.dhs.gov/io_canine/

http://www.fema.gov/urban-search-rescue

http://www.ipwda.org/

http://www.pennvetwdc.org/



OBJECTIVE : Develop an innovative system to detect highly shielded special nuclear material (SNM) contained within Personally Owned Vehicles (POVs) through measurements of total mass, mass distribution, density, or whether it is high-Z material. DESCRIPTION: Technology is sought to detect highly shielded special nuclear material within Personally Owned Vehicles (POV) at checkpoints, entry points, or inspections through the detection of anomalous dense masses. The proposed system should not use external sources of ionizing radiation. The technical approach will need the capability to sufficiently discriminate between potential threats and other dense masses to include, but not limited to, the engine block, fuel, and passengers contained within the POV. The sensitivity should be as such to detect anomalous dense masses in the nominal range of 50-500 kilograms. Approaches that utilize a single sensing approach or a fusion of multiple approaches are acceptable. In the proposal the following information should be provided: the technologies estimated performance in detection of mass anomalies in POVs with calculations and/or modeling, cost of implementation, and other implementation requirements such as estimated screening time. If the proposed technology provides the ability to further discriminate between various density classes such as high-z materials, then its estimated performance should also be provided. The intended use of this technology is a sensor component within a larger threat detection system that may also include radiation detection. However, the proposed system should not include radiation detectors unless radiation detectors are needed to demonstrate the goal of detection of mass anomalies. PHASE I: Evaluate innovative technologies/components/system(s) and/or improved capabilities fusion that detect heavily shielded SNM. Phase I will determine the scientific, technical, and commercial merit and feasibility of the proposed approach. Quantification of feasibility shall be demonstrated through either validated predictive modeling or through laboratory level measurements of sensor sensitivity. The preliminary design will be reviewed to determine feasibility/viability and readiness to proceed to Phase II. PHASE II: Evaluate the performance of potential system components leading to the best system design. The effort will then extend into building the subsystem and/or prototype so that its performance can be quantified. The approach should include system analysis that incorporates empirical laboratory measurements in a simulated operational setting to establish its effectiveness. During this Phase, the Offeror will engage with a number of potential end users to determine a range of performance requirements and translate those into evaluation criteria. PHASE III: The prototype developed in Phase II shall be further developed to meet end user requirements and to be integrated into a full shielded SNM detection system. The prototype shall then be evaluated in a controlled operational environment to assess operational viability. TECHNICAL POINT OF CONTACT: [email protected]

APPENDIX A - 14



SBIR TOPIC NUMBER: H-SB015.1-009 TITLE: Stable Semiconductor Modules as Core Component in Pager Radiation Detectors OBJECTIVE: To develop a semiconductor-based module for enhanced radiation detectors in pager applications. The selected semiconductor materials shall have neutron or gamma detection capability. Design and performance objectives shall satisfy or exceed the requirements set forth in the ANSI standards N42.32. DESCRIPTION: Advances in radiation detection materials will greatly impact our present nuclear detection framework. Recent developments in semiconductor radiation detectors have provided a number of candidate materials for gamma and/or thermal neutron detection which can potentially provide low cost, high performance alternatives to the current COTS materials such as CsI and CZT for gammas and He-3 tube technology or LiI for neutrons. This topic area is soliciting efforts to further advance the state-of-the-art for materials that will be integrated into full detector devices or systems, such as personal radiation detectors (PRD's) in particular. The aspects of this topic will focus on materials and supporting technology development. The proposed approach shall also include efforts on integration of the module into a pager-based detector system. Each module should demonstrate long-term (>2 year), stable operation when controlled to operate at temperatures at or near room-temperature, but need to be able to be used in the ambient temperature ranges per the ANSI standards noted above. Proposals submitted against this topic must address one of the following approaches listed below: For each approach, the proposal can include one or more candidate materials.

• Neutron-based Modules o Material candidates for neutron-based modules for pagers can include, but are

not limited to: boron-filled 3-D semiconductor structures, LiInSe2, or other neutron-sensitive, semiconductor-based compounds. Neutron intrinsic efficiencies should be greater than 50%.

• Gamma-based modules o Material candidates for gamma-based modules for pagers can include, but are

not limited to: TlBr, Tl6SeI4 and other high-Z based semiconductor compounds.

The proposed approach for each sub-topic shall include discussion on electronics for readout and signal processing and shall address improvements over the current state-of-the-art. Materials developed as part of this SBIR, when coupled with advanced processing electronics and appropriate algorithms, will improve the detection of radiological and nuclear threats, and preferentially be capable of isotope identification. PHASE I: The Offeror will identify one material as described in the aforementioned sub-topics. The Offeror must demonstrate feasibility of the selected material towards a viable detector. Furthermore, the Offeror must provide a preliminary design of the semiconductor module and

APPENDIX A - 15


integration plans into a pager-based system. Offeror shall identify and address all critical scientific and technical issues and risks.

PHASE II: The Offeror must demonstrate the integration of the module into a pager-detection system prototype. The Offeror must provide the final design and evaluation of the prototype system and further initiate the transition of the prototype system as a commercial product, with the identification of a transition partner. PHASE III: COMMERCIAL OR GOVERNMENT APPLICATIONS: Design and demonstration of a production line of semiconductor modules for integration into pager-detector systems. REFERENCES:

• Kuan Hang “Scalable large-area solid-state neutron detector with continuous p–n; Junction and extremely low leakage current” NIMA 2014

• L.F. Voss et al., “Smooth Bosch etch for improved Si diodes, “ IEEE Electron Device Letters, October 2013

• Onodera et al., “Pixellated Thallium Bromide X-and Gamma-ray Detectors,” Nuclear Science Symposium Conference Record, 2003 IEEE (pp. 3428-3430 – volume 5)

• H. Kim, L, Cirignano, A. Kargar, A. Churilov, G. Ciampi, Y. Ogorodnik, W. Higgins, S. Kim, F. Olschner, and K. Shah, “Long term stability of thallium bromide gamma-ray spectrometers”, IEEE Transactions on Nuclear Science, Vol. 60, No. 2, pp. 1219-1224, (2013).

KEY WORDS: Thermal neutron detection, semiconductor compounds, gamma spectroscopy POINT-OF-CONTACT: [email protected]

APPENDIX A - 16


U.S. Department of Energy

Small Business Innovation Research (SBIR) and

Small Business Technology Transfer (STTR) Programs

Participating DOE Research Programs • Office of Defense Nuclear

Nonproliferation • Office of Fossil Energy

• Office of Electricity Delivery and Energy Reliability

• Office of Fusion Energy Sciences

• Office of Energy Efficiency and Renewable Energy

• Office of High Energy Physics

• Office of Nuclear Energy

Topics

FY 2015 Phase I

Release 2

Version 5, December 15, 2014

2

Schedule Event Dates Topics Released: Monday, October 27, 2014 Funding Opportunity Announcement Issued: Monday, November 24, 2014 Letter of Intent Due Date: Monday, December 15, 2014 Application Due Date: Tuesday, February 03, 2015 Award Notification Date: Late April 2015* Start of Grant Budget Period: Early June 2015*

* Dates Subject to Change

Table of Changes

Version Date Change Ver. 1 October 27, 2014 Original Ver. 2 October 29, 2014 Point of Contact added for Topic 1, subtopic e. Ver. 3 November 3, 2014 Correction made in Topic 10b: 480 kVac output to

480 Vac output. Ver. 4 November 7, 2014 References 3-6 added to topic 11d Ver. 5 December 15, 2014 Revision to Topic 11d: Performance targets include

a conversion efficiency between 20% to 30%

3

TECHNOLOGY TRANSFER OPPORTUNITIES .......................................................... 9

PROGRAM AREA OVERVIEW: OFFICE OF DEFENSE NUCLEAR NONPROLIFERATION ..... 11

1. NUCLEAR WEAPONS DEVELOPMENT AND MATERIAL PRODUCTION DETECTION ................... 11

a. Development and Validation of a Polarized 3D Atmospheric Radiation Model .......................... 12 b. Remote Detection of Extremely Small Vibration .......................................................................... 12 c. Temperature-Emissivity-Separation (TES) with Combined Fluid Flow – Hyperspectral Radiation

Simulations .................................................................................................................................... 13 d. Automated Feature Extraction from Seismo-Acoustic Data ........................................................ 14 e. Other ............................................................................................................................................. 14

2.ALTERNATIVE RADIOLOGICAL SOURCE TECHNOLOGIES ................................................................. 16

a. Alternative Formation Density Well Logging Tool ........................................................................ 17 b. Replacement for Gamma-based Research Irradiators ................................................................. 17 c. Replacements for the 241Am/Be Neutron Sources for Well-logging ............................................ 17 d. Tags and Seals for Existing Radiological Sources .......................................................................... 17 e. Other ............................................................................................................................................. 18

3.INTERNATIONAL SAFEGUARDS ..................................................................................................... 19

a. Develop, Testing, Assessing and Demonstrating Tamper Indicating Devices and Seals for Improving the Completeness of Chain of Custody and Continuity of Knowledge for Monitoring Containers ..................................................................................................................................... 19

b. Compact Single Mode, Frequency Stabilized Laser Spectroscopy Sources .................................. 19 c. Other ............................................................................................................................................. 20

4.RADIATION DETECTION ................................................................................................................ 21

a. Handheld Detectors Using New Scintillator Materials ................................................................. 21 b. Photomultiplier Tube Replacement Technology .......................................................................... 21 c. Other ............................................................................................................................................. 22

5.NEUTRON AND GAMMA SOURCES FOR INTERROGATION ............................................................. 22

a. High Flux D-D Neutron Source ...................................................................................................... 23 b. API D-T Neutron Source ................................................................................................................ 23 c. Instrumentation for Rapid Nuclear Material Assay with a Pulsed Associated Particle Neutron

Generator ...................................................................................................................................... 23 d. Betatron or Equivalent Gamma Source ........................................................................................ 24 e. Other ............................................................................................................................................. 24

6.TECHNICAL NUCLEAR FORENSICS – POWDER SUB-SAMPLING ....................................................... 26

a. Representative Subsampling Technical Methods ......................................................................... 26 b. Other ............................................................................................................................................. 27

7.HIGH PERFORMANCE FIBER OPTIC LINK FOR REMOTE INSTRUMENTATION ................................... 28

a. Fiber-optic Link for Remote Instrumentation ............................................................................... 28

4

b. Other ............................................................................................................................................. 29

8.HIGH-TRANSMISSION, NARROW-BAND TUNABLE FILTERS OPERATING IN THE ULTRAVIOLET FOR APPLICATIONS IN MULTI- AND HYPER-SPECTRAL IMAGING ............................................................. 29

a. Acousto-optic, Fabry-perot, or Liquid Crystal UV Tunable Filter .................................................. 30 b. Other ............................................................................................................................................. 30

9.TECHNOLOGY TO FACILIATE MONITORING FOR NUCLEAR EXPLOSIONS ......................................... 31

a. Infrasound Sensor Improvement and Commercialization ............................................................ 32 b. Other ............................................................................................................................................. 33

PROGRAM AREA OVERVIEW: OFFICE OF ELECTRICITY DELIVERY AND ENERGY RELIABILITY ................................................................................................................. 34

10.INNOVATIVE SIC AND GAN-BASED TOPOLOGIES FOR GRID-TIED ENERGY STORAGE APPLICATIONS .......... 34

a. High Voltage and High Density SiC-based Topologies for Grid-tied Energy Storage Applications ........... 35 b. High Voltage and High Density GaN-based Topologies for Grid-tied Energy Storage Applications ......... 35

PROGRAM AREA OVERVIEW: OFFICE OF ENERGY EFFICIENCY AND RENEWABLE ENERGY ...................................................................................................................... 38

11.ADVANCED MANUFACTURING ................................................................................................... 38

a. Wide Bandgap Semiconductors for Energy Efficiency and Renewable Energy ............................ 39 b. Natural Gas Feedstock and Fuel Substitution for Energy Efficient Manufacturing ...................... 41 c. Carbon Fiber Production Processes .............................................................................................. 41 d. Novel Low Cost Recovery from Low Temperature Industrial Waste Heat ................................... 42

12.BIOENERGY ................................................................................................................................ 45

a. Design and Fabrication of Solids Handling for Biomass Conversion Systems .............................. 46 b. Low-Cost Coatings for Advanced Thermal Processes in Metal Combustors ................................ 46 c. Solid-Liquid Separations for Algal Systems ................................................................................... 47

13.BUILDINGS ................................................................................................................................. 48

a. Energy Efficient Solid-State Lighting Luminaires, Products, and Systems .................................... 48 b. Integrated Storage and Distributed Generation for Buildings ..................................................... 50

14.FUEL CELLS ................................................................................................................................. 52

a. Fuel Cell-Battery Electric Hybrid for Utility or Municipal MD or HD Bucket Trucks ..................... 53 b. TECHNOLOGY TRANSFER OPPORTUNITY: In-line Quality Control Devices Applicable to PEM Fuel

Cell MEA Materials ........................................................................................................................ 54

15.GEOTHERMAL ............................................................................................................................ 56

a. Innovative Products or Technologies that Develop New Markets/Revenue Streams for Geothermal Energy ....................................................................................................................... 57

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b. TECHNOLOGY TRANSFER OPPORTUNITY: Enabling Geothermal Co-produced Applications by Employing Electromagnetic Manipulation of Magnetizable Oil ................................................... 58

16.SOLAR ........................................................................................................................................ 59

a. Analytical and Numerical Modeling and Data Aggregation.......................................................... 60 b. Concentrating Solar Power: Novel Solar Collectors ...................................................................... 60 c. Concentrating Solar Thermal Desalination ................................................................................... 61 d. Grid Performance and Reliability .................................................................................................. 62 e. Labor Efficiencies through Hardware Innovations ....................................................................... 63

17.VEHICLES .................................................................................................................................... 63

a. Electric Drive Vehicle Batteries ..................................................................................................... 64 b. SiC Schottky Diodes for Electric Drive Vehicle Power Electronics ................................................ 64 c. Onboard Fuel Separator or Reformer ........................................................................................... 65 d. Alternative Crank Mechanisms for Internal Combustion Engines Leading to Improved Energy

Efficiency ....................................................................................................................................... 65 e. Advanced Ignition System for Internal Combustion Engines Enabling Lean-Burn and Dilute

Gasoline Ignition ........................................................................................................................... 66

18.WATER ....................................................................................................................................... 67

a. Innovative Small, Low-head Hydropower Turbines ...................................................................... 67 b. Prognostic & Health Monitoring of MHK devices ......................................................................... 67

19.WIND ......................................................................................................................................... 68

a. Active Load Alleviation Strategies for Wind Turbine Blades ........................................................ 68

PROGRAM OFFICE OVERVIEW – OFFICE OF FOSSIL ENERGY ........................................ 70

20.CLEAN COAL AND CARBON MANAGEMENT ................................................................................ 70

a. Advanced Materials Manufacturing (Crosscutting Research) ...................................................... 71 b. Integrated Sensors for Water (Crosscutting Research) ................................................................ 72 c. Unique Reactor Geometry for Ideal Gas-Particle Contacting (*AES-Gasification) ....................... 72 d. Bearings and Seals for Supercritical CO2 Power Cycles (*AES-Turbines)...................................... 73 e. Solid Separation Technology Enabling Sorbent Reuse in Fossil Energy Combustion Applications

(*AES Advanced Combustion) ...................................................................................................... 74 f. Protective Coatings for Solid Oxide Fuel Cell (SOFC) Balance-of-Plant Components (*AES-Fuel

Cells) .............................................................................................................................................. 74 g. Process Intensification for Carbon Capture Systems .................................................................... 75 h. Materials Engineering for Carbon Capture ................................................................................... 75 i. Advanced Geologic Storage Technologies .................................................................................... 76 j. Advanced Monitoring Technologies for Carbon Storage ............................................................. 76 k. Other ............................................................................................................................................. 77

21.OIL AND NATURAL GAS TECHNOLOGIES ...................................................................................... 80

a. Improving Hydrocarbon Recovery from Shale Reservoirs ............................................................ 81

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b. Improving Methods for Remote Monitoring of Topographic Changes Resulting from Shale Play Development................................................................................................................................. 82

c. Other ............................................................................................................................................. 82

PROGRAM AREA OVERVIEW – OFFICE OF FUSION ENERGY SCIENCES ......................... 84

22.ADVANCED TECHNOLOGIES AND MATERIALS FOR FUSION ENERGY SYSTEMS ............................. 85

a. Plasma Facing Components .......................................................................................................... 85 b. Blanket Materials and Systems ..................................................................................................... 86 c. Superconducting Magnets and Materials ..................................................................................... 88 d. Structural Materials and Coatings ................................................................................................ 89 e. Other ............................................................................................................................................. 90

23.FUSION SCIENCE AND TECHNOLOGY ........................................................................................... 91

a. Diagnostics .................................................................................................................................... 91 b. Components for Heating and Fueling of Fusion Plasmas ............................................................. 92 c. Simulation and Data Analysis Tools for Magnetically Confined Plasmas ..................................... 92 d. Components and Modeling Support for Validation Platforms for Fusion Science ....................... 93 e. Other ............................................................................................................................................. 94

24.HIGH ENERGY DENSITY PLASMAS AND INERTIAL FUSION ENERGY ............................................... 96

a. Driver Technologies ...................................................................................................................... 96 b. Ultrafast Diagnostics ..................................................................................................................... 96 c. Other ............................................................................................................................................. 97

25.LOW TEMPERATURE PLASMAS ................................................................................................... 97

a. Low-Temperature Plasma Science and Technology for Biology and Biomedicine ....................... 97 b. Low-Temperature Plasma Science and Engineering for Plasma Nanotechnology ....................... 98 c. Other ............................................................................................................................................. 98

PROGRAM AREA OVERVIEW: OFFICE OF HIGH ENERGY PHYSICS ................................ 99

26.ADVANCED CONCEPTS AND TECHNOLOGY FOR PARTICLE ACCELERATORS ................................ 100

a. Advanced Accelerator Concepts and Modeling.......................................................................... 100 b. Computational Tools and Simulation of Accelerator Systems ................................................... 103 c. Particle Beam Sources (Electron and Ion)................................................................................... 103 d. Novel Device and Instrumentation Development ...................................................................... 104 e. Other ........................................................................................................................................... 104

27.RADIO FREQUENCY ACCELERATOR TECHNOLOGY ..................................................................... 107

a. Radio Frequency Power Sources and Components .................................................................... 108 b. Pulsed Power Systems ................................................................................................................ 110 c. Other ........................................................................................................................................... 110

28.LASER TECHNOLOGY R&D FOR ACCELERATORS ......................................................................... 111

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a. Ultrafast Infrared Laser Systems at High Peak and Average Power ........................................... 112 b. Optical Coatings for Ultrafast Optics .......................................................................................... 113 c. Robust Nonlinear Optical Materials ........................................................................................... 113 d. Drive Lasers and for Photocathode Electron Sources ................................................................ 114 e. Other ........................................................................................................................................... 114

29.SUPERCONDUCTOR TECHNOLOGIES FOR PARTICLE ACCELERATORS .......................................... 114

a. High-Field Superconducting Wire Technologies for Magnets .................................................... 115 b. Superconducting Magnet Technology ........................................................................................ 115 c. Superconducting RF Materials & Cavities ................................................................................... 116 d. Cryogenic and Refrigeration Technology Systems ..................................................................... 117 e. Ancillary Technologies for Superconductors .............................................................................. 117 f. Other ........................................................................................................................................... 118

30.HIGH-SPEED ELECTRONIC INSTRUMENTATION FOR DATA ACQUISITION AND PROCESSING ....... 120

a. Special Purpose Chips and Devices for Large Particle Detectors................................................ 120 b. Circuits and Systems for Processing Data from Particle Detectors ............................................ 121 c. Systems for Data Analysis and Transmission .............................................................................. 121 d. Enhancements to Standard Interconnection Systems ............................................................... 121 e. Special CMOS Sensors ................................................................................................................. 121 f. Large-area Silicon-based Sensors for Precise Tracking and Calorimetry .................................... 122 g. Advanced 3D Interconnect Technologies ................................................................................... 122 h. Radiation-hard High Bandwidth Cables ...................................................................................... 123 i. Power Delivery Systems .............................................................................................................. 123 j. Other ........................................................................................................................................... 123

31.HIGH ENERGY PHYSICS DETECTORS AND INSTRUMENTATION ................................................... 124

a. Particle Detection and Identification Devices............................................................................. 125 b. Photon Detectors ........................................................................................................................ 125 c. Ultra-low Background Detectors and Materials ......................................................................... 125 d. Isotopically Separated Noble Gases............................................................................................ 126 e. Radiation Hard Devices ............................................................................................................... 126 f. Cryogenic .................................................................................................................................... 126 g. Mechanical and Materials ........................................................................................................... 126 h. Other ........................................................................................................................................... 127

PROGRAM AREA OVERVIEW – OFFICE OF NUCLEAR ENERGY .................................... 129

32.ADVANCED TECHNOLOGIES FOR NUCLEAR ENERGY .................................................................. 129

a. Advanced Sensors and Instrumentation (Crosscutting Research) ............................................. 129 b. Advanced Technologies for the Fabrication, Characterization of Nuclear Reactor Fuel ........... 130 c. Materials Protection Accounting and Control for Domestic Fuel Cycles ................................... 131 d. Modeling and Simulation ............................................................................................................ 131 e. Non-Destructive Examination (NDE) of Materials Used in Nuclear Power Plants ..................... 132 f. Advanced Methods for Manufacturing ...................................................................................... 132

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g. Material Recovery and Waste Forms for Advanced Domestic Fuel Cycles ................................ 133 h. Control System Modernization for Research Reactors .............................................................. 134 i. Fuel Resources ............................................................................................................................ 135 j. Cybersecurity Technologies for Protection of Nuclear Safety, Security, or Emergency

Response Components and Systems .......................................................................................... 135 k. Other ........................................................................................................................................... 135

33.ADVANCED TECHNOLOGIES FOR NUCLEAR WASTE .................................................................... 136

a. New Technology for Devices for Evaluating Internal Conditions of Nuclear Waste Storage Casks Nondestructively ......................................................................................................................... 137

b. Advanced Data Analyses Methodology for Nuclear Waste Containers/Casks Currently in Use 137 c. Chlorine Induced Stress Corrosion Cracking ............................................................................... 137 d. Used Fuel Disposition, Generic Repository Research and Development: Deep Boreholes ...... 138 e. Other ........................................................................................................................................... 139

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TECHNOLOGY TRANSFER OPPORTUNITIES Selected topic and subtopics contained in this document are designated as Technology Transfer Opportunities (TTOs). The questions and answers below will assist you in understanding how TTO topics and subtopics differ from our regular topics. What is a Technology Transfer Opportunity? A Technology Transfer Opportunity (TTO) is an opportunity to leverage technology that has been developed at a university or DOE National Laboratory. Each TTO will be described in a particular subtopic and additional information may be obtained by using the link in the subtopic to the university or National Lab that has developed the technology. Typically the technology was developed with DOE funding of either basic or applied research and is available for transfer to the private sector. The level of technology maturity will vary and applicants are encouraged to contact the appropriate university or Laboratory prior to submitting an application. How would I draft an appropriate project description for a TTO? For Phase I, you would write a project plan that describes the research or development that you would perform to establish the feasibility of the TTO for a commercial application. The major difference from a regular subtopic is that you will be able to leverage the prior R&D carried out by the university or National Lab and your project plan should reflect this. Am I required to show I have a subaward with the university or National Lab that developed the TTO in my grant application? No. Your project plan should reflect the most fruitful path forward for developing the technology. In some cases, leveraging expertise or facilities of a university or National Lab via a subaward may help to accelerate the research or development effort. In those cases, the small business may wish to negotiate with the university or National Lab to become a subawardee on the application. Is the university or National Lab required to become a subawardee if requested by the applicant? No. Collaborations with universities or National Labs must be negotiated between the applicant small business and the research organization. The ability of a university or National Lab to act as a subcontractor may be affected by existing or anticipated commitments of the research staff and its facilities. Are there patents associated with the TTO? The TTO will be associated with one or in some cases multiple patent applications or issued patents. If selected for award, what rights will I receive to the technology? Those selected for award under a TTO subtopic, will be assigned rights to perform research and development of the technology during their Phase I or Phase II grants. Please note that these are NOT commercial rights which allow you to license, manufacture, or sell, but only rights to perform research and development.

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In addition, an awardee will be provided, at the start of its Phase I grant, with a no-cost, six month option to license the technology. It will be the responsibility of the small business to demonstrate adequate progress towards commercialization and negotiate an extension to the option or convert the option to a license. A copy of an option agreement template will be available at the university or National Lab which owns the TTO. How many awards will be made to a TTO subtopic? Initially we anticipate making a maximum of one award per TTO subtopic. This will insure that an awardee is able to sign an option agreement that includes exclusive rights in its intended field of use. If we receive applications to a TTO that address different fields of use, it is possible that more than one award will be made per TTO. How will applying for an SBIR or STTR grant associated with a TTO benefit me? By leveraging prior research and patents from a National Lab you will have a significant “head start” on bringing a new technology to market. To make greatest use of this advantage it will help for you to have prior knowledge of the application or market for the TTO. Is the review and selection process for TTO topics different from other topics? No. Your application will undergo the same review and selection process as other applications.

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PROGRAM AREA OVERVIEW: OFFICE OF DEFENSE NUCLEAR NONPROLIFERATION The Defense Nuclear Nonproliferation (DNN) mission is to provide policy and technical leadership to limit or prevent the spread of materials, technology, and expertise relating to weapons of mass destruction; advance the technologies to detect the proliferation of weapons of mass destruction worldwide; and eliminate or secure inventories of surplus materials and infrastructure usable for nuclear weapons. It is the organization within the Department of Energy’s National Nuclear Security Administration (NNSA) responsible for preventing the spread of materials, technology, and expertise relating to weapons of mass destruction (WMD). Within DNN, the Research and Development (R&D) program office sponsors long-term development of new and novel technology reduces the threat to national security posed by nuclear weapons proliferation and detonation or the illicit trafficking of nuclear materials. Using the unique facilities and scientific skills of NNSA and DOE national laboratories and plants, in partnership with industry and academia, the program conducts research and development that supports nonproliferation mission requirements necessary to close technology gaps identified through close interaction with NNSA and other U.S government agencies and programs. This program meets unique challenges and plays an important role in the federal government by driving basic science discoveries and developing new technologies applicable to nonproliferation, homeland security, and national security needs. DNN R&D has two sub-Offices: Proliferation Detection and Nuclear Detonation Detection. The Proliferation Detection Office (PD) advances basic and applied technologies for the nonproliferation community. PD develops the tools, technologies, techniques, and expertise for the identification, location, and analysis of the facilities, materials, and processes of undeclared and proliferant nuclear weapons programs and to prevent the diversion of special nuclear materials, including use by terrorists. The Nuclear Detonation Detection Office (NDD) builds the nation’s operational sensors that monitor the entire planet from space to detect and report surface, atmospheric, or space nuclear detonations; and produces and updates the regional geophysical datasets enabling operation of the nation’s ground-based seismic monitoring networks to detect and report underground detonations. NDD conducts research and development on nuclear detonation forensics, improvements in satellite operational systems to meet future requirements and size and weight constraints, and in radionuclide sampling techniques for detection of worldwide nuclear detonations.

1. NUCLEAR WEAPONS DEVELOPMENT AND MATERIAL PRODUCTION DETECTION

Maximum Phase I Award Amount: $150,000 Maximum Phase II Award Amount: $1,000,000 Accepting SBIR Phase I Applications: YES Accepting SBIR Fast-Track Applications: YES Accepting STTR Phase I Applications: YES Accepting STTR Fast-Track Applications: YES

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The Office of Defense Nuclear Nonproliferation Research and Development (NA-22) has a research objective to: Develop remote sensing technology to support detection and characterization of signatures or activities related nuclear proliferation. Research projects encompass a wide variety of potential capabilities to detect signatures associated with the development of nuclear weapons including sensor development, image processing, and digital signal processing techniques for characterization of observed phenomena. DNN R&D holds an annual University Information Technical Interchange (UITI) program review meeting where University and SBIR/STTR projects are presented to the program managers. All awardees are required to attend and present their progress at this meeting each year. Grant applications are sought only in the following subtopics:

a. Development and Validation of a Polarized 3D Atmospheric Radiation Model

Increasing signature contrast in both the solar and thermal spectral regions, obtained from the Stokes vector data, provides advanced avenues for improving material identification. Analysis of these data requires polarization signature models that incorporate the effects of absorption, emission and scattering in the 3D atmospheric and terrain environment. Although high fidelity, scalar, 1D atmospheric radiative transfer models are readily available [Berk et al. 2006], few 1D polarization models [MODTRAN-P, vector-6S] have been developed. These 1D polarized models have significant limitations in spectral coverage, computational speed, optical polarization databases, and/or physics fidelity. There are currently no available models that treat all the polarized spectral signatures of key 3D scene elements such as clouds, plumes, topographic backgrounds, and man-made objects in a self-consistent, unified approach. Research is sought to develop a validated 3D polarized atmospheric radiation transport model. The Phase I effort should focus (1) on assessing current 1D capabilities and available polarization databases, (2) on formulating approaches for upgrades to the 1D models for a fully polarized implementation in Phase II, (3) on designing a 3D polarization model, and (4) on planning validation field measurements in collaboration with a DOE lab. A validated 3D polarized radiance model that incorporates the effects of water clouds, plumes, natural terrain and turbid water backgrounds, and both man-made and natural materials will be developed in Phase II. The new model will be tested against the existing 1D models and validated against DOE field measurements. Questions – contact: Victoria Franques, [email protected]

b. Remote Detection of Extremely Small Vibration In order to further the goal of nuclear nonproliferation, it is important to be able to detect remotely signs of clandestine nuclear activities, such as, but not limited to, operation of dynamic machinery in hidden, subterranean facilities. In principle, such an operation can be identified by detection of small


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vibrations at characteristic frequencies. However, these signals are expected to be extremely small if the machinery is hidden deep under a mountain, for example. Conventional vibration detectors have typical sensitivities of 1 micro-g per root Hertz (where g is the acceleration due to Earth’s gravity), and would not be able to detect these signals from a significant distance. Recent developments have shown that new types of detectors, such as those based on the use of the fast-light effect induced by anomalous dispersion, can enhance the sensitivity to vibration by nearly six orders of magnitude. Devices based on these technologies may be configured for ultrasensitive sensing of many effects, including rotation and vibration. Therefore, grant applications are sought for the development of technology for remote detection of extremely small vibration signatures, with a sensitivity of at least 1 pico-g per root Hertz, representing a six orders of magnitude enhancement over the typical capability of current technologies. A proposed vibrometer must be able to detect vibrations in three orthogonal directions, should also be extremely compact, have a high dynamic range, be very robust against environmental disturbances, and consume very low power. Questions – contact: Victoria Franques, [email protected]

c. Temperature-Emissivity-Separation (TES) with Combined Fluid Flow – Hyperspectral Radiation Simulations Temperature-emissivity-separation (TES)1, 2, 3 for a target object relies on accurate data for computation of thermal radiation fluxes being emitted by the sky and by adjacent objects. In cluttered scenes, TES is made more difficult by the contributions of adjacent objects to the thermal radiation received by a target object, which reduces the target object’s characteristic spectral features. Simulations of the target object using hydrodynamic - hyperspectral simulators are an alternative to traditional TES. The combined hydrodynamic - hyperspectral simulations require best available scene geometry, meteorology and target characteristics. Target temperature and material could be determined by running a series of simulations with different target spectra until best matches between measured and simulated apparent target temperature and spectra are found. Proposals are solicited to assess the ability of combined hydrodynamic – hyperspectral simulators (HHS) to reproduce target object temperatures and spectra in geometrically complex environments. Part of the project would be blind tests of the ability of the HHS to identify target materials, using hyperspectral images of target objects and other data collected by Department of Energy remote sensing program. One or more DOE national laboratories would supply the successful applicant with the necessary experimental data for model validation. The collaborating DOE laboratory would evaluate the successful applicant’s comparisons of simulation to measurement, material identification and the improvement afforded by the HHS relative to codes4 that do not include realistic fluid flow to drive convective heat transfer in the simulations. Questions – contact: Victoria Franques, [email protected]



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d. Automated Feature Extraction from Seismo-Acoustic Data Persistent long-term monitoring of process facilities using seismo-acoustic systems are characterized by collecting large quantities of data, particularly for sensor system consisting of multiple arrays with sampling rates of multiple 1000s of samples per second. These data must then be manually analyzed to identify and extract features that could be indicative of different processes. Research is sought to develop a capability to automatically extract features of interest (e.g., periodic impulsive and tonal events, transient tonal events, etc.) from these data, which can then be further analyzed by human analysts. In Phase I, the performer will demonstrate the ability to correlate signature features with processes of interest using collected data sets. In Phase II, the performer will develop the automated feature extraction capability and demonstrate that capability using collected data sets. The final system will improve the ability for analysts to correlate signature features with processes of interest. Questions – contact: Steve Frederiksen, [email protected]

e. Other

In addition to the specific subtopics listed above, the Department invites grant applications in other areas relevant to this Topic. Questions – contact: Victoria Franques, [email protected] References: Subtopic a 1. A. Berk, et al. (2006). MODTRAN5: 2006 Update. SPIE, Volume 6233. p. 62331F. Available at

http://spie.org/Publications/Proceedings/Paper/10.1117/12.665077 2. J. Craven-Jones, et al. (2011). Infrared Hyperspectral Imaging Polarimeter Using Birefringent Prisms.

Applied Optics. Volume 50. Issue 8. pp. 1170-1185. http://fp.optics.arizona.edu/detlab/Articles-Publications/2011-Craven-Infrared-hyperspectral-imaging-polarimeter-using-birefringent-prisms.pdf

3. S.Y. Kotchenova, et al. (2006). Validation of a Vector Version of the 6S Radiative Transfer Code for

Atmospheric Correction of Satellite Data, Part I: Path Radiance. Applied Optics. Volume 45. pp 6762–6774. http://6s.ltdri.org/6S_code2_thiner_stuff/Kotchenova_et_al_2006.pdf

4. S.Y. Kotchenova, et al. (2007). Validation of a Vector Version of the 6S Radiative Transfer Code for Atmospheric Correction of Satellite Data, Part II: Homogeneous Lambertian and Anisotropic Surfaces. Applied Optics. Volume 44. pp 4455–4464. Available at http://www.opticsinfobase.org/ao/abstract.cfm?uri=ao-46-20-4455

5. N.J. Pust & J.A. Shaw. (2011). Comparison of Skylight Polarization Measurements and MODTRAN-P Calculations. Journal of Applied Remote Sensing. Volume 5. Issue 053529. pp. 1-16. Available at http://remotesensing.spiedigitallibrary.org/article.aspx?articleid=1182393



http://spie.org/Publications/Proceedings/Paper/10.1117/12.665077

http://fp.optics.arizona.edu/detlab/Articles-Publications/2011-Craven-Infrared-hyperspectral-imaging-polarimeter-using-birefringent-prisms.pdf



http://6s.ltdri.org/6S_code2_thiner_stuff/Kotchenova_et_al_2006.pdf

http://www.opticsinfobase.org/ao/abstract.cfm?uri=ao-46-20-4455

http://remotesensing.spiedigitallibrary.org/article.aspx?articleid=1182393

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6. R. Sundberg, S. Richtsmeier & R. Haren. (2010). Monte Carlo-Based Hyperspectral Scene Simulation. Second Annual WHISPERS Conference. Reykjavik, Iceland. June 14-16. Available at http://ieeexplore.ieee.org/xpl/login.jsp?tp=&arnumber=5594835&url=http%3A%2F%2Fieeexplore.ieee.org%2Fxpls%2Fabs_all.jsp%3Farnumber%3D5594835

Subtopic b 1. H.N. Yum, et al. (2010). Superluminal Ring Laser for Hypersensitive Sensing. Optics Express. Volume

18. Issue 17. pp. 17658-17665. Available at http://www.opticsinfobase.org/oe/abstract.cfm?uri=oe-18-17-17658

2. D. D. Smith, et al. (2009). Enhanced Sensitivity of a Passive Optical Cavity by an Intracavity

Dispersive Medium. Physical Review. Volume A. Issue 80. Available at http://journals.aps.org/pra/abstract/10.1103/PhysRevA.80.011809

3. C. Chen, et al. (1999). Broadband Michelson Fiber-optic Accelerometer. Applied Optics. Volume 38. Issue 4. p. 628. Available at http://www.opticsinfobase.org/ao/abstract.cfm?uri=ao-38-4-628

4. M.S. Shahriar, et al. (2011). An Ultra-sensitive DC and AC Accelerometer Using Dual Superluminal Zero-Area L-shaped Ring Lasers. Conference on Lasers and Electro-Optics, Baltimore, MD. Available at http://www.opticsinfobase.org/abstract.cfm?URI=CLEO:%20A%20and%20T-2011-ATuE1

Subtopic c 1. C. Borel & R. F. Tuttle. (2011). Recent Advances in Temperature-emissivity Separation Algorithms.

IEEEAC paper. Volume 1743. Version 1 (978-1-4244-7351-9). Available at http://ieeexplore.ieee.org/xpl/login.jsp?tp=&arnumber=5747397&url=http%3A%2F%2Fieeexplore.ieee.org%2Fxpls%2Fabs_all.jsp%3Farnumber%3D5747397

2. C.C Borel. (2003). ARTEMISS – An Algorithm to Retrieve Temperature and Emissivity from Hyper-

spectral Thermal Image Data. 28th Annual GOMACTech Conference, Hyperspectral Imaging Session, March 31 to April 3, 2003. Tampa, Florida. Available at http://www.researchgate.net/publication/228967591_Artemiss-an_algorithm_to_retrieve_temperature_and_emissivity_from_hyper-spectral_thermal_image_data

3. A. Gillespie, et al. (1998). A Temperature and Emissivity Separation Algorithm for Advanced Spaceborne Thermal Emission and Reflection Radiometer (ASTER) Images. IEEE Transactions on Geoscience and Remote Sensing. Volume 36 Issue 4. Available at http://www.researchgate.net/publication/3201882_A_temperature_and_emissivity_separation_algorithm_for_AdvancedSpaceborne_Thermal_Emission_and_Reflection_Radiometer_(ASTER)images

4. MUSES (Multi-Service Electro-optic Signature). ThermoAnalytics Corp. http://www.thermoanalytics.com/products/muses/index.html

http://ieeexplore.ieee.org/xpl/login.jsp?tp=&arnumber=5594835&url=http%3A%2F%2Fieeexplore.ieee.org%2Fxpls%2Fabs_all.jsp%3Farnumber%3D5594835


http://www.opticsinfobase.org/oe/abstract.cfm?uri=oe-18-17-17658

http://journals.aps.org/pra/abstract/10.1103/PhysRevA.80.011809

http://www.opticsinfobase.org/ao/abstract.cfm?uri=ao-38-4-628

http://www.opticsinfobase.org/abstract.cfm?URI=CLEO:%20A%20and%20T-2011-ATuE1



http://www.researchgate.net/publication/228967591_Artemiss-an_algorithm_to_retrieve_temperature_and_emissivity_from_hyper-spectral_thermal_image_data



http://www.researchgate.net/publication/3201882_A_temperature_and_emissivity_separation_algorithm_for_AdvancedSpaceborne_Thermal_Emission_and_Reflection_Radiometer_(ASTER)images



http://www.thermoanalytics.com/products/muses/index.html

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Subtopic d 1. S.J. Arrowsmith. (2008). Multi-Array Detection, Association and Location of Infrasound and Seismo-

Acoustic Events in Utah. 30th Monitoring Research Review - Ground-Based Nuclear Explosion Monitoring Technologies. Volume II. pp 844 - 852. Available at: https://www.researchgate.net/publication/235191883_Multi-Array_Detection_Association_and_Location_of_Infrasound_and_Seismo-Acoustic_Events_in_Utah

2. S.R. Taylor, S. J. Arrowsmith & D. N. Anderson. (2010). Detection of Short Time Transients from Spectrograms Using Scan Statistics. Bulletin of the Seismological Society of America. Volume 100. Issue 5A. pp. 1940–1951. Available at: https://www.researchgate.net/publication/228077101_Detection_of_Short_Time_Transients_from_Spectrograms_Using_Scan_Statistics

3. S.J. Arrowsmith, et al. (2010). The Seismoacoustic Wavefield: A New Paradigm in Studying Geophysical Phenomena. Review of Geophysics. Available at https://www.researchgate.net/publication/215754374_The_seismoacoustic_wavefield_A_new_paradigm_in_studying_geophysical_phenomena.

2. ALTERNATIVE RADIOLOGICAL SOURCE TECHNOLOGIES


This objective focuses on the R&D needed to replace high activity radioactive sources that are deemed to pose a significant risk if malevolently used. Our current emphasis is on emerging and innovative technologies and techniques for the replacement of these sources with non-radioisotope based technologies. Radioactive sources serve a number of critical functions including the treatment and diagnosis of disease, the inspection and certification of critical mechanical structures, the sterilization of food and medical products, and the exploration for petroleum. Replacements or alternatives proposed must provide equivalent (or improved) functionality and be less susceptible to malevolent use. Each proposal must address: economic feasibility of the proposed alternative or replacement, ease of maintenance (both the equipment and the source) and relative accessibility in and around the device. DNN R&D holds an annual University Information Technical Interchange (UITI) program review meeting where University and SBIR projects are presented to the program managers. All awardees are required to attend and present their progress at this meeting each year. Grant applications are sought only in the following subtopics:

https://www.researchgate.net/publication/235191883_Multi-Array_Detection_Association_and_Location_of_Infrasound_and_Seismo-Acoustic_Events_in_Utah

https://www.researchgate.net/publication/235191883_Multi-Array_Detection_Association_and_Location_of_Infrasound_and_Seismo-Acoustic_Events_in_Utah

https://www.researchgate.net/publication/228077101_Detection_of_Short_Time_Transients_from_Spectrograms_Using_Scan_Statistics

https://www.researchgate.net/publication/228077101_Detection_of_Short_Time_Transients_from_Spectrograms_Using_Scan_Statistics

https://www.researchgate.net/publication/215754374_The_seismoacoustic_wavefield_A_new_paradigm_in_studying_geophysical_phenomena

https://www.researchgate.net/publication/215754374_The_seismoacoustic_wavefield_A_new_paradigm_in_studying_geophysical_phenomena

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a. Alternative Formation Density Well Logging Tool Radioactive sources are commonly used in the well logging industry. The most accurate measurement of downhole rock porosity utilizes a tool that contains as much as 2.5Ci of 137Cs. Replacement of these radioactive sources with an electronic alternative is sought. The replacement technologies must survive high temperatures (as high as 150 deg C), severe mechanical shocks and vibrations while in the well bore. In addition, small size and lightweight are absolutely necessary for ease of handling. In the proposals we will not consider an alternative physical form for the 137Cs source. Questions – contact: Arden Dougan, [email protected]

b. Replacement for Gamma-based Research Irradiators

Proposals are sought for electronic devices that can directly replace these large 137Cs and 60Co radiological sources. Research irradiators are highly specialized and a thorough understanding of the use requirements of the wide community will be needed to develop successful alternative technologies. Replacements should be precisely matched to the energy spectra and flux of current systems. Alternatively, a highly versatile and tunable source would be highly desirable. Questions – contact: Arden Dougan, [email protected]

c. Replacements for the 241Am/Be Neutron Sources for Well-logging Proposals are sought for technologies to replace the 241Am/Be sources used in traditional neutron well logging. Several neutron sources are commercially available, but none provide a direct replacement for 241Am/Be. The Deuterium-Tritium and Deuterium-Deuterium energies (14 and 2.5 MeV, respectively) do not match the 241Am energy spectrum (0-11 MeV with peaks at about 3 and 5 MeV. A tunable neutron source or one with an energy spectrum similar to 241Am/Be is desired. The replacement technologies must have a reasonable operating lifetime in the presence of high temperatures (nominally ~150 deg C), severe mechanical shocks and vibrations while in the well bore. In addition, small size and light weight are absolutely necessary for ease of handling. Questions – contact: Arden Dougan, [email protected]

d. Tags and Seals for Existing Radiological Sources

While the focus of this objective is to replace radiological sources in commercial use, an interim approach is to enhance the security of radiological materials in commercial use is to utilize established and emerging tagging technologies. Use of tagging technology could improve the security of highly portable sources used in nondestructive inspection and geophysical well logging applications. The requirement is to monitor the location of each source. Functional requirements would include long range (ideally by satellite or aerial survey), durability toward vibration and temperature, long lifetime, small size and low maintenance (battery-free would be best), and have the ability to sense radiation. It is also necessary to monitor whether the source is inside or outside shielding.




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Questions – contact: Arden Dougan, [email protected]

e. Other In addition to the specific subtopics listed above, the Department invites grant applications in other areas that fall within the scope of the topic description above. Questions – contact: Arden Dougan, [email protected] References: Subtopic a 1. National Research Council, Committee on Radiation Source Use and Replacement. (2008).

Radiation Source Use and Replacement: Abbreviated Version. Washington, DC: The National Academies Press. ISBN: 978-0-309-11014-3. http://www.nap.edu/openbook.php?record_id=11976

2. W.A. Gilchrist, Jr., Feyzi Inanc & Loren Roberts. (2011). Neutron Source Replacement - Promises and Pitfalls, Presented at SPWLA 52nd Annual Logging Symposium, May 14-18, 2011. Available at https://www.onepetro.org/conference-paper/SPWLA-2011-KKK

3. A. Badruzzaman, et al. (2009). Radioactive Sources in Petroleum Industry: Applications, Concerns and Alternatives. Presented at SPE Asia Pacific Health, Safety, Security, and Environment Conference and Exhibition, August 4-5, 2009. SPE 123593. ISBN: 978-1-55563-260-1. Available at https://www.onepetro.org/conference-paper/SPE-123593-MS

Subtopic b 1. National Research Council, Committee on Radiation Source Use and Replacement. (2008).

Radiation Source Use and Replacement: Abbreviated Version. Washington, DC: The National Academies Press. ISBN: 978-0-309-11014-3. Available at http://www.nap.edu/catalog.php?record_id=11976

Subtopic c 1. National Research Council, Committee on Radiation Source Use and Replacement. (2008).

Radiation Source Use and Replacement: Abbreviated Version. Washington, DC: The National Academies Press. ISBN: 978-0-309-11014-3. Available at http://www.nap.edu/catalog.php?record_id=11976

2. The DOE/NRC Interagency Working Group on Radiological Dispersal Devices. (2003). Radiological

Dispersal Devices: An Initial Study to Identify Radioactive Materials of Greatest Concern and Approaches to Their Tracking, Tagging, and Disposition. http://www.energy.gov/sites/prod/files/edg/media/RDDRPTF14MAYa.pdf



http://www.nap.edu/openbook.php?record_id=11976

https://www.onepetro.org/conference-paper/SPWLA-2011-KKK

https://www.onepetro.org/conference-paper/SPE-123593-MS

http://www.nap.edu/catalog.php?record_id=11976


http://www.energy.gov/sites/prod/files/edg/media/RDDRPTF14MAYa.pdf

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Subtopic d 1. National Research Council, Committee on Radiation Source Use and Replacement. (2008).

Radiation Source Use and Replacement: Abbreviated Version. Washington, DC: The National Academies Press. ISBN: 978-0-309-11014-3. Available for purchase at http://www.nap.edu/catalog.php?record_id=11976

3. INTERNATIONAL SAFEGUARDS


This program supports NNSA’s nuclear nonproliferation mission by developing innovative safeguards technologies to enhance verification of nuclear materials and activities. The Office of Defense Nuclear Nonproliferation Research and Development (NA-22) includes R&D in nuclear (and relevant nonnuclear) measurements, field instrumentation and containment & surveillance. The program develops technologies to detect diversion of nuclear material from declared facilities, to detect undeclared nuclear material and activities from declared facilities, and to verify compliance with arms control treaties and agreements related to the control of nuclear material, its production or processing. DNN R&D holds an annual University Information Technical Interchange (UITI) program review meeting where University and SBIR projects are presented to the program managers. All awardees are required to attend and present their progress at this meeting each year. Grant applications are sought only in the following subtopics:

a. Develop, Testing, Assessing and Demonstrating Tamper Indicating Devices and Seals for Improving the Completeness of Chain of Custody and Continuity of Knowledge for Monitoring Containers DNN R&D has a need for a handheld scanner for inspecting and authenticating welds on containers. The scanner should have spatial resolution of 20 microns, be able to scan a distance of one square foot in seconds at a distance of 1-6 inches from the surface. The scanner should have a battery life of 8 hours, operate at temperatures from -25 to 140 deg F and be radiation-hardened. Ideally, the user could directly compare images in the field. Questions – contact: Arden Dougan, [email protected]

b. Compact Single Mode, Frequency Stabilized Laser Spectroscopy Sources Frequency-stabilized, wavelength-tunable laser sources are needed to enable laser-based uranium isotope analysis. Highly-integrated, compact, frequency-stabilized laser sources having emission wavelengths (vacuum) at 639.7203 nm and 682.8838 nm are needed to replace conventional external



20

cavity laser designs. Important performance metrics include, narrow spectral linewidth, minimal sensitivity to optical feedback and long lifetime with reliable wavelength tuning and setpoint repeatability. Desired integration features include thermal control, collimation, miniaturized optical isolation components, single-mode fiber coupling, and small package size. Questions – contact: Arden Dougan, [email protected]

c. Other In addition to the specific subtopics listed above, the Department invites grant applications in other areas that fall within the scope of the topic description above. Questions – contact: Arden Dougan, [email protected] References: Subtopic a 1. G. Weeks, et al. The Importance of Establishing and Maintaining Continuity of Knowledge During

21st Century Nuclear Fuel Cycle Activities. Proceedings of the 53rd Annual Institute of Nuclear Materials Management Meeting. Orlando, FL 2012. Available at http://www.proceedings.com/18051.html

2. C.A. Pickett, et al. Results from the 2010 INMM International Containment and Surveillance

Workshop. http://www.iaea.org/safeguards/symposium/2010/Documents/PapersRepository/099.pdf

3. C. A. Pickett, et al. The Importance of Establishing and Maintaining Continuity of Knowledge during 21st Century Nuclear Fuel Cycle Activities. Proceedings of the 53rd Annual Institute of Nuclear Materials Management Meeting. Orlando, FL, 2012. Available at https://inis.iaea.org/search/searchsinglerecord.aspx?recordsFor=SingleRecord&RN=43118558

Subtopic b 1. B.A. Bushaw & N.C. Anheier, Jr. (2009). Isotope Ratio Analysis on Micron-Sized Particles in Complex

Matrices by Laser Ablation – Absorption Ratio Spectrometry. Spectrochimica Acta Part B: Atomic Spectroscopy. Volume 64. Issues 11-12. pp. 1259-1265. Available at http://www.sciencedirect.com/science/article/pii/S0584854709003231

2. N.C. Anheier, et al. (2012). Safeguards Verification Measurements using Laser Ablation, Absorbance

Ratio Spectrometry in Gaseous Centrifuge Enrichment Plants. Journal of Nuclear Materials Management. Volume 40. Issue 4. pp 69-78. Available at http://www.osti.gov/scitech/biblio/1072909

3. N.C. Anheier, et al. (2014). A Laser-based Method for Onsite Analysis of UF6 at Enrichment Plants. Symposium on International Safeguards: Linking Strategy, Implementation and People - IAEA CN-



http://www.proceedings.com/18051.html

http://www.iaea.org/safeguards/symposium/2010/Documents/PapersRepository/099.pdf

https://inis.iaea.org/search/searchsinglerecord.aspx?recordsFor=SingleRecord&RN=43118558

http://www.sciencedirect.com/science/article/pii/S0584854709003231

http://www.osti.gov/scitech/biblio/1072909

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220. Vienna, Austria. 2014. Available at http://www-pub.iaea.org/iaeameetings/46090/Symposium-on-International-Safeguards-Linking-Strategy-Implementation-and-People

4. RADIATION DETECTION


The Office of Defense Nuclear Nonproliferation Research and Development (NA-22) is focused on enabling the development of next generation technical capabilities for radiation detection of nuclear proliferation activities. As such, the office is interested in the development of radiation detection techniques and sensors and advanced detection materials that address the detection and isotope identification of unshielded and shielded special nuclear materials, and other radioactive materials in all environments. In responding to these challenging requirements, recent research and development has resulted in the emergence of radiation detection materials that have good energy resolution. From these materials, the developments of radiation detectors that are rugged, reliable, low power and capable of high-confidence radioisotope identification are sought. Currently, the program is focused on the development of improved capabilities for both scintillator and semiconductor-based radiation detectors. DNN R&D holds an annual University Information Technical Interchange (UITI) program review meeting where University and SBIR projects are presented to the program managers. All awardees are required to attend and present their progress at this meeting each year. Grant applications are sought only in the following subtopics:

a. Handheld Detectors Using New Scintillator Materials Spectroscopic handheld detectors incorporating a new scintillator, possibly coupled with a photomultiplier tube replacement technology. Low-cost, readily manufactured devices with performance equivalent, to or exceeding, Ce:LaBr3 are of greatest interest. Questions – contact: David Beach, [email protected]

b. Photomultiplier Tube Replacement Technology Alternatives requested to replace the existing PMT technology with new silicon photomultipliers (SiPM) used in a vast number of nuclear detectors. Important features needed are compatibility with high resolution detectors, signal shaping, voltage supply, temperature stabilization, high photodetection efficiency, dynamic range, and low thermal noise. Questions – contact: David Beach, [email protected]

http://www-pub.iaea.org/iaeameetings/46090/Symposium-on-International-Safeguards-Linking-Strategy-Implementation-and-People





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c. Other In addition to the specific subtopics listed above, the Department invites grant applications in other areas that fall within the scope of the topic description above. Questions – contact: David Beach, [email protected] References: Subtopic a 1. G.F. Knoll. Radiation Detection and Measurement. J. Wiley Publishers. New York. Available at

http://www.wiley.com/WileyCDA/WileyTitle/productCd-EHEP001606.html 2. L.A Boatner, et al. (2013). Bridgman Growth of Large SrI2:Eu2+ Single Crystals: A High-performance

Scintillator for Radiation Detection Applications. Journal Of Crystal Growth. Volume 379. pp 63-68. Available at http://www.sciencedirect.com/science/article/pii/S0022024813000821

3. Zewu Yan, et al. (2014). Eu2+-activated BaCl2, BaBr2 and BaI2 Scintillators Revisited. NUCLEAR Instruments & Methods in Physics Research Section A-Accelerators, Spectrometers, Detectors, and Associated Equipment. Volume 735. pp 83-87. Available at http://www.sciencedirect.com/science/article/pii/S0168900213012552

Subtopic b 1. G.F. Knoll. (2010). Radiation Detection and Measurement. J. Wiley Publishers. New York. Available

at http://www.wiley.com/WileyCDA/WileyTitle/productCd-EHEP001606.html 2. G. Collazuol. (2012). The SIPM Physics and Technology – a Review. PhotoDet 2012.

https://indico.cern.ch/event/164917/contribution/72/material/slides/0.pdf

5. NEUTRON AND GAMMA SOURCES FOR INTERROGATION


The Office of Defense Nuclear Nonproliferation Research and Development (NA-22) is focused on enabling the development of next generation technical capabilities for radiation detection of nuclear proliferation activities. As such, the office is interested in the development of interrogating D-D and D-T neutron sources that address the detection, imaging and isotope identification of unshielded and shielded special nuclear materials.


http://www.wiley.com/WileyCDA/WileyTitle/productCd-EHEP001606.html




https://indico.cern.ch/event/164917/contribution/72/material/slides/0.pdf

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DNN R&D holds an annual University Information Technical Interchange (UITI) program review meeting where University and SBIR projects are presented to the program managers. All awardees are required to attend and present their progress at this meeting each year. Grant applications are sought only in the following subtopics:

a. High Flux D-D Neutron Source Develop and demonstrate significant advances in intensity, neutron energy-range, duty-cycle, or deployability of D-D neutron sources for the purpose of stimulating detectable radiation response in SNM and light materials of interest. The ideal system will produce at least 108 flux with a variable repetition rate and pulse width, weigh less than 20 lbs and fit in a backpack including the power supply. Questions – contact: David Beach, [email protected]

b. API D-T Neutron Source Develop and demonstrate a 108 or greater flux D-T associated particle neutron (API) source that is deployable for the purpose of neutron transmission imaging. The ideal system will include a generator that is run continuous for over 1200 hours with a beam spot size of less than 5 mm, preferably 1 mm. The API detector will have a timing resolution of 1 ns or less and be man-portable. Questions – contact: David Beach, [email protected]

c. Instrumentation for Rapid Nuclear Material Assay with a Pulsed Associated Particle Neutron Generator Active neutron interrogation of samples containing fissile species can offer rapid non-intrusive multi-element analysis. Fast neutrons penetrate shielding and induce prompt and delayed gamma-ray signatures. Concurrent recording of characteristic gamma ray signatures provides real-time material assays. In addition, neutron time-of-flight interrogation of the material of interest provides adequate signal/noise (S/N) ratios for elemental analysis. However, present capabilities of commercial neutron generators that allow neutron time-of-flight interrogation emit neutrons continuously and only signatures due to fast neutron reactions can be recorded while the neutron generator is in the ON state. Therefore, it is not possible to concurrently measure multiple signatures due to slow neutron interactions for which the neutron generator will need to be switched OFF. New developments in pulsed associated particle neutron generators offer the opportunity to probe fissile material in a new light. In particular, it will be possible to measure pre-fission inelastic gamma-ray signatures during the beam “ON” state of the generator and gamma-rays from fission products during the beam “OFF” state for a rapid assay of such material. To be able to harness the full potential of the pulsed associated particle neutron generator, a multiple time gated data acquisition system would need to be developed for synchronously recording the temporal nature of the neutron induced gamma-ray emissions in real time.



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The development of this instrument has the potential for wide commercial applications requiring materials characterization with high S/N. Separately, the developed digital data acquisition system is expected to advance the current state of multi-channel analyzers for fast radiation detectors and other applications requiring coincident radiation detection. These instrument control and Digital Data Acquisition (DAQ) advances require development of firmware and software to be able to construct and display neutron time-of-flight spectrum and time gated neutron induced gamma-ray energy spectrum in real-time. The data acquisition will be expected to run synchronously with the pulsing of a neutron generator of the associated particle type and process signals from multiple detectors. An external gate signal will be imported from the neutron generator for recognizing the ON and OFF states of the generator. During the ON state, coincident events from the built-in alpha particle detector of the neutron generator and external gamma-ray detectors will be captured and time and corresponding energy spectrum will be histogrammed. Within each OFF state there will be user defined sub-periods during which gamma-ray events will be tagged and recorded for pulse height computation and histogramming. Counting statistics like input and output count rates and dead times for each set of spectra will be made available. The system should allow use of fast detectors like plastic scintillators, ZnO(Ga) in addition to HPGe, LaBr3 and NaI(Tl) detectors. In addition, user controls for high voltage setting of detectors are required. The developed system will have a user friendly interface for all necessary manipulations of data acquisition and analysis. Active interrogation with a pulsed associated particle neutron generator will revolutionize the field of prompt gamma neutron activation analysis (PGNAA) of materials. PGNAA has found wide applications as a rapid on-line multi-elemental analysis tool –to name a few in the coal, cement industries and security companies dealing with explosives detection. Instrument control and DAQ will be a vital component of all such systems and therefore has a vast commercial potential. The firmware and software that will be developed will be an intellectual property of the Small Business. Questions – contact Thomas Kiess, [email protected]

d. Betatron or Equivalent Gamma Source Develop and demonstrate a portable betatron or equivalent gamma source that provides 1 – 6 MeV gamma rays with a variable duty cycle. The goal is for the system to be less than 100 lbs and run on battery power. Questions – contact: David Beach, [email protected]

e. Other In addition to the specific subtopics listed above, the Department invites grant applications in other areas that fall within the scope of the topic description above. Questions – contact: David Beach, [email protected]




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References: Subtopic a 1. International Atomic Energy Agency. (2012). Neutron Generators for Analytical Purposes, IAEA

Radiation Technology Reports No. 1. Vienna, Austria: IAEA. ISBN: 978-92-0-125110-7. Available at http://www-pub.iaea.org/books/IAEABooks/8505/Neutron-Generators-for-Analytical-Purposes

2. D. L. Chichester & J.D. Simpson. (2004). Compact Accelerator Neutron Generators. The Industrial Physicist. December 2003/January 2004. pp. 22-2. Available at http://qsl.net/k/k0ff//01%20Manuals/Neutron%20Reflection/Compact%20accelerator%20neutron%20generators%20-%20The%20Industrial%20Physicist.htm

Subtopic b 1. International Atomic Energy Agency. (2012). Neutron Generators for Analytical Purposes. IAEA

Radiation Technology Reports. Number 1. Vienna, Austria. IAEA. ISBN: 978-92-0-125110-7. Available at http://www-pub.iaea.org/books/IAEABooks/8505/Neutron-Generators-for-Analytical-Purposes

2. D. L. Chichester & J.D. Simpson. Compact Accelerator Neutron Generators. The Industrial Physicist. December 2003/January 2004. pp. 22-2. Available at http://qsl.net/k/k0ff//01%20Manuals/Neutron%20Reflection/Compact%20accelerator%20neutron%20generators%20-%20The%20Industrial%20Physicist.htm

Subtopic c 1. H. Tan, et al. (2008). A Multiple Time-gated System for Pulsed Digital Gamma-ray Spectroscopy.

Journal of Radioanalytical and Nuclear Chemistry. Volume 276. Issue 3. pp 639. Available at http://link.springer.com/article/10.1007%2Fs10967-008-0611-0

2. H. Tan, et al. (2007). A Digital Spectrometer Approach to Obtaining Multiple Time-resolved Gamma-

ray Spectra for Pulsed Spectroscopy. Nuclear Instruments and Methods in Physics Research Section B. Volume 263. pp. 63. Available at http://www.sciencedirect.com/science/article/pii/S0168583X07008270

3. Y. Zhou, et al. (2012). Modelling the Tagged-neutron UXO Identification Technique Using the Geant4 Toolkit. Journal of Radioanalytical and Nuclear Chemistry. Volume 294. Issue 1. pp 37.Available at http://link.springer.com/article/10.1007%2Fs10967-011-1466-3

Subtopic d 1. Betatrons.

http://web.mit.edu/course/22/22.09/ClassHandouts/Charged%20Particle%20Accel/CHAP11.PDF 2. V.L. Chakhlov, et el.(1999). Photoneutron source based on a compact 10 MeV betatron. Nuclear

Instruments and Methods in Physics Research Section A. Volume 44. Issues 1-3. pp 5-9. Available at http://www.sciencedirect.com/science/article/pii/S0168900298011061

http://www-pub.iaea.org/books/IAEABooks/8505/Neutron-Generators-for-Analytical-Purposes

http://qsl.net/k/k0ff/01%20Manuals/Neutron%20Reflection/Compact%20accelerator%20neutron%20generators%20-%20The%20Industrial%20Physicist.htm






http://link.springer.com/article/10.1007%2Fs10967-008-0611-0

http://www.sciencedirect.com/science/article/pii/S0168583X07008270


http://web.mit.edu/course/22/22.09/ClassHandouts/Charged%20Particle%20Accel/CHAP11.PDF


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3. M. Stein, et al. Small-Size Betatrons for Radiographic Inspection. World Conference on Nondestructive Testing. Montreal, Quebec (Canada). Aug. 30 – Sept. 3, 2004. http://www.ndt.net/article/wcndt2004/pdf/radiography/104_stein.pdf

6. TECHNICAL NUCLEAR FORENSICS – POWDER SUB-SAMPLING


Representative sub-sampling of powders is important in making accurate and precise measurements in technical nuclear forensics (TNF) and other applications. Powder samples may be comprised of particles with non-uniform size and density distributions. These distributions must be maintained in the individual sub-samples to ensure that measurement results are technically rigorous and defensible. The small quantity and radioactivity of many TNF samples add additional challenges to the sample splitting process – for example, it is often required to manipulate the powder sample in a glovebox environment. Commercially available powder subsampling technologies have limitations when applied in these contexts. Grant applications are sought only in the following subtopics:

a. Representative Subsampling Technical Methods There are several widely recognized procedures for sub-sampling or splitting powder samples [Ref. 1]. Manual processes such as cone & quartering or scooping are compatible with the nuclear material and radiological safety environment in which TNF samples are processed. However, these techniques are not considered ideal when the sample is not homogenous. The best practice in the case of non-homogeneous powders where the particle size and density vary is to sample when the ‘bulk’ powder is in motion. Commercial-off-the-shelf (COTS) instruments such as rotary rifflers are available that can produce high quality, representative sub-samples but they are designed to process a larger amount of material than is generally preferred for TNF work and may not be compatible with the nuclear safety environment in which the samples are processed. Further specifications for a TNF powder subsampling technology are identified below. Sample Characteristics

• The amount of sample to be split is generally 1gram or less. This may represent all the available material or the amount that is safe to handle in a given environment.

• The samples can be susceptible to hold-up due to static or stickiness. Due to the limited sample size, the sub-sampling process needs to be efficient and retain as little of the sample as possible.

• Prevention of background-to-sample and sample-to-sample cross contamination is paramount.

http://www.ndt.net/article/wcndt2004/pdf/radiography/104_stein.pdf

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• TNF powder samples can vary widely. The powders can have mutli-modal particle size distributions, particles with different densities, and other features that must be accurately reproduced in the sub-samples.

Operating Environment: • Any technology employed as part of the sub-sampling process should be compatible with

radiological gloveboxes as they are deployed and operated at U.S. Department of Energy laboratories. Relevant technical issues include those identified below.

• Standard glovebox ports range from 10 to 15 inches in diameter. Any equipment or instrumentation should be able to pass through such a port or should be able to be disassembled for transport into the glovebox.

• Several layers of gloves are often worn in addition to the glovebox gloves, which hampers dexterity. Mechanical manipulations should be simplified to aid the operator. Equipment should have no sharp edges, objects, or pinch points that could potentially damage the containment gloves.

• Operation should minimize the amount of waste generated and not introduce any RCRA or CERCLA listed species [Refs 3,4].

• Use of flammables and combustibles should be minimized. Questions – contact: Thomas Kiess, [email protected]

b. Other In addition to the specific subtopics listed above, the Department invites grant applications in other areas that fall within the scope of the topic description above. Questions – contact: Thomas Kiess, [email protected] References: Subtopics a-b 1. A. Jillavenkatesa, S.J. Dapkunas & L.H. Lum. (2001). Particle Size Characterization. National Institute

of Standards and Technology. Special Publication 960-1. http://www.ceramics.nist.gov/ftproot/PracticeGuides/960-1/SP960-1.pdf

2. K.J. Moody, I.D. Hutcheon & P.M. Grant. (2005). Nuclear Forensic Analysis. Boca Raton, FL. CRC

Press. Available at https://www.scribd.com/doc/120032321/Nuclear-Forensic-Analysis

3. Resource Conservation and Recovery Act (RCRA). http://www.epa.gov/agriculture/lrca.html

4. Comprehensive Environmental Response, Compensation, and Liability Act (CERCLA). http://www.epa.gov/agriculture/lcla.html

5. American Glovebox Society. http://www.gloveboxsociety.org/prod_serv.html



http://www.ceramics.nist.gov/ftproot/PracticeGuides/960-1/SP960-1.pdf

https://www.scribd.com/doc/120032321/Nuclear-Forensic-Analysis

http://www.epa.gov/agriculture/lrca.html

http://www.epa.gov/agriculture/lcla.html

http://www.gloveboxsociety.org/prod_serv.html

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7. HIGH PERFORMANCE FIBER OPTIC LINK FOR REMOTE INSTRUMENTATION


A fiber-optic link would find many applications to reliably transmit information to and from instruments operating in harsh, dangerous, and/or noisy environments. One application is for equipment that must be placed in areas of high electronic background noise, or that must function to withstand an electromagnetic pulse and other environmental conditions. A fiber-optic link can connect such equipment to associated digitizers and other electronics that are in a separate location, for data transfer. Grant applications are sought only in the following subtopics:

a. Fiber-optic Link for Remote Instrumentation An analog high-bandwidth fiber-optic link with a 1-km range is of interest to develop in order to connect instruments that must operate in electronically noisy environments to expensive digitizers and control electronics that are located elsewhere. A fiber-optic link has advantages over coaxial cable, including greater bandwidth, extended range, and reduced size and weight. However, most available analog fiber-optic links have limited signal fidelity. Pulse overshoot and ringing are common, and deviations from linearity can be significantly greater than 1%. In many precision instrumentation applications pulse overshoot and ringing must be eliminated, and deviations from linearity limited to less than 0.3%. A second requirement is high bandwidth. The minimum bandwidth must be 1 KHz to 1 GHz. Higher bandwidths are also of interest; 10 KHz to 10 GHz, and 100 KHz to 100 GHz would find significant instrumentation applications. The frequency response must be flat to +/- 3 dB to preclude signal distortion. Pulse overshoot must be less than 5% of the pulse amplitude, and ringing must be reduced to 1% of pulse amplitude within twice the pulse rise time. The range of the analog instrument fiber-optic link must be at least 1 km. Electrical input and output must be compatible with 50 Ohm impedance coaxial cable. The 50 Ohm electrical input full scale amplitude must be 5 Volts, and the 50 Ohm electrical output must have a full scale amplitude of 1 Volt. The dynamic range must be at least 1,000:1.

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The link may be based on direct modulation or Mach-Zehnder modulation with deconvolution in post processing, or may be based on other technologies. Questions – contact: Thomas Kiess, [email protected]

b. Other In addition to the specific subtopics listed above, the Department invites grant applications in other areas that fall within the scope of the topic description above. Questions – contact: Thomas Kiess, [email protected] References: General 1. Y. Chiu, et al. (1999). Broad-band Electronic Linearizer for Externally Modulated Analog Fiber-optic

Links. Photonic Technology Letters. Volume 11. Issue 1. pp 48. Available at http://ieeexplore.ieee.org/xpl/login.jsp?tp=&arnumber=736386&url=http%3A%2F%2Fieeexplore.ieee.org%2Fxpls%2Fabs_all.jsp%3Farnumber%3D736386

2. K. Williams, et al. (1998). Photodetector Nonlinearity Limitations on a High Dynamic Range 3 GHz

Fiber Optic Link. Journal of Lightwave Technology. Volume 16. Issue 2. pp 192. Available at http://www.opticsinfobase.org/jlt/abstract.cfm?uri=jlt-16-2-192

3. V. Urick, et al. (2009). Analysis of an Analog Fiber-optic Link Employing a Low-biased Mach-Zehnder

Modulator Followed by an Erbium-doped Fiber Amplifier. Journal of Lightwave Technology. Volume 27. Issue 12. Available at http://www.opticsinfobase.org/jlt/abstract.cfm?uri=jlt-27-12-2013

8. HIGH-TRANSMISSION, NARROW-BAND TUNABLE FILTERS OPERATING IN THE ULTRAVIOLET FOR APPLICATIONS IN MULTI- AND HYPER-SPECTRAL IMAGING


Tunable optical filters have recently been commercialized for visible wavelengths. These filters have enabled the creation of hyperspectral imaging systems for the creation of image data cubes, where images can be obtained for narrow wavelength bins, providing large amounts of information about the observed scene (point-by-point optical spectra). However, hyperspectral imaging systems operating in the ultraviolet (UV) are not yet available, and significant effort will needed to extend existing tunable filter technologies into the ultraviolet regime with high transmission efficiency. Emphasis should be placed on creating a robust technology that can be used in a field setting. The most important criteria are narrow transmission band (sub-nm), high transmission efficiency (>60%), 1” or greater aperture,





http://www.opticsinfobase.org/jlt/abstract.cfm?uri=jlt-16-2-192

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rapid tunability, little image degradation, wide angular acceptance (> 5° half angle) and high out-of-band rejection (less than 0.01% out of band transmission). Example technological approaches include Fabry-Perot interferometers, acousto-optic tunable filters, and liquid crystal tunable filters. The UV range of interest is the near-UV, of wavelengths of about 400nm down to approximately 300nm. In some applications, the durability of the filter while subjected to an optical spectrum and intensity that is solar-like (on the earth’s surface) is also an important feature. The development of a UV tunable filter has the potential for wide commercial relevance in fields such as machine vision, atmospheric metrology, biomedical microscopy, explosives detection, and spectroscopic materials characterization systems. Grant applications are sought only in the following subtopics:

a. Acousto-optic, Fabry-perot, or Liquid Crystal UV Tunable Filter To create a fieldable UV tunable filter, all of the criteria described above should be met simultaneously. The challenges for extending each of these technologies into the UV will be different. For example, the primary limiting factor for acousto-optical filters may be the diffraction efficiency (transmission) for UV operation, while Fabry-Perot interferometers may be limited by their sensitivity to dust in a field setting. Liquid crystal tunable filter materials may be challenged by their durability in being subjected to a solar-like optical spectrum and intensity. Multiple filter or filter types can be used together to reject out-of-band light, so long as a clear concept for a single tunable filter system operating in the UV is presented. The system should be computer-controllable with high repeatability in the selection of a specific wavelength of interest. If all of the criteria described above cannot be met, a proposed filter design should identify how it can perform as a UV hyperspectral imaging system and which criteria are the greatest challenge to meet. Questions – contact: Thomas Kiess, [email protected]

b. Other In addition to the specific subtopics listed above, the Department invites grant applications in other areas that fall within the scope of the topic description above. Questions – contact: Thomas Kiess, [email protected]

References: Subtopics a-b 1. M.E. Martin, et al. An AOTF-based Dual-modality Hyperspectral Imaging System (DMHSI) Capable of

Simultaneous Fluorescence and Reflectance Imaging. Medical Engineering & Physics. Volume 28. pp 149-155 (2006). Available at http://dx.doi.org/10.1016/j.medengphy.2005.04.022



http://dx.doi.org/10.1016/j.medengphy.2005.04.022

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2. J. Mäkynen, et al. (2012). Multi- and Hyperspectral UAV Imaging System for Forest and Agriculture Applications. Proceedings. SPIE. Volume 8374. Available at http://proceedings.spiedigitallibrary.org/proceeding.aspx?articleid=1354105

3. Kalasinsky, K.S. et al. “Raman Chemical Imaging Spectroscopy Reagentless Detection and Identification of Pathogens: Signature Development and Evaluation,” Analytical Chemistry, Vol. 79, pp 2658-2673, (2007). Available at http://dx.doi.org/10.1021/ac0700575

9. TECHNOLOGY TO FACILIATE MONITORING FOR NUCLEAR EXPLOSIONS


Ground-based Nuclear Detonation Detection Research and Development (GNDD R&D) is sponsored by the U.S. Department of Energy’s National Nuclear Security Administration’s Office of Defense Nuclear Nonproliferation Research and Development (DNN R&D). GNDD is responsible for the research and development necessary to provide the U.S. Government with capabilities for monitoring nuclear explosions. The goal of the GNDD Team is to advance the U.S. ground-based nuclear explosion monitoring capabilities to detect, locate, identify and determine yield of events associated with foreign nuclear weapons development (see Reference 1). Proposals that enhance U.S. capabilities that also benefit the international monitoring capabilities in the context of preparations for a Comprehensive Nuclear-Test-Ban Treaty (CTBT) may be submitted. Research is sought to move toward commercialization of algorithms, hardware, and software that advance the state-of-the-art for event detection, location, and identification. Superior technologies will help improve the Air Force Technical Applications Center’s (Reference 2) ability to monitor for nuclear explosions, which are banned by several treaties and moratoria. Grant applications responding to this topic must state: (1) the current state-of-the-art, in terms of relevant specifications such as sensitivity, reliability, maintainability, etc., as well as the performance goal of the proposed advance in terms of those same specifications; and (2) address the commercialization path of any instruments or components developed. Due to the small market potential of treaty monitoring technologies, this call is focused toward already existing or emerging commercial products for other applications that could be modified/enhanced for treaty monitoring applications. The resulting “treaty monitoring edition” of the product(s) would hopefully provide a performance advantage that would also benefit the original market and thereby leverage existing markets. Existing infrasound sensors typically comprise a single pressure transducer attached to a wind-noise reduction system. Such sensors are typically configured in arrays, with three or more elements, to obtain direction-of-arrival (DOA) information and for further noise reduction through cancellation of incoherent pressure fluctuations. A good review of existing infrasound noise reduction strategies is provided by Walker and Hedlin (2010). There are a number of limitations of such existing sensors, including the following:

http://proceedings.spiedigitallibrary.org/proceeding.aspx?articleid=1354105

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• Existing wind noise reduction strategies introduce distortions in the sensor pressure data

response that must be corrected.

• Several existing strategies for noise reduction depend upon spatial averaging of the sampled pressure field in order to reduce the effects of small-scale pressure variations; a method that results in a large footprint per individual sensor.

• Increasing traditional spatial filter length past an optimal length leads to no improvement in

signal-to-noise ratio, but instead starts to attenuate the frequencies of interest.

• Several existing strategies for noise reduction (e.g., porous hoses) are suitable for temporary but not long-term deployments as the hose properties change due to weathering.

• Arrays of sensors are needed to obtain DOA information, which is costly and requires a large

footprint.

• Calibration of the sensor response in the field is difficult, because the sensor response consists of both the wind reduction system and instrument response.

Grant applications are sought only in the following subtopics:

a. Infrasound Sensor Improvement and Commercialization Improvements to infrasound sensors are needed that:

• Can be commercialized through leverage by having utility beyond nuclear explosion monitoring.

• Lead to quantifiable improvements in wind noise reduction systems in terms of enhancements to the signal-to-noise level across the full range of frequencies of interest (0.02 – 100 Hz).

• Can provide for improved calibration methods when compared to current equipment. Both the

amplitude and phase response of the distributed sensor (or sensor + noise reduction system) can be determined in situ.

• Can provide improved power use efficiencies and/or reduced footprint over existing

commercial sensors The table below highlights a minimum set of requirements for any analog sensor that would be developed under this SBIR call. These specifications are based in part on the CTBTO sensor requirements. Property Threshold Frequency Response 0.02 – 100 Hz

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Dynamic Range >108dB Resolution Accurately resolve real variations of 1 mPa at 1 Hz Sample Rate Capable of being sampled at 2 kHz Self Noise ≤ 18 dB (relative to 20 micro-Pa)

Absolute Stability Remain within limits of < 5% in absolute amplitude for the duration of 1 year.

Mean Time Between Failure At least 1 year in an operating environment of -40 C to 70 C and humidity @ 95%

Cost Shall be competitive with existing technology

Testing Shall be independently tested at a national calibration laboratory to ensure developer specifications are correct.

Power Shall not exceed power requirements of existing sensors and ideally minimize power needs

Questions – contact: Leslie Casey, [email protected]

b. Other In addition to the specific subtopic listed above, the Department invites grant applications in other areas that fall within the scope of the topic description above. Questions – contact: Leslie Casey, [email protected] References: Subtopics a-b 1. A. Casey. (2014). Ground-based Nuclear Detonation Detection (GNDD) Team – Goals, Objectives

and Requirements. Document Number DOE/NNSA/NA-22/GNDD-GOR-2014) DOI: 10.2172/1130078. Available at http://www.osti.gov/scitech/biblio/1130078

2. United States National Data Center. Air Force Technical Applications Center.

http://www.usandc.gov

3. K.T. Walker & M. Hedlin. (2010). A Review of Wind-Noise Reduction Methodologies. Infrasound Monitoring for Atmospheric Studies. DOI: 10.1007/978-1-4020-9508-5. Available at http://link.springer.com/chapter/10.1007/978-1-4020-9508-5_5



http://www.osti.gov/scitech/biblio/1130078

http://www.usandc.gov/

http://link.springer.com/chapter/10.1007/978-1-4020-9508-5_5

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PROGRAM AREA OVERVIEW: OFFICE OF ELECTRICITY DELIVERY AND ENERGY RELIABILITY The U.S. electric power sector is a critical part of our society. The electricity industry is a mix of investor-owned utilities, municipal utilities, cooperatives, and federal power utilities. In addition, electricity is also generated from non-utility power producers. The nation’s electric grid must be protected from unacceptable risks, multi-regional blackouts, and natural disasters. Therefore, the mission of the Office of Electricity Delivery and Energy Reliability (OE) is to lead national efforts in applied research and development to modernize the electric grid for enhanced security and reliability. A modernized grid will significantly improve the Nation’s electricity reliability, efficiency, and affordability, and contribute to economic and national security. OE supports research and development efforts to eliminate bottlenecks, foster competitive electricity markets, and expand technology choices. For example, the risk of multi-regional blackouts and natural disasters can be reduced through the application of better visualization and controls of the electric grid, energy storage and power electronics, smart grid technology, cyber security, and advanced modeling.

10. INNOVATIVE SIC AND GAN-BASED TOPOLOGIES FOR GRID-TIED ENERGY STORAGE APPLICATIONS

Grid-tied energy storage systems are becoming more prevalent in the electric utility infrastructure and critical in the advancement of the electric grid. Energy storage systems provide multiple economic and technical benefits, such as increasing the value of renewables such as wind and photovoltaic systems, providing flexibility for the customer, maintaining power quality, and increasing asset utilization and deferring upgrades of the grid. Integrated systems utilizing energy storage will ultimately improve the reliability, quality, security, flexibility, and ultimately the cost effectiveness of the existing and future electric utility infrastructure. The trend in energy storage systems is to package the energy system including energy storage technology and power electronics in a standard shipping container for the ease of transport and siting. Industry is attractive to this because they have lower installation cost compared to traditional approach and less installation time to operation. The containerized approach provides unique challenges for the power conversion system, as well as the energy storage technology. With this added form factor, high power density design and increased performance is required to increase efficiency and reliability, reduce thermal management, and ultimately reduction in overall cost. In addition, as the high density design is needed special consideration is needed to make sure these systems have a safe and reliable operation. There has been an increase interest in the utilization of advanced semiconductor devices known as Wide Band Gap (WBG) devices such as SiC and GaN in a number of switch mode power conversion system including applications in stationary energy storage systems. It has been shown that these devices when used in advanced power conversion topologies

Maximum Phase I Award Amount: $150,000 Maximum Phase II Award Amount: $1,000,000 Accepting SBIR Phase I Applications: YES Accepting SBIR Fast-Track Applications: NO Accepting STTR Phase I Applications: NO Accepting STTR Fast-Track Applications: NO

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can result in increased efficiencies and higher power density compared to silicon-based systems and, thus, is attractive to containerized energy storage systems. Packaged SiC and GaN devices such as diodes and insulated gate bipolar devices (IGBTs) are starting to reach the power electronics marketplace and their full system benefits are yet to be demonstrated in single and three phase energy storage systems. Advances in WBG-based power conversion topologies for grid-tied energy storage systems are sought. Advanced power conversion topologies for battery, flywheel, electrochemical capacitor, and superconducting magnetic energy storage will only be considered. Grant applications are sought in the following subtopics:

a. High Voltage and High Density SiC-based Topologies for Grid-tied Energy Storage Applications Energy storage systems used today typically require a dc-dc pre-conversion followed by a dc-ac inverter that is tied to the grid via a 60 hz transformer. Each energy storage technology such as batteries and flywheels has unique requirements in regards to maximum power transfer from the energy storage device to the grid and vise-versa. Flywheel energy storage systems for example, has variable frequency and AC electromechanical power output that needs to be conditioned before an inversion process takes place via the inverter. Some advanced topologies have been talked about for flywheel energy storage system such as matrix converters that convert directly from AC to AC without a need for DC link. Batteries on the other hand, require a dc to dc pre-conversion prior to the inverter. Two terminal SiC devices such as Schottky diodes have been in the marketplace for a few years now. The three terminal devices such as MOSFETS and IGBTs are starting to enter the marketplace. These devices have the potential to switch at higher frequencies, higher breakdown voltages, and higher junction temperatures compared to silicon. Applications are sought for advanced topologies utilizing SiC devices to significantly improve grid-tied energy storage systems. The desired properties include: (a) transformerless three-phase >12.47 kVac output, (b) >100 kW power rating, (c) convection cooled thermal management system, (d) bidirectional capability, and (e) >2X power density improvement over traditional design. Proposals must show significant system improvements over silicon-based designs and maximum system benefits of utilizing SiC devices. The advanced topologies must cover the entire conversion process from the energy storage device to the electric utility connection. Questions – contact: Imre Gyuk, [email protected]

b. High Voltage and High Density GaN-based Topologies for Grid-tied Energy Storage Applications GaN devices have emerged more recently with promising characteristics such as high frequency and high density power conversion designs. By providing low gate charges due to high electron mobility and low on-resistance, GaN-based semiconductor devices can allow for high switching frequencies and reduced switching losses resulting in high power density power conversion system design. Applications are sought for advanced topologies using GaN-based semiconductor switches to improve grid-tied energy storage systems. Desired properties include: (a) transformerless three-phase >480 Vac output, (b) >75 kW power rating, (c) convection cooled thermal management system, (d) bidirectional capability, and (e) >2X power density improvement over traditional designs. Proposals must show significant system improvements over silicon-based designs and maximum system benefits of utilizing


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GaN devices. The advanced topologies must cover the entire conversion process from the energy storage device to the electric utility connection. Questions – contact: Imre Gyuk, [email protected] References: Subtopic a 1. J. Rabkowski, D. Peftitsis & H. Nee. (2013). Design Steps Toward a 40-kVA SiC JFET Inverter With

Natural Convection Cooling and an Efficieny Exceeding 99.5%. IEEE Transactions. Volume 49. Issue 4. pp. 1589-1598. Available at http://ieeexplore.ieee.org/xpl/articleDetails.jsp?arnumber=6502234

2. M. Golkhah & M.T. Bina. (2008). Multilevel Converter Objectives: a Critical Evaluation and

Combination of Available Natural-Commuted Topologies with Restructured Iron Cores. Proceedings of the World Congress on Engineering and Computer Science. October 22-24, 2008. San Francisco, CA. Available at http://www.iaeng.org/publication/WCECS2008/WCECS2008_pp428-433.pdf

3. P. Wolfs, Y. Fuwen & H. Qing-Long. (2014). Distribution Level SiC FACTS Devices With Reduced DC Bus Capacitance for Improved Load Capability and Solar Integration. Industrial Electronics. 2014 IEEE 23rd International Symposium. pp. 1353-1358. June 2014. Available at http://ieeexplore.ieee.org/xpl/login.jsp?tp=&arnumber=6864811&url=http%3A%2F%2Fieeexplore.ieee.org%2Fiel7%2F6851787%2F6864573%2F06864811.pdf%3Farnumber%3D6864811

4. A. Maswood, P. Vu & M. Rahman. (2012). Silicon Carbide Based Inverters for Energy Efficiency. IEEE Transportation Electrification Conference and Expo, June 18-20, 2012. pp., 1-5. Available at http://ieeexplore.ieee.org/xpl/articleDetails.jsp?arnumber=6243458

5. C. Johnson. (2004). Comparison of Silicon and Silicon Carbide Semiconductors for a 10 kV Switching Applications. IEEE 35th Annual Power Electronics Specialists Conference. June 20-25, 2004. Volume 1. pp. 572-578. Available at http://ieeexplore.ieee.org/xpl/login.jsp?tp=&arnumber=1355811&url=http%3A%2F%2Fieeexplore.ieee.org%2Fxpls%2Fabs_all.jsp%3Farnumber%3D1355811

6. J. Kolar & M. Baumann. (2002). Novel Three-phase AC-DC-AC Sparse Matrix Converter. IEEE Applied Power Electronics Conference and Exposition Proceedings. March 10-14, 2002. Volume 2. pp. 777-791. Available at http://ieeexplore.ieee.org/xpl/login.jsp?tp=&arnumber=989333&url=http%3A%2F%2Fieeexplore.ieee.org%2Fxpls%2Fabs_all.jsp%3Farnumber%3D989333

Subtopic b 1. T. Ueda, et al. (2014). GaN Transistors on Si for Switching and High-frequency Applications.

Japanese Journal of Applied Physics. Volume 53. Number 10. Available at http://iopscience.iop.org/1347-4065/53/10/100214


http://ieeexplore.ieee.org/xpl/articleDetails.jsp?arnumber=6502234

http://www.iaeng.org/publication/WCECS2008/WCECS2008_pp428-433.pdf

http://ieeexplore.ieee.org/xpl/login.jsp?tp=&arnumber=6864811&url=http%3A%2F%2Fieeexplore.ieee.org%2Fiel7%2F6851787%2F6864573%2F06864811.pdf%3Farnumber%3D6864811

http://ieeexplore.ieee.org/xpl/login.jsp?tp=&arnumber=6864811&url=http%3A%2F%2Fieeexplore.ieee.org%2Fiel7%2F6851787%2F6864573%2F06864811.pdf%3Farnumber%3D6864811






http://iopscience.iop.org/1347-4065/53/10/100214

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2. K. Shirabe & M. Mahesh. (2014). Efficiency Comparison Between Si-IGBT-Based Drive and GaN-Based Drive. IEEE Transactions on Industry Applications. Volume 50. Number 1. Jan/Feb 2014. Available At http://ieeexplore.ieee.org/xpl/articleDetails.jsp?arnumber=6663616

3. M. Ishida, et al. (2010). GaN Power Switching Devices. International Power Electronics Conference. June 21-24, 2010. pp. 1014-1017. Available at http://ieeexplore.ieee.org/xpl/login.jsp?tp=&arnumber=5542030&url=http%3A%2F%2Fieeexplore.ieee.org%2Fxpls%2Fabs_all.jsp%3Farnumber%3D5542030

4. S. Tamura, et al. (2010). Recent Advances in GaN Power Switching Devices. IEEE Compound Semiconductor Integrated Circuit Symposium. October 3-6, 2010. pp. 1-4. Available at http://ieeexplore.ieee.org/xpl/login.jsp?tp=&arnumber=5619659&url=http%3A%2F%2Fieeexplore.ieee.org%2Fxpls%2Fabs_all.jsp%3Farnumber%3D5619659

5. F. Gamand, L. Dong & C. Gaquiere. (2012). A 10-MHz GaN HEMT DC/DC Boost Converter for Power Amplifier Applications, IEEE Transactions on Circuits and Systems II. Volume 59. Issue 11. pp. 776-779. Available at http://ieeexplore.ieee.org/xpl/articleDetails.jsp?arnumber=6384724







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PROGRAM AREA OVERVIEW: OFFICE OF ENERGY EFFICIENCY AND RENEWABLE ENERGY The Office of Energy Efficiency and Renewable Energy (EERE) is at the center of creating the clean energy economy today. EERE leads the U.S. Department of Energy's efforts to develop and deliver market-driven solutions for energy-saving homes, buildings, and manufacturing; sustainable transportation; and renewable electricity generation. The EERE mission is to strengthen America's energy security, environmental quality, and economic vitality in public-private partnerships to enhance energy efficiency and productivity; bring clean, reliable and affordable energy technologies to the marketplace; and make a difference in the everyday lives of Americans by enhancing their energy choices and their quality of life. EERE's role is to invest in high-risk, high-value research and development that is critical to the nation's energy future and would not be sufficiently conducted by the private sector acting on its own. EERE Technology Office efforts directly support the President's Climate Action Plan goals of doubling renewable electricity generation by 2020 and doubling energy productivity by 2030. On September 17, 2014, U.S. Secretary of Energy Moniz announced a partnership with the Council on Competitiveness and the Alliance to Save Energy to launch Accelerate Energy Productivity 2030 to grow our economy while reducing our energy costs. EERE’s Technology Offices all have multiyear plans, detailed implementation processes and have demonstrated impressive results. To access this information for a particular office, click here. Program activities are conducted in partnership with the private sector (including small businesses), state and local governments, DOE national laboratories, and universities. EERE also works with stakeholders to develop programs and policies to facilitate the deployment of advanced clean energy technologies and practices. EERE’s fiscal year 2015 budget request can be found here: http://energy.gov/sites/prod/files/2014/04/f14/Volume%203.pdf. For additional information regarding EERE’s priorities, click here.

11. ADVANCED MANUFACTURING

Maximum Phase I Award Amount: $150,000 Maximum Phase II Award Amount: $1,000,000 Accepting SBIR Phase I Applications: YES Accepting SBIR Fast-Track Applications: NO Accepting STTR Phase I Applications: YES Accepting STTR Fast-Track Applications: NO

The Advanced Manufacturing Office (AMO) (www1.eere.energy.gov/manufacturing/) partners with industry, small business, universities, and other stakeholders to identify and invest in emerging technologies with the potential to create high-quality domestic manufacturing jobs and enhance the global competitiveness of the United States. Wide bandgap (WBG)-based power electronics and light-emitting diodes (LEDs) promise to be more efficient, powerful, and less costly than conventional electronics. The use of domestic natural gas for feedstock and fuel substitution enables more energy-efficient manufacturing than today’s state-of-the-art. Innovative systems for the production of carbon fiber and for synthesizing novel atomically precise catalysts represent critical platform materials for a

http://energy.gov/eere/office-energy-efficiency-renewable-energy

http://energy.gov/eere/about-us/mission

http://energy.gov/eere/about-us/mission

http://www.whitehouse.gov/sites/default/files/image/president27sclimateactionplan.pdf

http://www.energy2030.org/

http://www1.eere.energy.gov/pir/#plans

http://www1.eere.energy.gov/pir/#implementation

http://www1.eere.energy.gov/pir/#results

http://energy.gov/sites/prod/files/2014/04/f14/Volume%203.pdf

http://www.eere.energy.gov/

http://www.eere.energy.gov/manufacturing/

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wide variety of clean energy applications. New technologies now can cost-effectively recover previously inaccessible low grade industrial waste heat and use it to reduce industrial fuel use.

All applications to this topic must:

• Be consistent with and have performance metrics (whenever possible) linked to published, authoritative analyses in your technology space.

• Clearly define the proposed application, the merit of the proposed innovation compared to competing approaches, and the anticipated outcome with a special emphasis on the commercialization potential of the overall effort including Phase I and Phase II.

• Applications should provide a path to scale up in potential Phase II follow on work. • Include quantitative projections for price and/or performance improvement that are tied to

representative values included in authoritative publications or in comparison to existing products. For example, projections of price or cost advantage due to manufacturing improvements, materials use, or design simplification should provide references to current practices and pricing to enable informed comparison to present technologies.

• Demonstrate commercial viability with a quantifiable return on DOE investment as described elsewhere in this FOA.

• Fully justify all performance claims with thoughtful theoretical predictions and experimental data.

Grant applications are sought in the following subtopics:

a. Wide Bandgap Semiconductors for Energy Efficiency and Renewable Energy Wide bandgap (WBG) semiconductor-based devices — with bandgaps significantly greater than 1.7 eV — operate at much higher voltages, frequencies, and temperature than conventional semiconductor-based devices.[1-3] DOE has made significant R&D investments in WBG semiconductors. [4] WBGs--including silicon carbide (SiC), gallium nitride (GaN), zinc oxide (ZnO), aluminum nitride (AlN) and diamond (C) offer dramatic improvements in a variety of applications such as power electronics, solid-state lighting, fuel cells, photovoltaics, and sensing in harsh environments. Compared to today’s Si-based technologies, devices using WBGs can operate at higher temperatures, operate at greater voltages over time, and switch at much higher frequencies than those based on non-WBG substrates. Depending on current density, power dissipation, and reverse breakdown voltage requirements, semiconductor devices are structured as either vertical or lateral structures. While vertical SiC and lateral GaN/(SiC, Si, Sapphire)-based semiconductor devices are commercial, vertical GaN devices (LEDs and power devices) built on GaN substrates and vertical AlN or AlGaN devices (UV-C LEDs and power devices) built on AlN substrates are not. Making commercial vertical LEDs on GaN and AlN or AlGaN substrates would have major power and efficiency advantages including: greater brightness (2-3x); higher current tolerance; and smaller and less expensive chips due to improved geometry compared with LEDs on other substrates such as Sapphire. To develop these applications, the substrates must be conducting, and LED substrates also must be transparent. These properties are controlled by point defects in the substrates, so identifying and eliminating these point defects is a key research goal.

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Research areas below are important for the fabrication of conducting and transparent(e.g. LED) substrates; for improved doping control during boule and epi-growths; and for increasing scientific understanding of relatively deep donor and acceptor levels, ion-implantation, and subsequent activation of donor and acceptor impurities. [5] Areas of particular interests include: Substrate Forming from Bulk GaN Crystals: While much R&D has been conducted on the methods for growing low defect, low-optical-absorption bulk GaN crystals, significant advances are still required to make epi-ready substrates. GaN has similar mechanical properties to SiC [6], and many mechanical forming methods such as slicing, grinding, and mechanical polishing can be adapted from SiC. As each step in the epi-ready substrate formation process is highly dependent on the preceding step, it is important to adapt these operations in a concurrent, balanced manner. Mechanical shaping steps must be cost effective and minimize subsurface damage; achieve reasonable wafer shape (as measured by bow, warp, and total thickness variation and local thickness variation); and consider requirements for scaling diameter and volume. After mechanical polishing, final surface preparation with chemo-mechanical polishing (CMP) steps are required to remove surface and subsurface damage and present a high quality surface to grow low-defect epitaxial films. Developing a commercially viable CMP process with a reasonable removal rate requires a thorough study of chemistries and mechanical (down) forces with careful control of all interacting parameters such as chemistry, temperature, down-force, linear abrasion speed, viscosity, slurry flow rates and concentrations. The difficulty with CMP on relatively hard crystals such as GaN and SiC is in achieving a viable removal rate while balancing all process parameters to create a smooth surface. Removal rates can also be heavily influenced by crystallographic orientation, defect density, defect size, defect type, and doping / impurity type and concentration. The final steps required include non-destructive surface characterization techniques that can be performed with high speed and accuracy at low cost. Of particular interest is the ability to measure sub-surface damage, which is currently impossible using optical microscopy. Doping Control and Producing Shallow Donors in AlN Substrates and Epilayers: Improving control of dopant incorporation and production of shallow donors is critical during boule and epi growth. Applications are sought that show a path to the controlled incorporation of shallow donors (<100 meV) in AlN substrates and/or thick (>10 µm) epilayers grown on AlN or other suitable WBG substrates. AlN substrates with thick epilayers and n-type (vertical) conduction are needed for a wider array of devices including both LEDs and power devices. While AlN-based LEDs producing light at between 200-300 nm are already being commercialized for water purification, it is still difficult to obtain n-type conduction for AlN substrates and epilayers [7, 8, 9, and 10]. An understanding of the doping mechanism and of controlled and reproducible doping in AlN is needed to manufacture these vertical structures. A Si concentration of 3x1019 cm-3 is the upper doping limit for achieving n-type conductive Si-doped AlN. At that limit, the highest electron concentration of 9.5x1016 cm-3 has been obtained [11].

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Questions – contact: [email protected]

b. Natural Gas Feedstock and Fuel Substitution for Energy Efficient Manufacturing The recent emergence of new supplies of natural gas in the United States, along with the use of more energy efficient technologies, has the potential to increase competitiveness in American manufacturing [1, 2]. Point-of-use, on-demand production systems in miniaturized chemical processing systems could offer improved environmental and safety benefits [3]. The realization of these benefits depends on the availability of low cost, modular process technologies that overcome low economy of scale issues and mitigate demonstration risks [4]. Plasma reforming of natural gas offers the opportunity for process intensification [5]. Applications are sought to develop novel thermal and non-equilibrium (also called cold plasma) reactors for manufacturing valuable products from natural gas. Selective conversion is sought to produce useful products such as acetylene, carbon black, or high performance carbon materials. As this subtopic focuses on reactor development, proposals should clearly demonstrate existing pathways to integration of any necessary catalysts. Novel processes must show improvements to yield, selectivity, and economics compared to state-of-the art technology. Questions – contact: Stephen Sikirica, [email protected]

c. Carbon Fiber Production Processes Due to their high strength-to-weight ratio, stiffness, and outstanding corrosion resistance properties, carbon fiber composites can be used to lightweight: vehicles, next generation blades for wind and other turbine technologies, and high pressure storage tanks for natural gas and hydrogen. Several challenges remain for carbon fiber composites to achieve widespread adoption. Current carbon fiber technology relies primarily on polyacrylonitrile (PAN) precursors, a polymer of acrylonitrile (ACN). ACN in turn is made from petroleum (propylene) and natural gas (ammonia) feedstocks. The precursor PAN-based material is subject to convection heating in an oxidation oven and subsequent high-temperature carbonization. These processes are energy-intensive and generate high levels of off-gases that must be treated before being released. To reduce these problems, EERE has supported potentially lower-energy methods of converting precursor material to the final fiber form such as the development of atmospheric plasma technologies and microwave assisted plasma-based technologies. [1] Areas of particular interest include Low Energy Conversion of Polyacrylonitrile to Carbon Fiber: EERE is seeking innovative and novel processes that are less energy- and carbon- intensive compared to the standard oxidation and carbonization steps used to convert PAN-based precursors to carbon fiber. The deliverable for this area should demonstrate a minimum of 25% reduction in energy intensity over fiber production in current commercial practice. The deliverable must show, through the synthesis of carbon fiber, with sufficient experimental measurements and supporting calculations, that cost-competitive energy savings can be achieved with practical economies of scale. Applications should provide a path to scale up in potential Phase II follow on work. Applications involving the use of atmospheric plasma or microwave assisted plasma technologies are outside the scope of this topic area.



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Novel Catalytic Routes to Direct Synthesis of Carbon Fiber from Gas or Solution Phase Advances in the design and synthesis of solid atomically-precise enzyme-like catalytic structures offer the potential for direct conversion of low-cost chemicals to solid products [2-5]. AMO seeks to advance solid catalyst technology for the production of carbon fiber from low cost chemicals in a commercially competitive and scalable processing approach. The subtopic deliverable should demonstrate a minimum of 25% reduction in energy intensity over fiber production in current commercial practice. The deliverable must show, through the physics-based design and synthesis of atomically precise solid catalysts, (with sufficient experimental measurements and supporting calculations), that the technology could feasibly synthesize carbon fiber. It also must show that cost-competitive energy savings can be achieved with practical economies of scale. Applications should provide a path to demonstration of carbon fiber synthesis (if not actual synthesis), and to process scale up in potential Phase II follow on work. Questions – contact: Kelly Visconti, [email protected]

d. Novel Low Cost Recovery from Low Temperature Industrial Waste Heat The industrial sector accounts for about 31 Quads [1] of energy consumption, more than any other sector in the American economy. An estimated 20-50% [2] of this energy consumption is lost as waste heat. While some of this waste heat is at high temperatures, and is easily recovered using conventional recovery technologies, a substantial portion - as much as 60% [3] - is at temperatures below 450ºF, often in highly diffuse form. While thermo-electric (TE) technologies can be used to convert this heat directly into electricity, their low efficiencies (<10%) and high costs (>3$/watt) make them unattractive options. Advances in nanotechnology and nanofabrication have enabled new direct conversion (heat to electricity) technologies that have the potential to surpass the performance of TE systems. Some illustrative examples include plasmonics [4], thermionic emission [5], and vibration energy harvesting [6]. Applications are sought for novel low-cost approaches to direct energy conversion for low temperature (<450ºF) industrial waste heat streams that could significantly improve the energy efficiency of the industrial sector. Responses outside of the examples above are welcome, as they are for illustrative purposes only. Performance targets include a conversion efficiency between 20% to 30% (Electricity output measured as a fraction of thermal energy input) with a manufacturing cost <$1/W. The proposed technology must have adequate robustness for utilization in challenging industrial operations. Applications must show a credible path from early stage development through potential Phase II follow on work, to ultimate commercialization. Questions – contact: Bob Gemmer, [email protected]



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References: Subtopic a 1. A. Mills. (2006). Expanding Horizons for Nitride Devices & Materials. Nitride Devices Technical

Feature, III-Vs Review. The Advanced Semiconductor Magazine Volume 19. Issue 1. pp.25-33. http://www.sciencedirect.com/science/article/pii/S0961129006714764

2. B. Baliga. (2013). Gallium Nitride Devices for Power Electronic Applications. Semiconductor Science

and Technology. Volume 28. Issue 7. Available at http://iopscience.iop.org/0268-1242/28/7/074011

3. J. Millan. (2012). A Review of WBG Power Semiconductor Devices. Semiconductor Conference (CAS) 2012 International. Volume 1. pp. 57-66. Available at http://ieeexplore.ieee.org/xpls/abs_all.jsp?arnumber=6400696

4. Examples of Wide Bandgap. United States Department of Energy. http://www.greencarcongress.com/2013/06/arpae-20130613.html, http://www.arpa-e.energy.gov/sites/default/files/documents/files/SWITCHES_ProjectDescriptions_102113_0.pdf, http://arpa-e.energy.gov/?q=programs/solar-adept, http://www.arpa-e.energy.gov/?q=programs/adept, http://www.manufacturing.gov/doe-led_institutes.html

5. F. Yam, et al. (2011). Gallium Nitride: An Overview of Structural Defects. Optoelectronics-Materials and Techniques. ISBN: 978-953-307-276-0. Available at http://www.intechopen.com/books/optoelectronics-materials-and-techniques/gallium-nitride-an-overview-of-structural-defects

6. I. Yonenaga. (2003). High-temperature Strength of Bulk Single Crystals of III-V Nitrides. Journal of Material Science: Materials in Electronics. Volume 14. Issues 5-7. pp. 279-281. Available at http://link.springer.com/article/10.1023%2FA%3A1023903407378#

7. J. Hudgins, et al. (2003). An Assessment of Wide Bandgap Semiconductors for Power Devices. IEEE Transactions on Power Electronics. Volume 18. Issue 3. http://vtb.engr.sc.edu/vtbwebsite/downloads/publications/TransPELS03%20ANewAssessmentOfTheUseOfWideBandgap.pdf

8. J. Freitas. (2010). Properties of the State of the Art of Bulk III–V nitride Substrates and Homoepitaxial Layers. Journal of Physics: Applied Physics. Volume 43. Issue 7. pp. 073001(1)-073001(13). Available at http://iopscience.iop.org/0022-3727/43/7/073001

9. B. Gil. (2013). III-Nitride Semiconductors and their Modern Devices. Series on Semiconductor Science and Technology. Oxford University Press. Available at http://ukcatalogue.oup.com/product/9780199681723.do




http://ieeexplore.ieee.org/xpls/abs_all.jsp?arnumber=6400696

http://www.greencarcongress.com/2013/06/arpae-20130613.html

http://www.arpa-e.energy.gov/sites/default/files/documents/files/SWITCHES_ProjectDescriptions_102113_0.pdf

http://www.arpa-e.energy.gov/sites/default/files/documents/files/SWITCHES_ProjectDescriptions_102113_0.pdf

http://arpa-e.energy.gov/?q=programs/solar-adept

http://www.arpa-e.energy.gov/?q=programs/adept

http://www.arpa-e.energy.gov/?q=programs/adept

http://www.manufacturing.gov/doe-led_institutes.html

http://www.intechopen.com/books/optoelectronics-materials-and-techniques/gallium-nitride-an-overview-of-structural-defects

http://www.intechopen.com/books/optoelectronics-materials-and-techniques/gallium-nitride-an-overview-of-structural-defects

http://link.springer.com/article/10.1023%2FA%3A1023903407378

http://vtb.engr.sc.edu/vtbwebsite/downloads/publications/TransPELS03%20ANewAssessmentOfTheUseOfWideBandgap.pdf

http://vtb.engr.sc.edu/vtbwebsite/downloads/publications/TransPELS03%20ANewAssessmentOfTheUseOfWideBandgap.pdf


http://ukcatalogue.oup.com/product/9780199681723.do

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10. Z. Liliental-Weber. (2014). Structural Defects in GaN Revealed by Transmission Electron Microscopy. Japanese Journal of Applied Physics (JJAP). Volume 53. Issue 10. Available at http://iopscience.iop.org/1347-4065/53/10/100205

11. Y. Taniyasu, M. Kasu, & N. Kobayashi. (2002). Intentional Control of n-type Conduction for Si-doped AlN and AlXGa1−XN (0.42≤x<1). Applied Physics Letters. Volume 8. Issue 7. pp. 1255-1257. Available at http://www.researchgate.net/publication/257959115_Intentional_control_of_n-type_conduction_for_Si-doped_AlN_and_AlXGa1XN_(0.42__x1)

Subtopic b 1. The Future of Natural Gas (2011). An Interdisciplinary Massachusetts Institute of Technology Study.

http://web.mit.edu/ceepr/www/publications/Natural_Gas_Study.pdf 2. Fueling the Future with Natural Gas: Bringing It Home. (2014). IHS CERA.

http://www.fuelingthefuture.org/assets/content/AGF-Fueling-the-Future-Study.pdf

3. R. Srinivasan, et.al. (1997). Micromachined Reactors for Catalytic Partial Oxidation Reactions. AIChE Journal. Volume 43. Issue 11. pp. 3059-3069. Available at http://onlinelibrary.wiley.com/doi/10.1002/aic.690431117/abstract

4. A.M. Malik, S.A. Malik & X. Jiang. (1999). Plasma Reforming of Natural Gas to More Valuable Fuels. Journal of Natural Energy Chemistry, Vol. 8 No 2 1999. pp. 166-180. Available at http://www.jngc.org/EN/abstract/abstract8561.shtml

Subtopic c 1. R. Norris. (2013). Development and Commercialization of Alternate Carbon Fiber Precursors and

Conversion Technologies. ORNL/TM-2014/239. Available at http://www4.eere.energy.gov/vehiclesandfuels/resources/merit-review/content/development-and-commercialization-alternative-carbon-fiber-precursors-and-conversion

2. S. Hermans, et al. (2014). Atomically-Precise Methods for Synthesis of Solid Catalysts. Royal Society

of Chemistry. London. ISBN: 978-1-84973-829-3. Available at http://www.rsc.org/shop/books/2014/9781849738293.asp

3. Wet Chemical Synthesis of Atomically Precise Nanocatalysts. United States Department of Energy Office of Basic Energy Sciences Energy Frontier Research Center. http://www.efrc.lsu.edu/project1.html

4. Materials Synthesis. Institute for Atom Efficient Chemical Transformations. Argonne National Laboratory, http://web.anl.gov/catalysis-science/materials_synthesis.html

5. Center for Molecular Electrocatalysis. Pacific Northwest National Laboratory. http://efrc.pnnl.gov/


http://www.researchgate.net/publication/257959115_Intentional_control_of_n-type_conduction_for_Si-doped_AlN_and_AlXGa1XN_(0.42__x1)

http://www.researchgate.net/publication/257959115_Intentional_control_of_n-type_conduction_for_Si-doped_AlN_and_AlXGa1XN_(0.42__x1)

http://web.mit.edu/ceepr/www/publications/Natural_Gas_Study.pdf

http://www.fuelingthefuture.org/assets/content/AGF-Fueling-the-Future-Study.pdf

http://onlinelibrary.wiley.com/doi/10.1002/aic.690431117/abstract

http://www.jngc.org/EN/abstract/abstract8561.shtml

http://www4.eere.energy.gov/vehiclesandfuels/resources/merit-review/content/development-and-commercialization-alternative-carbon-fiber-precursors-and-conversion

http://www4.eere.energy.gov/vehiclesandfuels/resources/merit-review/content/development-and-commercialization-alternative-carbon-fiber-precursors-and-conversion

http://www.rsc.org/shop/books/2014/9781849738293.asp

http://www.efrc.lsu.edu/project1.html

http://web.anl.gov/catalysis-science/materials_synthesis.html

http://efrc.pnnl.gov/

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Subtopic d 1. Annual Energy Outlook 2014. United States Energy Information Administration.

http://www.eia.gov/forecasts/aeo/ 2. BCS, Inc. (2008). Waste Heat Recovery: Technology and Opportunities in U.S. Industry. United States

Department of Energy Industrial Technologies Program. http://www1.eere.energy.gov/manufacturing/intensiveprocesses/pdfs/waste_heat_recovery.pdf

3. BCS, Inc., 2008, page 54, http://www1.eere.energy.gov/manufacturing/intensiveprocesses/pdfs/waste_heat_recovery.pdf

4. Plasmonics, ISSN: 1557-1955, 1557-1963, http://link.springer.com/journal/11468

5. Thermionic Energy Conversion, https://quantum.soe.ucsc.edu/research/tec.html

6. Center for Energy Harvesting Materials and Systems (CEHMS), http://www.me.vt.edu/cehms/

12. BIOENERGY


Biomass is a clean, renewable energy source that can significantly diversify transportation fuels in the United States. The U.S. Department of Energy's Bioenergy Technologies Office (BETO) (http://energy.gov/eere/bioenergy) is helping to transform the nation's renewable and abundant biomass resources into cost-competitive, high-performance biofuels, bioproducts, and biopower. BETO is focused on forming partnerships with key stakeholders to develop, demonstrate, and deploy technologies for advanced biofuels production from lignocellulosic and algal biomass. All applications to this topic must:

• Be consistent with and have performance metrics (whenever possible) linked to BETO’s recently updated Multi-Year Program Plan (MYPP) that is available for download directly at: http://energy.gov/eere/bioenergy/downloads/bioenergy-technologies-office-multi-year-program-plan-july-2014-update

• Clearly define the proposed application, the merit of the proposed innovation, and the anticipated outcome with a special emphasis on the commercialization potential of the overall effort including Phase I and Phase II;

• Applications should provide a path to scale up in potential Phase II follow on work. • Include quantitative projections for price and/or performance improvement that are tied to

representative values included in the MYPP or in comparison to existing products. For

http://www.eia.gov/forecasts/aeo/

http://www1.eere.energy.gov/manufacturing/intensiveprocesses/pdfs/waste_heat_recovery.pdf

http://www1.eere.energy.gov/manufacturing/intensiveprocesses/pdfs/waste_heat_recovery.pdf

http://link.springer.com/journal/11468

https://quantum.soe.ucsc.edu/research/tec.html

http://www.me.vt.edu/cehms/

http://energy.gov/eere/bioenergy

http://energy.gov/eere/bioenergy/downloads/bioenergy-technologies-office-multi-year-program-plan-july-2014-update

http://energy.gov/eere/bioenergy/downloads/bioenergy-technologies-office-multi-year-program-plan-july-2014-update

46

example, projections of price or cost advantage due to manufacturing improvements, materials use, or design simplification should provide references to current practices and pricing to enable informed comparison to present technologies.


• Fully justify all performance claims with thoughtful theoretical predictions or experimental data.

a. Design and Fabrication of Solids Handling for Biomass Conversion Systems Lack of continuous solids handling is one of the main barriers to continuous operation of biomass conversion systems. Robust handlers are needed to continuously move biomass feedstock from ambient conditions into a controlled reactor environment. Grant applications are sought for designs, prototype equipment, and procedures that enable continuous biomass solids handling at 10% lower cost than currently available. The continuous handling into a controlled reactor environment must meet the in-feed specifications of the conversion technology Examples of in-feed specifications are located in two design reports (PNNL-23053/NREL/TP-5100-61178; NREL/TP-6A2-46588) that are available electronically at http://www.osti.gov/bridge. Consideration will be given to ideas that allow for multiple feedstocks, easy manufacturability (including use of non-specialized construction materials), or other features that would enable feedstock from ambient conditions to be continuously moved into the reactor environment used by multiple conversion technology providers. Questions – contact: Mark Elless, [email protected]

b. Low-Cost Coatings for Advanced Thermal Processes in Metal Combustors As the use of biomass increases for power, products and fuels, one challenge is the reliability of the combustors in the harsh conditions in the reacting zone (high-temperature typically >600°C, with some local hot spots up to ~800 to 900°C). One of the most challenging components at the higher temperatures is the combustor made from lower-cost metal alloys. In addition to surviving the high-temperatures, the combustor must endure a corrosion/materials challenge due to the presence of both aggressive chemicals such as halide salts (e.g. NaCl, KCl, etc.) and water vapor released from the biomass fuel (e.g. grass, wood, charcoal, agricultural residue). When the need for low-cost alloys to permit widespread adoption of sustainable feedstocks is also considered, these conditions pose a major durability/cost challenge. Grant applications are sought for the development of low-cost protective coatings for metal combustors. Coating approaches potentially of interest may include, but are not limited to: ceramic coatings, alloy coatings, aluminizing treatments, surface modifications/reactive surface treatments, thermal spray, wash coats, vapor deposition or sputtering (if sufficiently low cost), plating, and porcelains/enamels.

http://www.osti.gov/bridge

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For this application’s intended end-user market, the metal combustor component design must be produced for $5-10 (assume generic 0.5–1.0mm thick substrate alloy as a cylinder with a 15cm diameter and 30cm height), offer hot use lifetimes of several years (minimum of ~1000 hours per year) and comply with all federal, state and local emissions regulations. The candidate coatings should resist high-temperature corrosion, be compatible with lower-cost ferritic and/or austenitic substrate alloys (e.g. steels, 9Cr steels, lower alloyed 200 or 300 series stainless steels, FeCrAls), and be able to coat the (typically) curved inner surfaces of the combustor. Applicants must include a coating cost estimate task in the Phase I work plan This plan must include both coating raw material and processing for a simplified cylindrical wall inner surface (15 X 30 cm) that is projected for high volume production. The Phase I work plan should also include high-temperature corrosion screening assessments of the candidate coatings (small test sample form is acceptable) relative to the uncoated substrate alloy and/or a benchmark uncoated alloy such as a 300 series stainless steel or FeCrAl. The test conditions must be relevant to biomass, i.e. ≥ 600°C. Either lab furnace simulations or direct exposure are acceptable for Phase I work. The use of a salt or other relevant corrosive species in the high-temperature corrosion testing is encouraged but not required. Questions – contact: Neil Rossmeissl, [email protected].

c. Solid-Liquid Separations for Algal Systems The recent growth in bioenergy R&D focus on algal systems is due in part to their high growth rate and high oil content. However, cost reduction is required for algal energy to become widespread. The cost of solid-liquid separation, including algae concentration and dewatering, is a critical driver for initial capital, energy and resource costs of algal fuel and products. Algae grown in open ponds and photobioreactors are dilute (0.1–0.5 grams per liter) and currently require multiple concentration steps. Multiple separation technologies might substitute for these multiple process steps, but only if these technologies are integrated in an optimal (unit operation) fashion. The purpose of this subtopic is to support such integration. Specifically it seeks commercial processing technologies that as a unit operation produces slurry with 20–30% solids from a dilute 0.5 grams/liter algal feed. The applicant should consider as a minimum the following technology options [1] for integration:

• Vacuum Filters • Pressure Filters • Hydroclones • Screens and or sieving, and • Gravity tables

Other technologies, such as flocculation, may be considered, provided the evaluations in the application consider the cost of the chemicals. For the required comparison of energy and cost parameters, the applicant must use – as a baseline – the integration of dissolved air floatation with centrifuges to achieve the desired solids concentration. Applications must show a final 25–30% reduction in capital cost [2], a 20% reduction in energy demand, and a solids concentration of at least 20%. Questions – contact: Neil Rossmeissl, [email protected]



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References: Subtopic c 1. K. Erickson and J. Hedrick. (1999). Plant-Wide Process Control. Chapter 11. pp. 305-355. ISBN: 0-

471-17835-7. 1999 Chapter 11 (pp. 305-335). http://www.pacontrol.com/process-information-book/Solid%20Liquid%20Seperation%2093851_11.pdf

2. Process Automation Control. Online Training/Tutorial. http://www.pacontrol.com/

13. BUILDINGS


DOE’s Building Technologies Office (BTO) advances building energy performance through the development and promotion of efficient, affordable, and high impact technologies, systems, and practices. BTO’s long-term goal is to reduce buildings’ energy use by 50%, compared to a 2010 baseline. To secure these savings, research, development, demonstration, and deployment of next-generation building technologies in both the commercial and residential buildings sector are needed to advance building systems and components that are cost-competitive in the market. Energy efficient lighting has enormous potential to conserve energy and enhance the quality of our commercial, industrial and residential building inventory. Electric lighting now consumes ~1/10th of the primary energy delivered annually in the U.S., representing ~22% of the electricity produced. Energy storage and distributed generation technologies are used increasingly for base or peak load generation. BTO is dedicated to promoting the widespread and effective use of these technologies to meet its long term goal. Grant applications are sought in the following subtopics:

a. Energy Efficient Solid-State Lighting Luminaires, Products, and Systems The DOE has estimated that advancing energy efficient electric lighting in U.S. buildings could conserve more than 50% of lighting energy with corresponding savings in electricity costs to building operators. These technologies also could reduce costs with reductions in power generation load – especially during peak consumption. Although the DOE and the general illumination industry in North America have already realized substantial energy conservation in this end use, even more energy conservation is possible using advanced luminaire designs, constituent products and systems that take full advantage of the unique performance capabilities of Solid-State Lighting (SSL). This subtopic aims specifically at identifying and stimulating the commercial introduction of advanced and energy efficient SSL luminaires, SSL components and SSL systems in the three broadly defined categories below. All applications to this subtopic must:

http://www.pacontrol.com/process-information-book/Solid%20Liquid%20Seperation%2093851_11.pdf

http://www.pacontrol.com/process-information-book/Solid%20Liquid%20Seperation%2093851_11.pdf

http://www.pacontrol.com/

http://www1.eere.energy.gov/buildings/plans_implementation_results.html#program_plans

49

• Be consistent with and have performance metrics (whenever possible) linked to either the recently updated 2014 DOE SSL Multi-Year Program Plan (MYPP) [1] that is available for download directly at: http://apps1.eere.energy.gov/buildings/publications/pdfs/ssl/ssl_mypp2014_web.pdf or the DOE SSL Manufacturing Roadmap [2] available for download at: http://apps1.eere.energy.gov/buildings/publications/pdfs/ssl/ssl_mfg_roadmap_aug2014.pdf

• Clearly define the proposed application, the merit of the proposed innovation, and the anticipated outcome with a special emphasis on the commercialization potential of the overall effort including Phase I and Phase II;

• Include quantitative projections for price and/or performance improvement that are tied to representative values included in the MYPP or in comparison to existing products [3]. For example, projections of price or cost advantage due to manufacturing improvements, materials use, or design simplification should provide references to current practices and pricing to enable informed comparison to present technologies.


• Fully justify all performance claims with thoughtful theoretical predictions or experimental data.

SSL Luminaires and Lamps -- Today, SSL luminaires are widely available in an array of direct traditional source replacements and in common lamp replacements such as A-line lamps, PAR lamps, and small linear fluorescent lamps or compact fluorescent lamps. Luminaire designs are available with integrated SSL sources in flat panel architectures that directly replace wall sconces, decorative and safety lighting products and in suspended ceiling luminaires. New, novel and highly energy efficient designs are sought in any of these product areas that build on the unique performance attributes of the SSL source to achieve significant improvements in overall luminaires or lamp performance. Applications are sought for designs that are revolutionary, imaginative, impactful, and that could have a significant impact on introducing SSL in important general illumination markets. Designs that are already under development or that represent incremental or evolutionary improvements over current products are not of interest under this topic. SSL Components, contributing materials, constituents or integral products – Many individual components and materials (for advanced optoelectronic device packaging/manufacturing) are used in the manufacture of SSL including highly-engineered intermediate products. These components include power supplies, current spreading devices, out coupling enhancement lenses, and specialty materials such as index matching silicones and epoxies [1]. Applications are sought for replacements or alternatives to these intermediate components, materials, or constituents that could significantly advance the performance of SSL products while simultaneously reducing cost or manufacturing complexity. Such intermediate dedicated products might be part of a thermal management solution, optical delivery and management architecture, power supply, or some other aspect of a modern, energy efficient SSL design. Successful applications should represent innovative, high performance and cost-competitive alternatives. Incremental or evolutionary advancements to existing materials, constituents, or intermediate products are not of interest.

http://apps1.eere.energy.gov/buildings/publications/pdfs/ssl/ssl_mypp2014_web.pdf

http://apps1.eere.energy.gov/buildings/publications/pdfs/ssl/ssl_mfg_roadmap_aug2014.pdf


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SSL Systems – One of the most important performance attributes of SSL is their direct current (DC) operation, which makes them inherently compatible with digital controls, sensors (e.g. motion sensors, occupancy sensors, ambient light intensity and quality sensors) and DC renewable energy sources such as solar cells. This attribute, however is not typically a featured element or capability of commercial SSL products. If this traditionally unused attribute were incorporated into SSL product design, their inherent power compatibility with other digital peripherals (due to avoided DC to AC to DC conversion) could lead significant energy conservation. Self-commissioning lighting control systems that easily accommodate variations in interior décor or seasonal adjustments in lighting quality are an example of how novel integration and digital controls may be able to conserve lighting energy much more easily with SSL than with most traditional light sources. It is also possible that advanced controls and digital features could accelerate the market penetration of various SSL luminaires or lamps by adding valued features not presently available with traditional sources. BTO therefore seeks novel system designs or integrated product concepts that represent both novelty and innovation in concept as well as demonstrable lighting energy conservation potential. Questions – contact: James Brodrick, [email protected]

b. Integrated Storage and Distributed Generation for Buildings DOE’s BTO seeks to identify energy storage and distributed generation technologies not for emergency generation, but for base or peak load electricity generation in commercial and residential building stock. Applications must specify the intended market(s) for the technology and justify the improved performance relative to a representative building within that market. Preference will be given to technology solutions that are applicable to the existing building stock. Applicants are expected to provide quantitative analysis, with all assumptions clearly stated, that supports the performance and economic targets for the proposed technology. Areas of interest include: 1) Integrated thermal and/or electrical energy storage systems for buildings that could reduce carbon

emissions from the building sector by a minimum of 25% with the baseline defined by EIA [3]. Applications must meet the following requirements: Performance: Reduction in operating carbon emissions (not embodied) Minimum of 25% compared to an existing building (for retrofits) or a new building built to existing code. Greater carbon emissions reductions are anticipated for commercial buildings than residential buildings. Economics: Simple payback including a full balance-of-system (with installation and any complementary distributed generation technology).The simple payback can take into account time-of-


51

use and/or demand response utility rates, if applicable. Detailed justification that the calculated payback is acceptable for the intended market(s) 2) Building-Integrated Solar Electricity Generator (SEG) technologies to offset fossil-fuel primary

energy consumption by 10% and 5%, respectively, for residential and commercial buildings. This subtopic is not focused on developing new solar electricity generators (SEG), but rather seeks to integrate SEGs with building materials.

Applications must meet the following requirements:

• Performance • System integration (Inverter, storage, etc.) • Reliability, aesthetics etc. • Long-term durability relative to existing fire, structure, moisture, and acoustic codes;

applications should illustrate that the proposed technology will not have detrimental impacts on the building structure or thermal performance

• Economics • Cost of the integrated building material and SEG system • Calculation of simple payback (the replacement building materials could be used as

baseline); detailed justification that the calculated payback is acceptable for the intended market(s)

• Minimum added installation costs compared to replacement building materials All applications for this subtopic should include modest feasibility studies in Phase I, and transition to manufacturing in Phase II. BTO strongly encourages applicants to include a strategy for obtaining partners in the building material industry by the end of Phase 1 as a part of their commercialization plan. Successful applications will offer products or components that provide value to customers at a greatly reduced cost (compared to the state-of-the art) or by being readily reconfigured to meet evolving market trends. All applications to this subtopic must:

• Clearly define the proposed application of the technology, the merit of the proposed innovation, and the anticipated outcome of the overall effort including Phase I and Phase II

• Demonstrate commercial viability with a quantifiable return-on-DOE-investment as described elsewhere in this FOA.

Questions – contact: Karma Sawyer, [email protected] References: Subtopic a


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1. Solid-state Lighting Research and Development. (2014). United States Department of Energy Energy Efficiency and Renewable Energy. http://apps1.eere.energy.gov/buildings/publications/pdfs/ssl/ssl_mypp2014_web.pdf

2. Solid-state Lighting Research and Development Manufacturing Roadmap. United States

Department of Energy Energy Efficiency and Renewable Energy. http://apps1.eere.energy.gov/buildings/publications/pdfs/ssl/ssl_mfg_roadmap_aug2014.pdf

3. Annual Energy Outlook 2014. (2014). United States Energy Information Administration. http://www.eia.gov/forecasts/aeo/

Subtopic b 1. Overall Sector Wide Emissions.

http://www.eia.gov/oiaf/aeo/tablebrowser/#release=AEO2014&subject=13-AEO2014&table=17-AEO2014&region=1-0&cases=ref2014-d102413a

2. Overall Sector Wide Energy Consumption.


3. Alternatively, applicants may use one number per state using the following table; however, they are expected to show the technologies’ performance at a national level http://www.eia.gov/environment/emissions/state/analysis/pdf/table7.pdf

14. FUEL CELLS


The Office of Energy Efficiency and Renewable Energy’s Fuel Cell Technologies Office (FCTO) (http://www1.eere.energy.gov/hydrogenandfuelcells) works in partnership with industry (including small businesses), academia, and DOE's national laboratories to establish fuel cell and hydrogen energy technologies as economically competitive contributors to U.S. transportation needs. A roadmap for the development of fuel cell and hydrogen technologies that guides FCTO investments aimed at lowering the related risks and costs can be found here: http://energy.gov/eere/fuelcells/fuel-cell-technologies-office-multi-year-research-development-and-demonstration-plan. The FCTO aims to build on other early niche market successes in applications such as fuel cell-powered lift trucks by helping industry initiate another market in motive power applications and enable a robust domestic supply base. The FCTO Market Transformation subprogram helps drive down costs, develops a supply base, and provides a strategic pathway to high volume manufacturing as part of establishing an industry in transportation applications. This subprogram is a key component that moves

http://apps1.eere.energy.gov/buildings/publications/pdfs/ssl/ssl_mypp2014_web.pdf


http://www.eia.gov/forecasts/aeo/





http://www.eia.gov/environment/emissions/state/analysis/pdf/table7.pdf

http://www1.eere.energy.gov/hydrogenandfuelcells

http://energy.gov/eere/fuelcells/fuel-cell-technologies-office-multi-year-research-development-and-demonstration-plan

http://energy.gov/eere/fuelcells/fuel-cell-technologies-office-multi-year-research-development-and-demonstration-plan

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technologies from the laboratory to self-sustaining commercialization in the marketplace. The subprogram’s market-acceleration strategy evaluates and aids deployment of commercially ready fuel cell technology applications. The primary goal of the Market Transformation subprogram is to increase penetration of hydrogen and fuel cell technologies in key early markets by developing business cases for emerging commercial applications. Grant applications are sought in the following subtopics:

a. Fuel Cell-Battery Electric Hybrid for Utility or Municipal MD or HD Bucket Trucks Medium duty (MD) and heavy duty (HD) vehicles (Classes 3-8) consume 22% of the petroleum used annually by the United States vehicle fleet. This oil usage is driven primarily by the size of the vehicle fleet—about 11.9 million vehicles—and the age of the vehicle fleet, with about 4.2 million pre-2000 vehicles in operation. Low fuel economies and a slow turnover rate, with new vehicle sales averaging about 600,000 units annually, have resulted in continued high oil usage in class 3-8 vehicles. While diesel engines now dominate new vehicle sales of class 3-8 vehicles [1], the diesel share is declining. This decline is partly due to an increase in other types of vehicles including those based on gasoline engines; flex fuel engines, and alternative fuel engines, such as compressed natural gas engines and plug-in hybrid electric (PHEV) engines. Vehicle electrification is underway for MD and HD bucket trucks, which are used by line crews employed by electric utilities, natural gas utilities, telecommunications companies, and municipalities. These trucks typically spend a significant amount of time (and diesel fuel) idling at the work site to power the truck’s hydraulic boom, lights, auxiliary equipment, and cabin heating and cooling. Work crews also use emergency generators to supplement the power provided by the bucket trucks’ internal combustion engines. Electric Power Take-off (ePTO) systems have been commercially introduced as a clean technology alternative to combustion engine idling to provide remote power to work crews [2]. The ePTO systems use batteries that are integrated into the bucket trucks, both with and without drivetrain integration. These batteries are either charged by the grid or while driving between work sites. The FCTO seeks applications with projects that develop and demonstrate polymer electrolyte membrane (PEM) fuel cell-battery electric hybrid trucks for MD or HD bucket trucks with drivetrain-integrated ePTO systems. Low temperature PEM fuel cells operate on hydrogen fuel at relatively low temperature and are well-suited to both motive and stationary operation. PEMFCs are considered a key electric energy-conversion technology for this application. EPTO systems have an onboard inverter and a transfer switch breaker to enable the vehicle to serve as a portable backup power unit to support critical loads during power outages, thus eliminating the need for engine idling or use of remote generators including during emergencies, such as extended power outages. Utility and municipal fleets are a critical first market on the path to mainstream electrification. This subtopic aims to accelerate the development and production of cost-effective on-board, fuel cell-battery electric drivetrains that substantially increase the electric driving range and remote exportable power capabilities of bucket trucks used by utilities and municipalities.

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Applications are sought for technology and business solutions that will help: establish a business case, mitigate the cost of hydrogen fuel infrastructure, supplement utility industry evaluations of introducing hydrogen generation on their grids, and demonstrate fuel cell-battery electric hybrid truck technologies. Expected Outcomes Phase I

• A design feasibility analysis and plan describing the power system and truck designs and specifics (e.g. cost, performance requirements). Plans should use well established references, including a model analysis report [3] by Argonne National Laboratory: “The Benefits of Using a Fuel Cell Auxiliary Power Unit to Double the Range of Current Battery Electric Vehicles,” as guides for planning hydrogen fuel consumption, cost trade-offs, and other impacts of using a small fuel cell to extend the driving range of a battery electric vehicle.

• An economic assessment, including a payback analysis, concerning the use of hydrogen-fueled PEM fuel cells for fuel cell hybrid trucks used as MD or HD bucket trucks with drivetrain-integrated ePTO systems. Assessments should include intrinsic value proposition factors such as any operations or productivity gains (e.g. avoided residential community noise, energy and petroleum fuel savings, scheduled maintenance advantages, emissions reductions, availability of remote power during extended outages or remote service calls, and other benefits).

Phase II

• One (1) fuel cell power system unit (approximately10 to 30 kW) delivered and installed on commercially available MD or HD bucket truck with drivetrain-integrated ePTO system and tested for a minimum of 200 hours of real world operations.

• Final report describing operations testing performance results and a commercialization plan.

Questions – contact: Peter Devlin, [email protected] Applicants to Technology Transfer Opportunity (TTO) subtopic below should review the section describing Technology Transfer Opportunities on page 9 of this document prior to submitting applications.

b. TECHNOLOGY TRANSFER OPPORTUNITY: In-line Quality Control Devices Applicable to PEM Fuel Cell MEA Materials

The FCTO has supported Manufacturing R&D to address industry-identified technical barriers to the scale-up of PEMFCs for mobile, stationary, and portable applications. One barrier to scale-up is the lack of in-line quality control techniques developed and validated for the continuous (roll-to-roll) production of membrane-electrode-assembly (MEA) components. FCTO supports the development and validation of in-line quality control techniques for MEA components production. The FCTO has funded


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the National Renewable Energy Laboratory (NREL) to develop non-destructive techniques with the resolution, sensitivity, and measurement rate to tackle this barrier. NREL has developed a suite of techniques applicable across all of the MEA components and has begun validating these techniques with state-of-the-art MEA materials. For example, NREL has used a direct current excitation/infrared detection diagnostic to map out material defects in moving gas diffusion media and catalyst-coated membrane sheets on a manufacturing webline. The thermal response from the fuel cell material (or absence of signal from a defect) is captured by an infrared camera. In addition, NREL has used an optical reflectance diagnostic to map material thickness and defects in moving membrane sheets on a manufacturing web-line. The reflectance signal from the fuel cell material (or absence of signal from a defect) is captured by an array detector. To encourage industry’s uptake of these technologies, DOE seeks small businesses to design and develop commercially viable Quality Control (QC) devices for ultimate implementation by fuel cell and fuel cell component manufacturers. DOE expects that these devices could be applicable to a wide variety of industries and material sets beyond PEM fuel cell MEA components. Applications are sought that meet the critical need for in-line quality control devices for PEM fuel cell MEA component manufacturing processes. Awardees must design and fabricate a QC device that is readily implementable in a roll-to-roll production line for the production of one or more MEA component materials. It is expected that the successful applicant will, using their own expertise in developing similar techniques, work to improve the resolution, sensitivity, measurement speed, or other critical parameters of the device. Awardees must develop a marketing plan for the device that would include but not be limited to the PEMFC industry, based on existing, emerging, and expected markets. The work that is envisioned must involve Technical Transfer of NREL IP on optical techniques for monitoring continuous manufacturing of proton exchange membrane fuel cell components (U.S. Patent Application US13/405,129). Licensing Information: National Renewable Energy Laboratory Contact: Anne Miller ([email protected]; 303-384-7353); Ty Ferretti ([email protected]; 303-275-4353) Patent Status: U.S. PatentApplication: US13/405,129 USPTO Link: http://appft1.uspto.gov/netacgi/nph-Parser?Sect1=PTO1&Sect2=HITOFF&d=PG01&p=1&u=/netahtml/PTO/srchnum.html&r=1&f=G&l=50&s1=20130226330.PGNR. Questions – contact: Nancy Garland, [email protected] References: Subtopic a 1. Reference for diesel with a 77.5% share at the end of March 2014.



http://appft1.uspto.gov/netacgi/nph-Parser?Sect1=PTO1&Sect2=HITOFF&d=PG01&p=1&u=/netahtml/PTO/srchnum.html&r=1&f=G&l=50&s1=20130226330.PGNR




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2. Edison Electric Institute. (2014). Transportation Electrification: Utility Fleets Leading the Charge.

June 2014. www.eei.org/issuesandpolicy/electrictransportation/FleetVehicles/Documents/EEI_UtilityFleetsLeadingTheCharge.pdf

3. P. Sharer & A. Rousseau. (2013). Fuel Cells as Range Extenders for Battery Electric Vehicles. Department of Energy Hydrogen Program and Vehicle Technologies Annual Merit Review. Project ID Number MT012. May 15, 2013. Available at http://www.hydrogen.energy.gov/pdfs/review13/mt012_rousseau_2013_o.pdf

Subtopic b 1. National Renewable Energy Laboratory. (2014). Fuel Cell MEA Manufacturing R&D. June 18, 2014.

Presentation available at http://www.hydrogen.energy.gov/pdfs/review14/mn001_ulsh_2014_o.pdf

2. M. Ulsh, et al. (2014). (2007). Fuel Cell Membrane Electrode Assembly Manufacturing R&D. July 16, 2007. http://www.hydrogen.energy.gov/pdfs/progress13/vi_1_ulsh_2013.pdf

15. GEOTHERMAL


The heat energy from the earth represents an enormous and underutilized domestic resource. The Office of Energy Efficiency and Renewable Energy’s Geothermal Technologies Office (GTO) (www1.eere.energy.gov/geothermal/) works in partnership with industry (including small businesses), academia, and DOE's national laboratories to establish geothermal energy as an economically competitive contributor to the U.S. energy supply. Information on GTO priorities and future directions can be found in the fiscal year 2015 Budget overview at http://energy.gov/sites/prod/files/2014/03/f9/fy15_at-a-glance_gto.pdf. In 2013, GTO outlined the underlying technology needs that will guide research and ultimately determine commercial success for geothermal energy production. Two strategic roadmaps trace the Energy Department's investments, past and present, and tie them to these needs to guide future GTO research. The report for geothermal exploration technologies can be found here: http://www.eere.energy.gov/geothermal/pdfs/exploration_technical_roadmap2013.pdf, and the report for Enhanced Geothermal Systems (EGS) can be found here: http://www.eere.energy.gov/geothermal/pdfs/stanford_egs_technical_roadmap2013.pdf. GTO also conducts research, development, and demonstration projects throughout the United States on low-temperature and coproduced geothermal and geopressured resources. Recent funding opportunities have enabled GTO to support work that extends into sedimentary basins, including

http://www.eei.org/issuesandpolicy/electrictransportation/FleetVehicles/Documents/EEI_UtilityFleetsLeadingTheCharge.pdf

http://www.eei.org/issuesandpolicy/electrictransportation/FleetVehicles/Documents/EEI_UtilityFleetsLeadingTheCharge.pdf

http://www.hydrogen.energy.gov/pdfs/review13/mt012_rousseau_2013_o.pdf

http://www.hydrogen.energy.gov/pdfs/review14/mn001_ulsh_2014_o.pdf

http://www.hydrogen.energy.gov/pdfs/progress13/vi_1_ulsh_2013.pdf

http://energy.gov/sites/prod/files/2014/03/f9/fy15_at-a-glance_gto.pdf

http://www.eere.energy.gov/geothermal/pdfs/exploration_technical_roadmap2013.pdf

http://www.eere.energy.gov/geothermal/pdfs/stanford_egs_technical_roadmap2013.pdf

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geothermal resources collocated within oil and natural gas fields. GTO strives to demonstrate innovative technologies that will lead to advanced geothermal and geopressured energy use and electricity production in these currently underutilized resource areas. All applications to this topic must include:

• Specific performance metrics that, whenever possible, are consistent with and linked directly to the GTO roadmaps and priorities as described above,

• a description of the merit of the proposed innovation, • anticipated outcomes of Phase I and Phase II, • a path to phase up to potential Phase II follow on work, and a • full justification for all performance claims based on thoughtful theoretical predictions or

experimental data. Grant applications are sought in the following subtopics:

a. Innovative Products or Technologies that Develop New Markets/Revenue Streams for Geothermal Energy GTO seeks to fund the development and commercialization of innovative products or technologies that will expand current markets utilizing geothermal energy for electricity production or direct use applications. A major hindrance to the wider development and use of geothermal energy is high capital costs, modest market size, and limited technology penetration, which contribute to a lag in creating needed economies of scale. In the context of this subtopic, we define geothermal energy as any useful application of naturally occurring heat from beneath the earth’s surface; however, GTO specifically excludes from this subtopic products or technologies that are solely improvements to geothermal ground source heat pumps. Expanding market accessibility to geothermal energy and technologies directly supports the President's Climate Action Plan goals of doubling renewable electricity generation by 2020 and doubling energy productivity by 2030. As part of a response to this subtopic, applicants must clearly define their target market, describe why geothermal energy has either not been developed or has been under-utilized within that market, and describe how their proposed product or technology will increase wider penetration of geothermal energy. These markets can be geographic (i.e. eastern United States), new technological applications (i.e. power storage or other ancillary services), new revenue streams (i.e. cascading direct use), or others. GTO welcomes all innovations, whether they are high definition subsurface imaging or a waste heat bottoming cycle, so long as the applications include a detailed explanation of how the proposed product or technology could expand market availability to the geothermal energy sector. The applicant also must show how the proposed innovation will lead to a reduction in the risks and/or cost of geothermal energy technology development leading to new market commercialization. Questions – contact: Josh Mengers, [email protected]

http://www.whitehouse.gov/sites/default/files/image/president27sclimateactionplan.pdf


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Applicants to Technology Transfer Opportunity (TTO) subtopic below should review the section describing Technology Transfer Opportunities on page 9 of this document prior to submitting applications.

b. TECHNOLOGY TRANSFER OPPORTUNITY: Enabling Geothermal Co-produced Applications by Employing Electromagnetic Manipulation of Magnetizable Oil Coproduced resources use heat and/or pressure in fluids produced from oil, gas, and other material harvesting processes to generate electricity as well as in direct use applications. While the quality of the resource depends on water volume and temperature, these technologies have the potential to add value streams to existing operations. Applications for low-temperature geothermal energy beyond power generation (including material extraction, industrial processes, space heating and cooling, aquaculture, agricultural drying, water purification, and radiant heating) continue to gain ground in the United States. Improving current oil/gas/water separation technologies has the potential to enable wider use of coproduced geothermal resources. GTO seeks to fund the further development and commercialization of the electromagnetic manipulation of magnetizable oil (U.S. Patent No. 8795519-Fermi National Accelerator Laboratory) to create a product that separates hydrocarbons from other produced fluids to enable geothermal coproduced applications. For example, the technology can be used as part of a water purification system or a mineral recovery system. The application should make clear how the technology could reduce the costs of operation/waste disposal or add value by the recovery of a useful resource. In order to be selected, the proposed technology must incorporate the use of geothermal resources, which can be accomplished either by using the coproduced resource to power the operation of the technology or by clearly showing how the byproduct streams enable the coproduced resource to be further developed economically. The proposed technology also must be able to operate at commercial flow rates of a minimum of 10,000 barrels per day total volume, with the ability to accommodate larger volumetric flow rates preferred. The proposed technology should offer an improvement over current state of the art for the removal of dispersed oil, which consists of small droplets suspended in the aqueous phase that are typically 4-6 microns in size. Current treatment systems typically cannot remove droplets smaller than 10 microns. An ancillary goal of this project is to treat produced waters to the EPA limit of oil and grease (O&G) which is 42 mg/L daily maximum. Fermi National Accelerator Laboratory Information: Licensing Information: Fermi National Accelerator Laboratory Contact: Cherri Schmidt ([email protected]; 630-840-5178) TTO Tracking number: FAA-815 Patent Status: U.S. Patent 8,795,519 Issued 5 August 2014 USPTO Link: http://patft.uspto.gov/netacgi/nph-Parser?Sect1=PTO2&Sect2=HITOFF&p=1&u=%2Fnetahtml%2FPTO%2Fsearch-bool.html&r=1&f=G&l=50&co1=AND&d=PTXT&s1=%22electromagnetic+boom%22&OS= Questions – contact: Josh Mengers, [email protected]


http://patft.uspto.gov/netacgi/nph-Parser?Sect1=PTO2&Sect2=HITOFF&p=1&u=%2Fnetahtml%2FPTO%2Fsearch-bool.html&r=1&f=G&l=50&co1=AND&d=PTXT&s1=%22electromagnetic+boom%22&OS




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References: Subtopic b 1. J. Veil, et al. (2004). A White Paper Describing Produced Water from Production of Crude Oil,

Natural Gas, and Coal Bed Methane. Prepared by Argonne National Laboratory for the United States Department of Energy, National Energy Technology Laboratory. http://seca.doe.gov/technologies/oil-gas/publications/oil_pubs/prodwaterpaper.pdf

2. A. Fakhru’l-Razi, et al. (2009). Review of Technologies for Oil and Gas Produced Water Treatment.

Journal of Hazardous Materials. Volume 170 Issues 2-3. pp. 530-551. Available at http://www.sciencedirect.com/science/article/pii/S030438940900778X

3. Balch, Robert, et al. (2012). Cost-Effective Treatment of Produced Water Using Co-Produced Energy Sources for Small Producers. RPSEA Small Producer Program Final Report. Available at http://www.rpsea.org/projects/07123-05/

16. SOLAR


The Office of Energy Efficiency and Renewable Energy’s SunShot Initiative (SunShot) (http://energy.gov/eere/sunshot/sunshot-initiative) is working in partnership with industry, academia, national laboratories, and other stakeholders to achieve subsidy-free, cost-competitive solar power by 2020. The potential pathways, barriers, and implications of achieving the SunShot Initiative price reduction targets and resulting market penetration levels are examined in the SunShot Vision Study (http://www1.eere.energy.gov/solar/sunshot/vision_study.html). In this topic, SunShot seeks applications for the development of innovative and impactful technologies in the areas of: (a) Analytical and Numerical Modeling and Data Aggregation (b) Concentrating Solar Power: Novel Solar Collectors (c) Concentrating Solar Thermal Desalination (d) Grid Performance and Reliability (e) Labor Efficiencies through Hardware Innovation Applications may be submitted to any one of the subtopics listed above but all applications must:

• Propose a tightly structured program which includes technical milestones that demonstrate clear progress, are aggressive but achievable, and are quantitative;

http://seca.doe.gov/technologies/oil-gas/publications/oil_pubs/prodwaterpaper.pdf

http://www.sciencedirect.com/science/article/pii/S030438940900778X

http://www.rpsea.org/projects/07123-05/

http://energy.gov/eere/sunshot/sunshot-initiative

http://www1.eere.energy.gov/solar/sunshot/vision_study.html

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• Include projections for price and/or performance improvements that are tied to a baseline (i.e. SunShot targets and/or state of the art products or practices);

• Explicitly and thoroughly differentiate the proposed innovation with respect to existing commercially available products or solutions;

• Include a preliminary cost analysis; • Justify all performance claims with theoretical predictions and/or relevant experimental data

Grant applications are sought in the following subtopics:

a. Analytical and Numerical Modeling and Data Aggregation The capability to efficiently collect, store, manipulate, and visualize vast, diverse, and complex streams of data can transform the operations of stakeholders throughout the solar value chain: from electric utilities managing distributed generation on their infrastructure; to solar fleet operators designing maintenance schedules; to solar sales lead generations seeking to reduce customer acquisition soft costs. Applications are sought for the development of innovative data and simulation tools. Tools should provide actionable insights; use existing datasets or collect non-redundant datasets; and advance state-of-the-art modeling and visualization techniques. Areas of interest include, but are not limited to: (1) predictive analytics applied to solar resource forecasting, accurate technology adoption prediction, or operation and maintenance modeling; (2) advanced performance verification and validation tools; (3) novel techniques of and methods for capturing, aggregating, and analyzing structured or unstructured datasets; (4) aggregation and anonymization of solar performance and reliability data from residential, commercial, and utility scale installations to assign actionable, credible statistics for financing and underwriting; (5) consumer-facing decision-making platforms leveraging social and new media; and (6) incorporation of nearly real-time energy consumption data (e.g., applying smart meter data). Areas not of interest include device-level modeling. Questions – contact: [email protected]

b. Concentrating Solar Power: Novel Solar Collectors Concentrating solar power (CSP) collectors capture the solar flux and direct the photons to a receiver, where they are converted to heat. The heat is then typically absorbed by a fluid and transferred to a thermal energy storage unit or to a power block, where it is used to generate electricity. Collectors can be categorized as (i) non-tracking, (ii) single-axis tracking and (iii) dual-axis tracking. The greater the tracking control, the smaller the cosine losses. But this improved performance typically is at the expense of higher tracking costs. Well-established, commercial CSP collector designs include parabolic troughs and heliostats. Linear Fresnel and parabolic dish collectors have also been demonstrated, albeit at a smaller scale. CSP collector costs (including direct, indirect and O&M costs) were estimated in 2013 to account for approximately 40% of the levelized cost of electricity (LCOE) of a CSP power tower plant.


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This subtopic seeks applications that demonstrate novel collector designs that could significantly reduce the contribution of solar collectors to CSP plant cost and surpass the 2020 SunShot CSP cost targets. Such collector designs may include optical waveguides with minimal-to-no tracking and microfluidics. (Note that low cost CS collector designs are also of interest in the subtopic “Concentrating Solar Thermal Desalination”.) The performance of CSP collectors is intimately coupled to the type of thermal receiver and heat transfer fluid. Successful applicants must demonstrate ability to meet the 2020 SunShot technical and cost targets for the solar collector subsystem (http://energy.gov/eere/sunshot/collectors-rd-csp-systems) in concert with the thermal receiver targets (http://energy.gov/eere/sunshot/receiver-rd-csp-systems) and the heat transfer fluid targets (http://energy.gov/eere/sunshot/multidisciplinary-university-research-initiative-high-operating-temperature-fluids). Questions – contact: [email protected]

c. Concentrating Solar Thermal Desalination Competing demands for fresh water — among ecosystems, agriculture, municipalities, and industries — are affecting the value and availability of the critical fresh water resource. Three salt water desalination techniques are currently in use globally to produce fresh water from salt water at the industrial scale: reverse osmosis (RO), multi-stage flash distillation (MSF), and multi-effect distillation (MED). RO, the most widely deployed technique, filters water using a membrane to remove particulates. The major energy requirement is electricity to pump and pressurize the feed water. MSF thermally vaporizes salt water in a low-pressure chamber and directs the resultant steam into a collection reservoir where it is condensed. MSF plants require heat for creating the steam and electricity for pumping. MED is similar to MSF, but rather than a single low-pressure chamber, a series of chambers is utilized, each with a lower pressure than the preceding chamber. As with MSF, MED requires both thermal and electrical energy, but MSF has the advantage of being able to operate at a lower brine water temperature. The industrial-scale and heat requirements of MSF and MED make concentrating solar thermal desalination a potentially value-adding, cost-reducing alternative to conventional sources of thermal energy for desalination. In addition, concentrating solar thermal MSF and MED systems use lower-cost renewable energy; have lower sensitivity to water salinity; can more easily operate off-grid; have reduced demand for high-value electricity; and produce less chemical waste than RO systems. However, large-scale solar thermal MSF and MED are approximately four times more expensive than RO (given a cost of nearly $2.00/m3 of fresh water). This subtopic seeks to identify and invest in concentrating solar thermal MSF and MED technologies that can meet and beat RO desalination costs (~$0.50/m3 fresh water) by reducing the levelized cost of solar thermal energy (in terms of $/kWhth). By targeting a relatively low temperature output (<150°C for thermal desalination vs. >650°C for cost-effective solar electric power generation), ultra-low cost solar thermal collection strategies can reduce energy costs. Use of non-tracking collectors (to eliminate expensive drive/control mechanisms), low-cost materials (e.g. polymers), reduced site preparation (to


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enable rapid field construction), and integration with low-cost, low-temperature thermal energy storage, in addition to other innovations, could lower the cost of the heat input such that concentrating solar desalination can compete with RO desalination. Questions – contact: [email protected]

d. Grid Performance and Reliability The SunShot Systems Integration (SI) Grid Performance and Reliability activity area focuses on achieving high penetration of solar generation at both the transmission and distribution levels in a cost-effective manner, while ensuring safety and reliability of the grid. It is SunShot’s intent to not only preserve but also enhance the performance and reliability of the entire power system operating with high penetration of solar generation. SunShot SI target metrics are as follows:

• High penetration of solar generation at levels greater than 100% of today’s peak load • Reduced interconnection approval time for solar projects to less than 1 week on average • Reduced interconnection costs for solar projects to less than USD $1,000 on average • Exceeding present and future ANSI, IEEE and NERC grid performance standards

(http://grouper.ieee.org/groups/scc21/1547/1547_index.html) Applications are sought for advanced methodology and software that will interface with existing utility legacy software and hardware systems to (i) aggregate, visualize, analyze and control multiple photovoltaic (PV) generation installations at the distribution feeder, substation and sub-transmission level in real-time; (ii) collect, analyze and process enormous and complex amount of feeder, load and PV data in real-time; (iii) quantify and analyze both positive and negative impacts of PV on the four distribution reliability metrics (System Average Interruption Duration Index (SAIDI),System Average Interruption Frequency Index (SAIFI), Customer Average Interruption Duration Index (CAIDI) and Average Service Availability Index (ASAI)) that are based on economic, technical and time series analysis; (iv) create engineering analysis tools for distribution planning and operation to pro-actively mitigate before a perturbation occurs, potential high PV penetration grid impacts; (v) provide a cloud-based “hub” for electric utilities to access the various advanced PV tools, PV engineering analysis best-practices, technical resources and reliability benchmarking; and (v) expedite the utility PV interconnection technical screening process and lower interconnection costs. Applications are also sought for advanced open source tools that automate data exchange between PV and utility software systems and promote interoperability between existing utility legacy software and new systems. Emerging bulk transmission and dynamic open source distribution engineering analysis software, combined with innovative hardware systems for data acquisition, predictive analysis, and real-time visualization, enables the utility to quickly and effectively model aggregated potential high PV grid impacts, recommend mitigation solutions, and provide advanced capabilities for system planning and grid operations with high penetration of PV. With these innovative tools, utilities’ concerns about the uncertainty of PV impact on the grid are significantly decreased, thereby allowing higher level of PV penetration to be integrated on the distribution system. In addition, these advanced tools can significantly enhance the utility distribution planning and operational capability, reduce the expensive


http://grouper.ieee.org/groups/scc21/1547/1547_index.html

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interconnection study fees paid by developers, reduce turnaround time for initial determination, allow more PV installations to pass the interconnection screens, and ultimately expedite cost-effective deployment of PV generation on distribution and transmission systems. Questions – contact: [email protected]

e. Labor Efficiencies through Hardware Innovations Installing a photovoltaic (PV) system requires both electrician and non-electrician labor such as assembling the module, racking and mounting or ballasting it, running conduit, and connecting the inverter, meter, and disconnect. In the United States, PV installation is complicated by the heterogeneity of installation platforms, component materials, electric systems, and utility requirements making streamlining efforts more difficult. Optimizing system performance typically requires both a custom system design and a custom installation—each with added costs. Applications are sought for hardware innovations that reduce installation labor costs** by increasing labor efficiency or reducing the process complexity required to install a PV system. Installation cost reduction opportunities include: (1) integrated racking, which reduces balance of system hardware; (2) module-integrated electronics, which reduces cable runs; (3) prefabrication, which streamlines installation; and (4) 1,000-volt direct current technologies, which enables more modules wired together per string. Successful applicants must quantify the achievable cost reductions and justify the economic viability of the proposed product assuming near term (<5 years) industry deployment. (**The SunShot Initiative targets a reduction in total commercial installation labor costs from $0.42/W in 2010 to $0.07/W by 2020; for residential systems, $0.59/W to $0.12/W, respectively). Questions – contact: [email protected]

17. VEHICLES


EERE’s Vehicle Technologies Office (VTO) (www1.eere.energy.gov/vehiclesandfuels/) focuses on reducing the cost and improving the performance of vehicle technologies that can reduce petroleum dependency, including advanced batteries, electric traction drive systems, lightweight materials, advanced combustion engines, and advanced fuels and lubricants. VTO supports the development and deployment of advanced vehicle technologies, including advances in electric vehicles, engine efficiency, and lightweight materials. Since 2008, the Department of Energy has reduced the costs of producing electric vehicle batteries by more than 35%. DOE has also pioneered better combustion engines that have saved billions of gallons of petroleum fuel, while making diesel vehicles as clean as gasoline-fueled vehicles.



http://www1.eere.energy.gov/vehiclesandfuels/

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Applications that duplicate research already in progress will not be funded; all submissions therefore should clearly explain how the proposed work differs from other work in the field. Grant applications are sought in the following subtopics:

a. Electric Drive Vehicle Batteries Applications are sought to develop electrochemical energy storage technologies which support commercialization of micro, mild, and full HEVs, PHEVs, and EVs. Some specific improvements of interest include, but are not limited to, the following: new low-cost materials; high voltage and high temperature non-carbonate electrolytes; improvements in manufacturing processes, speed, or yield; improved cell/pack design minimized inactive material; significant improvement in specific energy (Wh/kg) or energy density (Wh/L); and improved safety. Applications must clearly demonstrate how they advance the current state of the art and meet the relevant performance metrics listed at www.uscar.org/guest/article_view.php?articles_id=85. When appropriate, technology should be evaluated in accordance with applicable test procedures or recommended practices as published by the Department of Energy (DOE) and the U.S Advanced Battery Consortium (USABC). These test procedures can be found at www.uscar.org/guest/article_view.php?articles_id=86. Phase I feasibility studies must be evaluated in full cells (not half cells) greater than 200mAh in size while Phase II technologies should be demonstrated in full cells greater than 2Ah. Applications will be deemed non-responsive if the proposed technology is high cost; requires substantial infrastructure investments or industry standardization to be commercially viable; and/or cannot accept high power recharge pulses from regenerative breaking or has other characteristics that prohibit market penetration. Applications deemed to be duplicative of research that is already in progress or similar to applications already reviewed this year will not be funded; therefore, all submissions should clearly explain how the proposed work differs from other work in the field. Questions – contact: Brian Cunningham, [email protected]

b. SiC Schottky Diodes for Electric Drive Vehicle Power Electronics Power electronic inverters are essential for electric drive vehicle operation. DOE R&D targets and research pathways for inverters are described in both the U.S. DRIVE Partnership Electrical and Electronics Technical Team Roadmap [1] (http://www1.eere.energy.gov/vehiclesandfuels/pdfs/program/eett_roadmap_june2013.pdf) and EV Everywhere Blueprint [2] (http://energy.gov/sites/prod/files/2014/02/f8/eveverywhere_blueprint.pdf). These documents discuss both performance benefits of and the barriers (including high cost) — to high volume automotive adoption of wide bandgap (WBG) semiconductors. With large area (>150 mm, or 6”) SiC epiwafer is available from a large number of qualified suppliers. The SiC device industry is approaching the same cost-competitiveness as the silicon power device industry, where the cost of fabrication is the primary driver of device costs, and high device yield enables low overall device costs.

http://www.uscar.org/guest/article_view.php?articles_id=85

http://www.uscar.org/guest/article_view.php?articles_id=86


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The devices that are best positioned to be an early adopter of these SiC epiwafers are SiC Schottky diodes, which offer 100X smaller on-state resistance as compared to Si and GaAs diodes and enable very high power density inverters for use in electric drive vehicles. The high switching speed of SiC diodes also provides significantly increased efficiencies for power inverter applications. While lower current (<50A) SiC Schottky diodes offered by a few SiC device suppliers have already penetrated solar and computer power supply manufacturers, higher, >100 A current remains a key threshold for automotive applications. VTO seeks applicants to overcome this SiC device current threshold barrier by demonstrating production of >100A, >600V rated diodes suitable for use in electric-drive vehicle traction motor inverters. Specifically, devices produced should show automotive application readiness by passing qualification specifications or standards while achieving high yields. Where possible, applicants should show a relationship to, and demonstrate an understanding of automotive application requirements and environments. Example approaches for applicants include surface and/or substrate treatments and processing and compatibility with existing wire bond power module processing. Applications should also describe the cost of manufacturing SiC diodes compared to competing silicon diodes, including details such as costs and availability of commercial SiC substrates, epilayers, and additional equipment needed. Applications should link these costs to a commercially viable business model for scale up and increased production that could be executed in Phase II. Questions – contact: Steven Boyd, [email protected]

c. Onboard Fuel Separator or Reformer On-board fuel separation or reformation has the potential to overcome infrastructure (e.g. pipeline, dispenser material compatibility) and consumer challenges associated with introducing fuel streams with specific desirable characteristics, such as very high-octane or evaporative cooling capability, during vehicle operation. After overcoming such challenges, these fuel streams would be able to positively affect the combustion process and result in increased efficiency for automotive vehicles. On-board separation/reformation technologies, if successful, could accelerate the deployment of vehicles with more efficient combustion designs that require specific fuel streams characteristics during some driving modes. The technology developed under this subtopic must be capable of separating or reforming convention fuels and be packaged on conventional light or heavy duty vehicles without disrupting the existing system. The developed prototype must be capable of demonstrating a net 10% fuel economy improvement, and cost to manufacture on a production basis must not exceed $200/unit. Questions – contact: Roland Gravel, [email protected]

d. Alternative Crank Mechanisms for Internal Combustion Engines Leading to Improved Energy Efficiency Reciprocating internal combustion (e.g. gasoline or diesel) engines for automotive applications use slider/crank mechanisms to create torque on an engine's output shaft from forces applied to pistons as



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a result of the pressure created by the combustion of fuel. While direct mechanical losses of traditional slider/crank mechanisms are small, there is another indirect loss as a consequence of slider/crank use. Early in an engine's power stroke, cylinder temperatures—and therefore convective and radiative heat losses—all peak. The engine’s rate of performing work is still very low reducing energy efficiency. The net effect may be that slider/crank mechanisms indirectly lead to preventable energy losses and reduced energy efficiency. Applications must propose the development of a functioning prototype of a mass-produced, commercially available reciprocating engine, modified with an alternative mechanical mechanism linking the piston to the engine's output shaft is desired. Reporting must include fuel consumption test results over the entire engine map of the prototype compared with a second, unmodified, otherwise identical engine. All fuel consumption testing must be conducted according to engine industry norms. Statistically valid fuel economy improvements (95% confidence level) of at least 5.0% are desired. Questions – contact: Leo Breton, [email protected]

e. Advanced Ignition System for Internal Combustion Engines Enabling Lean-Burn and Dilute Gasoline Ignition Lean-burn combustion in gasoline (Otto-cycle) engines introduces physical conditions that severely impede reliable ignition of fuel-air mixtures. For Phase I, prototype ignition systems are sought that: 1. Extend the lean ignition limit to an air/fuel ratio >20; 2. Enable reliable ignition under high in-cylinder pressures (up to 100 bar at the time of ignition), thus enabling high load operation; 3. Enable operation under high levels of exhaust gas recirculation; and 4. Lower or maintain ignitability as measured by a coefficient of variance of IMEP <3%. Typical candidates for this effort are advanced ignition systems such as laser ignition, microwave ignition, and plasma jet ignition. Prechamber combustion systems are not of interest for this subtopic. Questions – contact: Leo Breton, [email protected] References: Subtopic b 1. Electrical and Electronics Technical Team Roadmap. (2013). U.S. DRIVE Partnership.

http://www1.eere.energy.gov/vehiclesandfuels/pdfs/program/eett_roadmap_june2013.pdf 2. EV Everywhere Grand Challenge Blueprint. (2013). United States Department of Energy.

http://energy.gov/sites/prod/files/2014/02/f8/eveverywhere_blueprint.pdf



http://www1.eere.energy.gov/vehiclesandfuels/pdfs/program/eett_roadmap_june2013.pdf

http://energy.gov/sites/prod/files/2014/02/f8/eveverywhere_blueprint.pdf

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18. WATER


The Office of Energy Efficiency and Renewable Energy’s Wind and Water Technology Office’s Water Program seeks applications for innovation in small hydropower, marine, and hydrokinetic (MHK) technologies. The Water program (http://energy.gov/eere/water/water-power-program) researches, tests, evaluates, and develops innovative technologies capable of generating renewable, environmentally responsible, and cost-effective electricity from water resources. This includes hydropower, as well as marine and hydrokinetic energy technologies, which capture energy from waves as well as riverine, tidal, and ocean currents. Grant applications are sought in the following subtopics:

a. Innovative Small, Low-head Hydropower Turbines Almost 40GW of the undeveloped hydropower stream-reach resource potential identified by the Oak Ridge National Laboratory (http://nhaap.ornl.gov/sites/default/files/ORNL_NSD_FY14_Final_Report.pdf) may require turbine-generator units operating at less than 25 feet of head to be used. Applications are sought for innovative small hydraulic turbine prototypes or integrated small hydropower turbine-generator unit prototypes that can generate from 50kW to 5MW power at heads less than 25 feet. Key areas of interest include advanced materials and manufacturing for powertrain components, innovative hydrodynamic and mechanical concepts to reduce machinery size, favorable efficiency over a range of head and flow rates, low initial cost, durability and ease of replacement. Proposed innovations should be amenable to scaling in the amount of head, flow, and power. Questions – contact: Rajesh Dham, [email protected]

b. Prognostic & Health Monitoring of MHK devices Commercial-scale marine and hydrokinetic (MHK) energy converters are large, often highly dynamic devices operating in a harsh marine environment. Servicing these devices at sea is a difficult and costly operation. As such, minimizing the maintenance frequency and failure frequency of these devices has the potential to reduce the MHK levelized cost of energy. Prognostic and health monitoring (PHM) systems anticipate and identify relevant changes to device health, informing optimal maintenance schedules and issuing warnings and alarms which may then inform human operators, initiate alternate device dynamic control sequences, and/or initiate the device survival mode; mitigating damage to the devices and maximizing availability. Grant applications are sought for innovative PHM systems optimized for use in tidal, current, wave, and/or ocean thermal energy converters. Successful applications must propose methods and technologies to identify and monitor modes of fault/failure specific to an archetypal MHK device (e.g.

http://energy.gov/eere/water/water-power-program

http://nhaap.ornl.gov/sites/default/files/ORNL_NSD_FY14_Final_Report.pdf


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point absorber, axial flow turbine), specify the anticipated interaction of the PHM system with the control and survivability modes of the device, and outline plans to assess the market potential of the system. PHM methods and technologies which are broadly applicable across MHK energy converters are strongly encouraged. Questions – contact: Rajesh Dham, [email protected] References: Subtopic a 1. S. Kao, et al. (2014). New Stream-reach Development: A Comprehensive Assessment of Hydropower

Energy Potential in the United States. Prepared by Oak Ridge National Laboratory for the United States Department of Energy Wind & Water Power Technologies Office. http://nhaap.ornl.gov/sites/default/files/ORNL_NSD_FY14_Final_Report.pdf

19. WIND


The Office of Energy Efficiency and Renewable Energy’s Wind Program, part of the Wind and Water Power Technologies Office (www.eere.energy.gov/wind/), seeks applications for innovations that significantly advance the goal of large cost reductions in the deployment of U.S. wind power resources by exploring technologies that enable the production of larger wind turbine rotors through active load alleviation. Grant applications are sought in the following subtopic:

a. Active Load Alleviation Strategies for Wind Turbine Blades There has been an increasing trend among wind turbine Original Equipment Manufacturers (OEMs) to increase the length of the rotor blades to allow wind plants to operate economically in the low wind speed sites around the world. While a larger rotor for a given MW rating can increase the capacity factor of the plant, the design of such a rotor is challenging. To keep costs down, transportation logistics, manufacturing constraints, and turbine design load constraints must all be addressed effectively. Recently, turbine designers have adopted passive load alleviation strategies that allow them to increase the length of the blades without incurring severe weight penalties. The Wind program, strategy, in this topic, is to focus on active control strategies to manage and mitigate loads experienced by the turbine within its design envelope. While active load alleviation holds the promise of being more versatile than passive strategies, it is also inherently more risky. Significant R&D issues such as fatigue leading to increased maintenance/repair and reduced reliability, must be addressed before these technologies will be accepted by turbine manufacturers and


http://nhaap.ornl.gov/sites/default/files/ORNL_NSD_FY14_Final_Report.pdf

http://www.eere.energy.gov/wind/

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integrated into the next generation of large wind turbine blades to become part of their product offering. A new generation of active load control strategies that can be economically manufactured and integrated into turbine blades could significantly increase wind deployment at low wind speed sites. Grant applications are sought for innovative active wind turbine blade load alleviation concepts with the potential to serve as competitive alternatives to current passive load alleviation strategies. Successful applications must develop, mature, and de-risk the technology to the point that it is ready to be integrated into a turbine blade design. Applicants must identify and solve problems related to manufacturing, integration into the blade manufacturing process, reliability of the technology, routine maintenance and repair. Questions – contact: Shreyas Ananthan, [email protected]


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PROGRAM OFFICE OVERVIEW – OFFICE OF FOSSIL ENERGY DOE’s Office of Fossil Energy (FE) is responsible for several high-priority initiatives including implementation of the Clean Coal Power Initiative to develop a new generation of environmentally sound clean coal technologies as well as innovations in oil and natural gas technologies to recover oil, natural gas, methane hydrates, and shale gas still obtainable from the Nation’s conventional oil reservoirs and/or from non-conventional sources. Fossil fuels are projected to remain the mainstay of energy consumption (currently 80% of U.S. energy consumption) well into the next century. Consequently, the availability of these fuels, and their ability to provide clean affordable energy, is essential for global prosperity and security. As the nation strives to reduce its reliance on imported energy sources, FE supports R&D to help ensure that new technologies and methodologies will be in place to promote the efficient and environmentally sound use of America’s abundant fossil fuels. As the economy expands, and the demand for hydrocarbons increases accordingly, FE seeks to develop advanced fossil energy technologies that are reliable, efficient, environmentally sound and economically competitive. For additional information regarding the Office of Fossil Energy priorities, click here.

20. CLEAN COAL AND CARBON MANAGEMENT


For the foreseeable future, coal will continue to play a critical role in powering the Nation’s electricity generation, especially for base-load power plants. Coal-fired power plants have made significant progress in reducing emissions of sulfur dioxide (SO2), nitrogen oxide (NOx), particulate matter (PM), and recently mercury (Hg), since the passage of the Clean Air Act. Recently proposed limits on CO2 emissions from new electric generating units will require carbon capture on any new coal-fired power plant. To prepare for upcoming regulations, significant research and development is currently being pursued for new technologies to capture carbon from flue gas streams produced by coal-fired electric generating power plants. In addition, the Office of Fossil Energy (FE) is developing a new generation of clean coal-fueled energy conversion systems capable of producing competitively priced electric power while reducing CO2 emissions, with a focus on improving efficiency, increasing plant availability, reducing cooling water requirements, and achieving ultra-low emissions of traditional pollutants. A key aspect of this area of research is targeted at improving overall system thermal efficiency, reducing capital and operating costs, and enabling affordable capture. FE also continues to support research that ensures that CO2 can be safely and permanently stored in geologic formations in a process known as carbon storage.

http://www.energy.gov/fe/about-us

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Particular attention will be focused on finding new ways to extract the power from coal – while simultaneously expanding environmental protection and confronting the issue of global climate change. Key R&D programs include: (1) Crosscutting research including advanced materials manufacturing; and innovative concepts for water sensors, aiming to make these technologies commercially competitive. (2) Advanced energy systems for future coal-based power plants including developments in the application of computational fluid dynamics and advanced manufacturing related to reactor geometry design; solid separation of contaminants from sorbents in advanced combustion applications; improved bearings and seals for supercritical CO2 power cycles for turbine applications; and protective coatings for solid oxide fuel cells balance of plant components; (3) Carbon capture research including transformational technologies for process intensification aimed at reducing cost and improving performance of carbon capture in advanced power systems; and application of nano-engineered materials and advanced microscale manufacturing. (4) Carbon storage including cost effective technologies and equipment to measure in-situ geomechanical properties; and advanced monitoring technologies. Grant applications are sought in the following subtopics:

a. Advanced Materials Manufacturing (Crosscutting Research) The severe operating environments (high temperature, pressure, and corrosivity) and performance specifications of advanced FE systems will require that components and subassemblies be fabricated from increasingly complex and expensive materials. Traditional manufacturing process methods are not always efficient in the production of these highly specialized components. The use of advanced manufacturing (AM) techniques (such as additive manufacturing) can be used to improve, enhance, and/or eliminate industrial fabrication process steps in a manner that achieves reduced material usage and lower cost. Examples of advanced manufacturing for process intensification include 3D printing technology to produce wax models for investment casting and use of directly built additive manufacturing cans for hot isostatic pressing of powdered metal (HIP/PM). Fabrication of individual components and subassemblies for FE power generation systems may also require welding or other high temperature joining processes such as diffusion bonding and brazing. The joining of advanced materials for use in harsh FE environments, including the joining of dissimilar materials such as metal-to-ceramic interfaces, introduces an additional level of technical design and manufacturing complexity. Conventional fusion welding of many creep resistant alloys results in significant reduction in weld creep strength, even with expensive post weld heat treatments. Early weld failure has been a major issue for a number of creep strength enhanced ferritic steels used in FE power plants. Applications are sought for advanced fabrication and processing techniques which can address these problems. Novel and more robust ways to manufacture, conduct process intensification, and/or join semi-finished and finished components and subassemblies for advanced fossil energy applications are sought. These methods must offer the potential to reduce manufacturing costs, improve product recovery, reduce product variability, and/or allow the production of more precisely designed structural and functional materials. Proposals should specify a particular component or system that is relevant to

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FE power generation and discuss the challenges associated with traditional manufacturing for the intended application. The applicant should then discuss how their proposed method could improve on the current state of the art. Questions – contact: Richard Dunst, [email protected]

b. Integrated Sensors for Water (Crosscutting Research) One of the drivers in effectively managing water is the need for reliable, real-time, measurement-based data. The development of sensors that are inexpensive, self-powered, rapidly deployable, robust, and wireless would facilitate the requisite data collection. Currently, a network of widely deployable, integrated water sensors is expensive which inhibits the utilities’ ability to deploy such sensors. This results in the need for predictions and estimates for water management information because little actual data is collected. The present and growing emphasis on reducing or maintaining the water-use footprint in the energy sector should not move forward based on projections and estimates alone, but from tangible, collected data. Grant applications are sought for the development of an integrated water sensor package that is low-cost, rapidly-deployable, wireless, and self-powered while making and relaying in situ water measurements such as temperature, turbidity, flow, pH, and total dissolved solids (TDS.) Other key indicators of water quality and condition can be considered but relevance of the measurement must be justified. Preference will be given to integrated sensor packages that make multiple measurements for the lowest cost. The aim is to measure constituents that are a problem in the water arena such as the eight Resource Conservation and Recovery Act (RCRA)-monitored heavy metals, known as the RCRA 8s, salts, scale forming minerals, and naturally occurring radioactive materials (NORM) in a fully-integrated sensor package that must be able to survive the ambient environment within water treatment facilities or bodies of water associated with power generation facilities. Approaches that do not address all facets of this integrated sensor package are not of interest for this subtopic and will be declined. Questions – contact: Jessica Mullen, [email protected]

c. Unique Reactor Geometry for Ideal Gas-Particle Contacting (*AES-Gasification) Current reactor design is based on a long legacy of industrial use. Anecdotal experience has led to incremental advancements in the simplistic geometries employed, typically spheres and cylinders. However, advanced manufacturing has the ability to allow complex geometries to be feasible at economical costs and to accelerate the pace of progress towards that goal, and Computational Fluid Dynamics (CFD) modeling has become increasing powerful tool. The purpose of this topic is to explore the possibilities inherent in Advanced Manufacturing and CFD models to re-define the boundaries of what a reactor can be, and apply industrial constraints (temperature, pressure, particle size limits, etc.) later.



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The DOE is interested in proposals to develop and test a protocol for creating unique reactor geometries with significantly improved gas-particle contacting over current industrial reactors, and that have credible potential of being useful at industrial scale (this being based on particle-gas flow behavior and not on materials of reactor manufacture, which is itself a rapidly evolving science). The protocol would use a combination of technologies to explore the most promising configurations by: Identifying unique reactor geometries using advanced CFD that would represent significant gas-particle contacting improvements. CFD modeling would be limited to the use of open source code, such as MFIX or OpenFoam. Designing and constructing at least one cold-flow prototype of the reactor to validate computational models. The prototype must be fabricated using 3D printing, or a similar advanced manufacturing process, to enable reduced cost, increased fabrication speed and increased feasible reactor complexity. Running tests using at least one cold-flow prototype and comparing particle-gas contacting results to the CFD model predictions. Questions – contact: David Lyons, [email protected]

d. Bearings and Seals for Supercritical CO2 Power Cycles (*AES-Turbines) Supercritical CO2 (SCO2) power cycles are gaining significant interest for multiple power generation applications. These power systems will be supported by a crosscutting effort in Energy Efficiency and Renewable Energies (EERE) and Nuclear Energy (NE) in addition to Fossil Energy (FE). The reason Supercritical SCO2 cycles have gained such interest is they are anticipated to achieve higher efficiencies than steam-based Rankine cycles at turbine inlet temperatures greater than 550°C. References show that 50% thermal-to-electric conversion efficiency can be achieved from SCO2 power cycles having turbine inlet temperatures exceeding 700°C. Operating at pressures as high as 30 MPa, a significant barrier to the commercialization of these power cycles is the need for bearings and seals capable of operating at these high pressures and temperatures. Grant applications are sought for the research and development of bearings and seals compatible with SCO2 at pressures as high as 30MPa and temperatures exceeding 700°C for axial turbomachinery. Externally pressurized gas bearings in turbomachinery could eliminate oil bearings and many associated sealing requirements. These bearings would require high temperature materials to operate in SCO2 above 700°C and would enable sealed turbomachinery more conveniently and affordably than the current state of the art. The literature suggests that dynamic seals such as dry gas seals or leaf seals will be required in SCO2 power cycles greater than 10 MWe. Dynamic seals are commercially available for the required pressure, but are limited to low temperature small diameters. Applications are sought for bearings and seals capable of transient and steady operation in utility scale configurations while handling thermal loads from the SCO2 working fluid at temperatures as high as 800°C. A complete description of the manufacturing process required to achieve the proposed architectures should be provided to facilitate analysis of potential cost entitlements and implementation complexity. Questions – contact: Seth Lawson, [email protected]



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e. Solid Separation Technology Enabling Sorbent Reuse in Fossil Energy Combustion Applications (*AES Advanced Combustion) A large segment of fossil energy power generation applications, both conventional and advanced, require injection of particulate sorbents and/or oxygen carriers for successful process operations. Examples include conventional Fluidized Beds Combustors (FBC), Oxygen-fired Pressurized Fluidized Bed Combustors (Oxy-PFBC), and Chemical Looping Combustion (CLC). In FBCs and Oxy-PFBCs, limestone is typically injected for sulfur removal and expelled from the system as a by-product. In CLC, a similar interaction between the oxygen carrier particles and fuel based contaminants can occur. In each case, the net result is that sorbents/carriers are intermingled with contaminants leaving the system that subsequently require landfill disposal. An opportunity exists to separate the fuel-based contaminants (e.g. char & ash) from sorbents/carriers for beneficial reuse and recycling. Contaminant-free sorbents/carriers may be sold for industrial purposes such as manufacturing wallboard or cement. In other cases, the contaminant-free sorbents/carriers may be reused within the systems themselves. In all cases, landfill disposal costs would be decreased. Grant applications are sought for technologies suitable for the separation of solid sorbent/oxygen carrier particles from solid coal contaminants. Examples could include but are not limited to: ash separation and unconverted char separation technologies amenable to by-product or recycling streams from fossil energy combustion applications. Questions – contact: Steven Richardson, [email protected]

f. Protective Coatings for Solid Oxide Fuel Cell (SOFC) Balance-of-Plant Components (*AES-Fuel Cells) Stainless steels commonly used in SOFC thermal and cathode air management subsystems, upon exposure to high-temperature (maximum temperature of 700°C to 900°C, depending upon the specific system configuration and SOFC technology) humidified air, evolve Cr vapor species which poison SOFC cathodes, degrading electrochemical performance. Low-cost alloys and/or coating systems for these hot balance-of-plant (BOP) components are desired to reduce or eliminate Cr species evolution, resulting in a lower capital cost and improved life of SOFC power generation systems. Grant applications are sought to evaluate candidate alloys and/or protective coatings for this application. Evaluation activities should include, at a minimum, performance (including Cr species evolution) under high-temperature, atmospheric humidity conditions and production/processing cost at high volume. Approaches of interest include but are not limited to: Identify or develop low-cost stainless steel alloys and/or coatings suitable for cathode-side hot piping and/or heat exchangers. The approach should include a baseline material (cost, life requirement, fabrication/manufacturability issues, etc.) for reference purposes.


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Identify or develop lower-cost slurry/spray-based coatings interior surfaces (piping with joint welds, baffles, etc.) and irregular geometries, having Cr-volatility mitigation as effective as industrial pack cementation and vapor coatings. Questions – contact: Steve Markovich, [email protected] *AES: Advanced Energy Systems

g. Process Intensification for Carbon Capture Systems Application of Process Intensification to Carbon Capture Systems: Processes being developed for CO2 capture employ a number of standard unit operations, such as gas-liquid contactors (e.g., gas absorbers and strippers), gas-solid contactors (e.g., packed and moving beds), gas-separation membranes, heat exchangers, pumps, and compressors; all of which may be suitable for process intensification, by integrating two or more of these operations within a single piece of equipment. Example combinations include absorption/desorption, adsorption/desorption, compression/gas separation, and membrane reactors. DOE has on-going projects for CO2 capture focused on the development of absorption systems employing liquid solvents, adsorption systems employing solid sorbents, and gas-separation membrane systems. Applicants are encouraged to focus their proposals toward development and/or testing of optimized hybrid and/or integrated approaches that synergistically complement each other to significantly improve the performance and lower the costs of carbon capture. New solvent, sorbent, or membrane materials development should not be a part of any proposal submitted and will be considered non-responsive to the sub-topic. Questions – contact: Andy Aurelio, [email protected]

h. Materials Engineering for Carbon Capture Application of Nano-engineered Materials and Advanced Microscale Manufacturing to Carbon Capture Systems: Developments in the field of nano-engineering have resulted in the discovery of a number of new and novel materials which may have beneficial applications for CO2 capture. Nano-materials can possess precise dimensions and functionalization ideally suited for CO2 capture. Therefore, they can be used as materials in the manufacture of size- and species-selective gas-separation membranes with extremely-high permeance, solid sorbents with extremely-high volumetric capacities, heat and mass transfer media with extremely high surface areas and transfer rates, and catalysts with extremely high rates of reaction. Focus of the proposed research should be on application of these types of engineered materials to gas separation for CO2 capture and improved heat and mass transfer in CO2 capture systems. Questions – contact: Andy Aurelio, [email protected]




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i. Advanced Geologic Storage Technologies DOE is the lead agency supporting research and development of technologies to ensure that greater than 99% of injected CO2 remains permanently stored in deep geologic formations. Carbon storage research conducted in the near and long term will augment existing technologies to ensure permanent storage of CO2 for the emerging CO2 storage industry. The program supports research that will improve the nation’s scientific understanding in six key technologies: wellbore integrity; potential leakage mitigation; fluid flow, pressure, and water management; geomechanical impacts; geochemical impacts; and risk assessment. The importance of obtaining accurate geomechanical information related to storage sites has been cited in numerous publications. Specifically, there is a need to understand the potential for geomechanical deformation to the injection zone, confining zone, and wellbore as a result of CO2 injection. Such impacts may include induced seismicity, faulting, fracturing, and damage to wellbore materials. Geomechanical information obtained at one CCS project may be applied to other projects and used for detecting subsurface geomechanical changes, tracking fluid movements, and can lead to better injection management practices. Combining microseismic and geomechanical observations is very important to determine storage integrity. Grant applications are sought for cost effective technologies and equipment that can measure in-situ geomechanical properties. The primary purpose of these technologies is to measure the in-situ state of stress, and geomechanical properties of the reservoir rock, seals, faults and fractures. Any in-situ technology or equipment should be compatible with the subsurface environment (geology, pressure, temperature, CO2, saline waters, and petroleum hydrocarbons) at depths greater than 3,000 feet. It is envisioned that these geomechanical technologies may be utilized both pre-injection and post-injection. Proposals are sought that focus on developing new, or enhancing existing, geomechanical technologies and equipment to measure the in-situ state of stress, and geomechanical properties of the reservoir rock, seals, and faults and fractures. Preference will be given to technologies that demonstrate enhanced performance and permanence at reduced cost as well as the ability to collect geomechanical measurements between wellbores. Approaches in developing new or enhancing existing modeling technologies or seismic processing techniques are not of interest for this subtopic. Grant applications using these approaches will not be responsive to the topic. Questions – contact: Brian Dressel, [email protected]

j. Advanced Monitoring Technologies for Carbon Storage A “Monitoring Verification and Accounting (MVA)” program is designed to confirm permanent storage of carbon dioxide (CO2) in geologic formations through monitoring capabilities that are reliable and cost effective. Monitoring is an important aspect of CO2 injection, since it serves to confirm storage permanence. Monitoring technologies can be developed to ensure that injection, abandoned, and monitoring wells are structurally sound and that CO2 will remain within the injection formation. Operating permits under the Safe Drinking Water Act and Clean Air Act for geologic storage projects require monitoring to account for CO2 that has been stored underground to ensure that potable groundwater sources and sensitive ecosystems are protected and to account for the CO2.


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Grant applications are sought for technologies involving field-based MVA hardware that measure the potential impacts of CO2 on groundwater and the soil in the unlikely event that CO2 migrates out of the injection zone. Proposals are sought that focus on developing new, or enhancing existing, MVA techniques and technologies for monitoring the detection of CO2 in near-surface subsurface environment that can cover a large area with improved accuracy, continuous (real-time) monitoring capabilities, and long-term durability. Near-surface subsurface monitoring is defined as from the top of the soil zone down to the shallow groundwater zone. Preference will be given to technologies that demonstrate enhanced performance at reduced cost. Approaches in developing new or enhancing existing modeling technologies are not of interest for this subtopic. Grant applications using these approaches will not be responsive to the topic. Questions – contact: Erik Albenze, [email protected]

k. Other In addition to the specific subtopics listed, FE invites grant applications in other areas that fall within the scope of the higher level topic description provided above. Grant applications must include a succinct discussion of the potential technical and economic advantages of the proposed technology, as compared to existing state-of-the-art systems. Questions – contact Maria Reidpath, [email protected] References: Subtopic a 1. 2014 NETL Crosscutting Research Review Meeting. Proceedings available at

http://www.netl.doe.gov/events/conference-proceedings/2014/crosscutting Subtopic b 1. The Water-Energy Nexus: Challenges and Opportunities. United States Department of Energy. July

2014. http://www.energy.gov/sites/prod/files/2014/07/f17/Water%20Energy%20Nexus%20Full%20Report%20July%202014.pdf

2. Steam Electric Power Generating Effluent Guidelines. United States Environmental Protection

Agency. June 2013. http://water.epa.gov/scitech/wastetech/guide/steam-electric/index.cfm Subtopic c 1. Multiphase Flow with Interface eXchanges. https://mfix.netl.doe.gov/ 2. The Open Source CFD Toolbox http://www.openfoam.com/



http://www.netl.doe.gov/events/conference-proceedings/2014/crosscutting

http://www.energy.gov/sites/prod/files/2014/07/f17/Water%20Energy%20Nexus%20Full%20Report%20July%202014.pdf

http://www.energy.gov/sites/prod/files/2014/07/f17/Water%20Energy%20Nexus%20Full%20Report%20July%202014.pdf

http://water.epa.gov/scitech/wastetech/guide/steam-electric/index.cfm

https://mfix.netl.doe.gov/

http://www.openfoam.com/

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Subtopic d 1. R.E. Chupp, et al. (2006). Sealing in Turbomachinery. NASA/TM – 2006-214341.

http://ntrs.nasa.gov/archive/nasa/casi.ntrs.nasa.gov/20060051674.pdf 2. V. Dostal, M.J. Driscoll & P. Hejzlar. (2004). A Supercritical Carbon Dioxide Cycle for Next Generation

Nuclear Reactors. Advanced Nuclear Power Technology Program. Report MIT-ANP-TR-100. http://web.mit.edu/course/22/22.33/www/dostal.pdf

3. G. Johnson, et al. (2012). S-CO2 Cycle Development at Pratt & Whitney Rocketdyne. American Society of Mechanical Engineers Turbo Expo. GT201270105. Available at http://proceedings.asmedigitalcollection.asme.org/proceeding.aspx?articleid=1694567

4. J.J. Sienicki, et al. (2011). Scale Dependencies of Supercritical Carbon Dioxide Brayton Cycle Technologies and the Optimal Size for a Next-Step Supercritical CO2 Cycle. Supercritical SCO2 Power Cycle Symposium. May 24-25, 2011, Boulder, CO. Available at http://www.sco2powercyclesymposium.org/resource_center/development_priorities/scale-dependencies-of-supercritical-carbon-dioxide-brayton-cycle-technologies-and-the-optimal-size-for-a-next-step-supercritical-co2-cycle-demonstration

5. U.S. Department of Energy, SunShot Vision Study; 2012. http://www1.eere.energy.gov/solar/sunshot/vision_study.html

Subtopic e 1. L. Fan. (2010). Chemical Looping Systems for Fossil Energy Conversions. John Wiley and Sons

Publication. Available at http://www.wiley.com/WileyCDA/WileyTitle/productCd-0470872527.html 2. C.R. Forero, et al. (2010). Effect of Gas Composition in Chemical-looping Combustion with Copper-

based Oxygen Carriers: Fate of Sulphur. International Journal of Greenhouse Gas Control. Volume 4. Issue 5. pp. 762-770. Available at http://www.sciencedirect.com/science/article/pii/S1750583610000484

3. B. Wang, et al. (2008). Thermodynamic Investigation of Carbon Deposition and Sulfur Evolution in Chemical Looping Combustion with Syngas. Energy & Fuels. Volume 22. Issue 2. pp. 1012-1020. Available at http://pubs.acs.org/doi/abs/10.1021/ef7005673?journalCode=enfuem

4. D. Geldhart. (1986). Gas Fluidization Technology. John Wiley and Sons Publication. ISBN 978-0471908067. Available at http://www.amazon.com/Gas-Fluidization-Technology-D-Geldart/dp/0471908061

5. J.F. Davidson, R. Clift, & D. Harrison. (1985). Fluidization, Second Edition. Academic Press. Volume 733. Available at http://onlinelibrary.wiley.com/doi/10.1002/aic.690330123/abstract

http://ntrs.nasa.gov/archive/nasa/casi.ntrs.nasa.gov/20060051674.pdf

http://web.mit.edu/course/22/22.33/www/dostal.pdf

http://proceedings.asmedigitalcollection.asme.org/proceeding.aspx?articleid=1694567

http://www.sco2powercyclesymposium.org/resource_center/development_priorities/scale-dependencies-of-supercritical-carbon-dioxide-brayton-cycle-technologies-and-the-optimal-size-for-a-next-step-supercritical-co2-cycle-demonstration



http://www1.eere.energy.gov/solar/sunshot/vision_study.html

http://www.wiley.com/WileyCDA/WileyTitle/productCd-0470872527.html


http://pubs.acs.org/doi/abs/10.1021/ef7005673?journalCode=enfuem

http://www.amazon.com/Gas-Fluidization-Technology-D-Geldart/dp/0471908061

http://www.amazon.com/Gas-Fluidization-Technology-D-Geldart/dp/0471908061

http://onlinelibrary.wiley.com/doi/10.1002/aic.690330123/abstract

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6. D. Geldhart. (1981). Behavior of Fine Particles in a Fluidized Bed of Coarse Solids. EPRI Report #CS-2094. Available at http://searchworks.stanford.edu/view/6333813

Subtopic f 1. M. P. Brady et al. (2008). The Development of Alumina-Forming Austenitic Stainless Steels for High-

Temperature Structural Use. Journal of the Minerals. Volume 60. Issue 7. pp. 12-18. Available at http://link.springer.com/article/10.1007%2Fs11837-008-0083-2#

2. JP Choi, et al. Reactive Air Aluminization. Pacific Northwest National Laboratory.

http://www.pnnl.gov/main/publications/external/technical_reports/PNNL-20859.pdf

Subtopic g 1. National Energy Technology Laboratory, CO2 Emissions Control Website.

http://netl.doe.gov/technologies/coalpower/ewr/co2/index.html Subtopic h 1. Carbon Capture Technology Plan. January 2013. United States Department of Energy National

Energy Technology Laboratory (NETL). http://netl.doe.gov/File%20Library/Research/Coal/carbon%20capture/Program-Plan-Carbon-Capture-2013.pdf

2. Carbon Capture Program Goals and Targets. United States Department of Energy National Energy

Technology Laboratory (NETL).

3. http://netl.doe.gov/research/coal/carbon-capture/goals-targets Subtopic i 1. Best Practices for Carbon Storage Systems and Well Management Activities. United States

Department of Energy National Energy Technology Laboratory (NETL). April 2012. http://www.alrc.doe.gov/technologies/carbon_seq/refshelf/BPM-Carbon-Storage-Systems-and-Well-Mgt.pdf

2. DOE/NETL Carbon Dioxide Capture and Storage RD&D Roadmap. United States Department of

Energy National Energy Technology Laboratory (NETL). December 2010. http://www.netl.doe.gov/File%20Library/Research/Carbon%20Seq/Reference%20Shelf/CCSRoadmap.pdf

3. Carbon Sequestration Program: Technology Program Plan. United States Department of Energy National Energy Technology Laboratory (NETL). February 2011. http://www.netl.doe.gov/technologies/carbon_seq/refshelf/2011_Sequestration_Program_Plan.pdf

http://searchworks.stanford.edu/view/6333813


http://www.pnnl.gov/main/publications/external/technical_reports/PNNL-20859.pdf

http://netl.doe.gov/technologies/coalpower/ewr/co2/index.html

http://netl.doe.gov/File%20Library/Research/Coal/carbon%20capture/Program-Plan-Carbon-Capture-2013.pdf

http://netl.doe.gov/File%20Library/Research/Coal/carbon%20capture/Program-Plan-Carbon-Capture-2013.pdf

http://netl.doe.gov/research/coal/carbon-capture/goals-targets

http://www.alrc.doe.gov/technologies/carbon_seq/refshelf/BPM-Carbon-Storage-Systems-and-Well-Mgt.pdf

http://www.alrc.doe.gov/technologies/carbon_seq/refshelf/BPM-Carbon-Storage-Systems-and-Well-Mgt.pdf

http://www.netl.doe.gov/File%20Library/Research/Carbon%20Seq/Reference%20Shelf/CCSRoadmap.pdf


http://www.netl.doe.gov/technologies/carbon_seq/refshelf/2011_Sequestration_Program_Plan.pdf


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4. Federal Requirements under the Underground Injection Control (UIC) Program for Carbon Dioxide (CO2) Geologic Sequestration (GS) Wells. United States Environmental Protection Agency. December 2010. http://www.gpo.gov/fdsys/pkg/FR-2010-12-10/pdf/2010-29954.pdf

5. Greenhouse Gas Reporting Program. The Clean Air Act. United States Environmental Protection Agency, 2011. http://www.epa.gov/ghgreporting/reporters/subpart/index.html

Subtopic j 1. Best Practices for Monitoring, Verification, and Accounting of CO2 Stored in Deep Geologic

Formations. United States Department of Energy National Energy Technology Laboratory (NETL). 2012. http://www.netl.doe.gov/File%20Library/Research/Carbon%20Seq/Reference%20Shelf/MVA_Document.pdf

2. Carbon Storage Program Research and Development Needs Workshop Report. United States

Department of Energy National Energy Technology Laboratory (NETL). January 2012. http://www.netl.doe.gov/File%20Library/Research/Coal/carbon-storage/Carbon-Storage-Program-RD-Needs-Workshop.pdf

3. DOE/NETL Carbon Dioxide Capture and Storage RD&D Roadmap. United States Department of Energy National Energy Technology Laboratory (NETL). December 2010. http://www.netl.doe.gov/File%20Library/Research/Carbon%20Seq/Reference%20Shelf/CCSRoadmap.pdf

4. Carbon Sequestration Program: Technology Program Plan. United States Department of Energy National Energy Technology Laboratory (NETL). February 2011. http://www.netl.doe.gov/technologies/carbon_seq/refshelf/2011_Sequestration_Program_Plan.pdf

5. Federal Requirements Under the Underground Injection Control (UIC) Program for Carbon Dioxide (CO2) Geologic Sequestration (GS) Wells. United States Environmental Protection Agency. December 2010. http://www.gpo.gov/fdsys/pkg/FR-2010-12-10/pdf/2010-29954.pdf

6. The Clean Air Act. United States Environmental Protection Agency. 2008. Title 42. p. 5673. http://www.gpo.gov/fdsys/pkg/USCODE-2008-title42/pdf/USCODE-2008-title42-chap85.pdf

21. OIL AND NATURAL GAS TECHNOLOGIES


http://www.gpo.gov/fdsys/pkg/FR-2010-12-10/pdf/2010-29954.pdf

http://www.epa.gov/ghgreporting/reporters/subpart/index.html

http://www.netl.doe.gov/File%20Library/Research/Carbon%20Seq/Reference%20Shelf/MVA_Document.pdf

http://www.netl.doe.gov/File%20Library/Research/Carbon%20Seq/Reference%20Shelf/MVA_Document.pdf

http://www.netl.doe.gov/File%20Library/Research/Coal/carbon-storage/Carbon-Storage-Program-RD-Needs-Workshop.pdf

http://www.netl.doe.gov/File%20Library/Research/Coal/carbon-storage/Carbon-Storage-Program-RD-Needs-Workshop.pdf





http://www.gpo.gov/fdsys/pkg/FR-2010-12-10/pdf/2010-29954.pdf

http://www.gpo.gov/fdsys/pkg/USCODE-2008-title42/pdf/USCODE-2008-title42-chap85.pdf

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While crude oil and condensate production from shale formations is increasing rapidly in the U.S., operators are recognizing that the percentage of oil-in-place that will ultimately be recovered from these unique reservoirs will likely be significantly less than the recoveries historically achieved from more conventional reservoirs. The same appears to be true for shale gas plays being developed via horizontal wellbores with multiple hydraulic fracture treatments, where recoveries of perhaps 25% or less of the gas originally in place are being forecast. DOE is interested in catalyzing the development of novel technologies that will improve the ultimate recovery of domestic oil and natural gas resources in an environmentally safe manner. Specifically, DOE is interested in funding the development of technologies that are focused on increasing the percentage of oil-in-place recovered from either conventional or shale reservoirs, or the percentage of gas-in-place recovered from shale reservoirs. In addition, DOE is interested in funding research that can help companies more effectively monitor the topographical changes associated with drilling pad and pipeline right of way construction, and take prompt and effective action to mitigate any environmental impacts associated with these changes. Beyond-state-of-the-art research that can have (or lead to) “game-changing” impacts on recovery or environmental impacts will be considered more responsive to this solicitation than research that proposes small, incremental advances. It should be noted that DOE is not interested at this time in grant applications related to research focused on oil shale deposits (i.e Green River formation) or oil sands deposits, but rather research related to shale oil (crude oil or condensate found in shale formations similar to but not limited to the Bakken, Eagle Ford, and the Niobrara). It should also be noted that DOE is not interested at this time in grant applications related to research focused on water treatment technologies, or in grant applications to perform computer modeling that is not part of a proposal with a significant laboratory or field research component. Grant applications are sought in the following subtopics:

a. Improving Hydrocarbon Recovery from Shale Reservoirs This subtopic focuses on increasing the portion of natural gas-in-place or oil-in-place in shale reservoirs that can be economically produced via horizontal, hydraulically fractured wells. Specific subtopic technology interests include:

• Tools or methods for maximizing natural gas and/or oil recovery from shale reservoirs through improved well completion designs, operating procedures or field development practices. (e.g., EQT, see references below)

• Methods that advance the economic application of non-water-based fracturing fluids (e.g., LPG, LNG, natural gas or other novel fluids), either independently or in conjunction with water, in ways that serve to increase ultimate recovery of natural gas and/or oil from shale reservoirs (e.g. GASFRAC, see reference below)

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• Advanced formation evaluation tools or techniques or perforation selection strategies that increase the efficiency of recovery on a per well basis (e.g., AOGR article, Schlumberger paper, see references below)

Grant applications must include a succinct discussion of the potential technical and economic advantages of the proposed technology, as compared to existing state-of-the-art systems. Proposals to fund the development of new (or modification of existing) hydraulic fracturing or reservoir simulation models will be considered less responsive to the priorities of this solicitation than proposals to fund the development of tools or the demonstration of operating technologies. Questions – contact: Albert Yost, [email protected]

b. Improving Methods for Remote Monitoring of Topographic Changes Resulting from Shale Play Development This topic focuses on the development and/or testing of technologies, tools or methods for cost-effective aerial (or other remote) assessment and monitoring of topographic changes over time, resulting from well pad, road, or pipeline right-of-way construction. Specifically, the challenge is to develop a relatively low cost method for identifying, in a near-real-time manner, evidence of erosion, stream sedimentation, or other surface activities that require timely mitigation. See references (ESA, ISPRS) as examples of possible (but not the only possible) technologies for adaptation to low-cost applications. Questions – contact: Albert Yost, [email protected]

c. Other In addition to the specific subtopics listed, the Department invites grant applications in other areas that fall within the scope of the higher level topic description provided above. Grant applications must include a succinct discussion of the potential technical and economic advantages of the proposed technology, as compared to existing state-of-the-art systems. Questions – contact: Albert Yost, [email protected] References: Subtopic a 1. Oil and Natural Gas Program. United States Department of Energy National Energy Technology

Laboratory. http://www.netl.doe.gov/technologies/oil-gas/index.html 2. M. Spencer. (2013). EQT Boosts Output with Innovation. Energy, Inc. June 2013.

http://www.bizjournals.com/pittsburgh/print-edition/2013/06/14/eqt-boosts-output-with-innovation.html?page=all




http://www.netl.doe.gov/technologies/oil-gas/index.html



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3. K. Edwards, et al. (2011). Marcellus Shale Hydraulic Fracturing And Optimal Well Spacing To Maximize Recovery And Control Costs. SPE Hydraulic Fracturing Technology Conference, January 24-26. EQT SPE Paper. SPE 140463-MS. Available at http://www.onepetro.org/mslib/app/Preview.do?paperNumber=SPE-140463-MS&societyCode=SPE

4. I. Lobet. (2013). Hold the Water: Some Firms Fracking Without It. Houston Chronicle. GASFRAC application by BlackBrush Oil and Gas LP. Available at http://www.houstonchronicle.com/news/houston-texas/houston/article/Hold-the-water-Some-firms-fracking-without-it-4760389.php

5. D. Gerdom, et al. (2013). Geomechanics Key in Marcellus Wells. The American Oil & Gas Reporter. http://www.slb.com/~/media/Files/stimulation/industry_articles/201303_og_geomechanics.pdf

6. C. Miller, G. Waters and E. Rylander. (2011). Evaluation of Production Log Data from Horizontal Wells Drilled in Organic Shales. . North American Unconventional Gas Conference and Exhibition, June 14-16. Schlumberger SPE paper. SPE144326-MS. Available at http://www.onepetro.org/mslib/app/Preview.do?paperNumber=SPE-144326-MS&societyCode=SPE

Subtopic b 1. UASatCom - Geophysical and Pipeline Monitoring Services. European Space Agency. http://artes-

apps.esa.int/projects/uasatcom 2. Tao V., Hu Y. (2002). Assessment of Airborne Lidar and Imaging Technology for Pipeline Mapping

and Safety Applications. ISPRS. http://www.isprs.org/proceedings/XXXIV/part1/paper/00009.pdf

http://www.onepetro.org/mslib/app/Preview.do?paperNumber=SPE-140463-MS&societyCode=SPE


http://www.houstonchronicle.com/news/houston-texas/houston/article/Hold-the-water-Some-firms-fracking-without-it-4760389.php

http://www.houstonchronicle.com/news/houston-texas/houston/article/Hold-the-water-Some-firms-fracking-without-it-4760389.php

http://www.slb.com/~/media/Files/stimulation/industry_articles/201303_og_geomechanics.pdf



http://artes-apps.esa.int/projects/uasatcom

http://artes-apps.esa.int/projects/uasatcom

http://www.isprs.org/proceedings/XXXIV/part1/paper/00009.pdf

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PROGRAM AREA OVERVIEW – OFFICE OF FUSION ENERGY SCIENCES The Department of Energy sponsors fusion science and technology research as a valuable investment in the clean energy future of the nation and the world, as well as to sustain a field of scientific research - plasma physics - that is important in its own right and has produced insights and techniques applicable in other fields of science and industry. The Fusion Energy Sciences (FES) mission is to expand the fundamental understanding of matter at very high temperatures and densities and to build the scientific foundation needed to develop a fusion energy source. This is accomplished by studying plasma and its interactions with its surroundings across wide ranges of temperature and density, developing advanced diagnostics to make detailed measurements of its properties and dynamics, and creating theoretical and computational models to resolve the essential physics principles. FES has four strategic goals:

• Advance the fundamental science of magnetically confined plasmas to develop the predictive capability needed for a sustainable fusion energy source;

• Support the development of the scientific understanding required to design and deploy the materials needed to support a burning plasma environment;

• Pursue scientific opportunities and grand challenges in high energy density plasma science to better understand our universe, and to enhance national security and economic competitiveness, and;

• Increase the fundamental understanding of basic plasma science, including both burning plasma and low temperature plasma science and engineering, to enhance economic competiveness and to create opportunities for a broader range of science-based applications.

This is a time of important progress and discovery in fusion research. The U.S. has joined an international consortium (consisting of the European Union, Japan, China, Russia, Korea, and India) to fabricate and operate the next major step in the fusion energy sciences research program, a facility called “ITER. The purpose of ITER is to demonstrate the scientific and technological feasibility of fusion energy for peaceful purposes. Experimental operations are planned to begin in approximately 10 years and are expected to continue for 20 years, demonstrating production of at least 10 times the power used to heat the fusion fuel and providing a platform to validate proposed commercial-grade technologies needed for power production. The FES program is making great progress in understanding turbulent losses of particles and energy across magnetic field lines used to confine fusion fuels, identifying and exploring innovative approaches to fusion power that may lead to more economical power plants and encouraging private sector interests to apply concepts developed in the fusion research program. The following topics are restricted to advanced technologies and materials for fusion energy systems, fusion science, and technology relevant to magnetically confined plasmas, high energy density plasmas and inertial fusion energy, and low-temperature plasmas, as described below. For additional information regarding the Office of Fusion Energy Sciences priorities, click here.

http://science.energy.gov/fes/

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22. ADVANCED TECHNOLOGIES AND MATERIALS FOR FUSION ENERGY SYSTEMS


An attractive fusion energy source will require the development of superconducting magnets and materials as well as technologies that can withstand the high levels of surface heat flux and neutron wall loads expected for the in-vessel components of future fusion energy systems. These technologies and materials will need to be substantially advanced relative to today's capabilities in order to achieve safe, reliable, economic, and environmentally-benign operation of fusion energy systems. Further information about research funded by the Office of Fusion Energy Sciences (FES) can be found at the FES Website, http://www.science.energy.gov/fes. Grant applications are sought in the following subtopics:

a. Plasma Facing Components The plasma facing components (PFCs) in energy producing fusion devices will experience 5-15 MW/m2 surface heat flux under normal operation (steady-state) and off-normal energy deposition up to 1 MJ/m2 within 0.1 to 1.0 ms. Refractory solid surfaces represent one type of PFC option. These PFCs are envisioned to have a refractory metal heat sink, cooled by helium gas, and a plasma facing surface, consisting of an engineered refractory metal surface or a thin coating of refractory material that minimizes thermal stresses. The materials being considered include tungsten alloys. Grant applications are sought to develop: (1) innovative tungsten alloys having good thermal conductivity , resistance to recrystallization and grain growth, good mechanical properties (e.g., strength and ductility), and resistance to thermal fatigue; (2) coatings or bulk specialized low-Z materials for improved plasma performance; (3) innovative refractory-metal heat sink designs for enhanced helium gas cooling; (4) efficient fabrication methods for engineered surfaces that mitigate the stresses due to high heat flux; and (5) joining methods, for attaching the plasma facing material to the heat sink, that are reliable, efficient to manufacture, and capable of high heat transfer – these new joining techniques may be applicable to either advanced, helium-cooled, refractory heat sinks or present-day, water-cooled, copper-alloy heat sinks. Another PFC option is to use a flowing liquid metal surface as a plasma facing component, an approach which will require the production and control of thin, fast flowing, renewable films of liquid lithium, gallium, or tin for particle control at diverters. Grant applications are sought to develop: (1) techniques for the production, control, and removal of flowing (velocity 0.01 to 10 m/s) liquid metal films (0.5-5 mm thick) over a temperature controlled substrate; (2) advances in materials that are wetted by liquid metals at temperatures near the respective metal melting point and that are conducive to the production of uniform well-adhered films; (3) techniques for active control of liquid

http://www.science.energy.gov/fes

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metal flow and stabilization in the presence of plasma instabilities (time and space varying magnetic field). Questions – contact: Pete Pappano, [email protected]

b. Blanket Materials and Systems This topic seeks to address the challenges in harnessing fusion power, and developing the fusion fuel cycle technology through an advanced breeding blanket, which is designed to breed, extract, and process the nuclear fuel and heat energy necessary for a self-sufficient, electricity-generating reactor. The blanket is a complex, multi-function, multi-material engineered system (structure, breeder, multiplier, coolant, insulator, tritium processing), with many scientific and technological issues in need of resolution. Proposals are requested that address the following issues that include but are not limited to:

• Innovative solid fusion breeder fuel materials development and simulation tools; • Innovative liquid fusion breeder and/or coolant materials development and simulation

tools; • Advanced materials and tools for simulation and analysis of breeder blanket material and

component behavior in the fusion nuclear environment including thermofluid, MHD, and thermomechanical simulation of coolant flows and structural responses;

• Innovative materials and tools for simulation and analysis of materials and systems for tritium processes including creation, extraction, separation, purification, management and containment;

• Diagnostic sensors for blanket systems that are compatible with the fusion environment; • Neutronic simulation and analysis tools that go beyond the current state of the art.

More detail on the topics of interest follow: Solid breeder material concepts that advance as many as possible of the following criteria: (1) high breeder material densities (up to~80%); (2) high thermal conductivities (as opposed to point contacts between pebbles); (3) better thermal contact, such as reliable joined contact, with cooling structures (instead of point contacts between pebbles and wall); (4) the absence of major geometry changes between beginning-of-life and end-of life (such as sintering in pebble beds) in the presence of high neutron fluence; (5) structural integrity in freestanding and self-supporting structures with significant thermo-mechanical flexibility; (6) high breeding ratios that benefit from increased breeder and multiplier material densities (typically lithium and beryllium) and preferably leverage existing R&D in nano and micro engineered materials, such as those developed for advanced lithium ion batteries; and tools for simulation and analysis of materials and systems for solid breeders that leverage advanced computational techniques. New liquid breeder material concepts that advance as many as possible of the following criteria: (1) new liquid breeder materials that have a high breeding capacity; (2) that are not influenced by the magnetohydrodynamic (MHD) effect; (3) can operate at high temperatures (400-700 deg C); (4) are not


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corrosive to the materials used in planned fusion systems (RAFM steels, ODS steels, NFAs, SiC); (5) are conducive to tritium extraction, and tools for simulation and analysis of materials and systems for liquid breeders that leverage advanced computational techniques. Innovative materials and tools for solving specific challenges, such advanced simulation and analysis tools for thermofluid, MHD, and thermomechanical coolant flows and material responses. Also insulating the flowing liquid metal breeder/coolant against MHD and thermal effects with Flow Channel Inserts (FCI). These materials have a low electrical conductivity (1 to 50 Ω-1m-1). FCI structural loading is low, but they must be able to withstand radiation damage and thermal stresses from through-surface temperature differences in the range of 150-300K, over a thickness of 3 to 15 mm depending on designs. Materials, simulations and tools needed for managing tritium used in the fusion fuel cycle in a safer and more efficient manner are needed. Early experiments can be performed using hydrogen as a surrogate, but more advanced technology development will likely need to be partnered with a national laboratory with the ability to handle tritium. Current solid breeders operate with a He purge gas at approximately 8 MPa, and liquid metal breeders at a partial pressure of approximately 0.3 Pa. Tritium extraction technologies including permeator materials and extraction methods need to distinguish between the different species for more efficient trapping and desorption from the He purge gas that operate at better than 40% efficiency on the first pass. An advanced purification system to remove impurities at better than 90% efficiency on the first pass is needed along with tritium barrier and management materials. An integrated multi-physics simulation tool to model tritium chemistry, tritium transport through materials, permeation rates, tritium concentration and flux in materials and systems, at different irradiation levels which goes beyond the current state of the art available domestically and internationally. Diagnostics for the blanket system are needed, including liquid metal flow sensors that are able to accurately measure the velocity profile across the whole cross-section, and tritium concentration sensors. Neutronic and safety simulation and analysis tools for determining radiation-induced material damage, tritium breeding efficiency, and worker radiation exposure conditions under a fusion environment with a peak 14 MeV neutron source are needed. The fusion neutronic environment is different, and harsher than the fission environment. Simulation and analysis tools that advance the state of the art to enable effective prediction of the fusion Tritium Breeding Ratio (TBR), material damage effects, such as swelling and creep, and prediction of the effectiveness of fusion radiation shields and barriers designed to limit worker and remote handling equipment exposure to the radiation environment, are critical to the safe adoption of fusion power. Ideally these tools are plug-ins, or compatible modules within existing commercial design software codes for structural, thermal, fatigue, or fluid flow, or safety analyses, such as Ansys®, Fluent®, Nastran®, LS-DYNA®, to enhance the integration, validation, and adoption of the tools. Questions – contact: Edward Stevens, [email protected]


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c. Superconducting Magnets and Materials New or advanced superconducting magnet concepts are needed for plasma fusion confinement systems. Of particular interest are magnet components, superconducting, structural and insulating materials, or diagnostic systems that lead to magnetic confinement devices which operate at higher magnetic fields (14T-20T), in higher nuclear irradiation environments, provide improved access/maintenance or allow for wider operating ranges in temperature or pulsed magnetic fields. Grant applications are sought for: Innovative and advanced superconducting materials and manufacturing processes that have a high potential for improved conductor performance and low fabrication costs. Of specific interest are materials such as YBCO conductors that are easily adaptable to bundling into high current cables carrying 30-60 kA. Desirable characteristics include high critical currents at temperatures from 4.5 K to 50 K, magnetic fields in the range 5 T to 20 T, higher copper fractions, low transient losses, low sensitivity to strain degradation effects, high radiation resistance, and improved methods for cabling tape conductors taking into account twisting and other methods of transposition to ensure uniform current distribution. Novel methods for joining coil sections for manufacture of demountable magnets that allow for highly reliable, re-makeable joints that exhibit excellent structural integrity, low electrical resistance, low ac losses, and high stability in high magnetic field and in pulsed applications. These include conventional lap and butt joints, as well as very high current plate-to-plate joints. Reliable sliding joints can be considered. Innovative structural support methods and materials, and magnet cooling and quench protection methods suitable for operation in a fusion radiation environment that results in high overall current density magnets. Novel, advanced sensors and instrumentation for monitoring magnet and helium parameters (e.g., pressure, temperature, voltage, mass flow, quench, etc.); of specific interest are fiber optic based devices and systems that allow for electromagnetic noise-immune interrogation of these parameters as well as positional information of the measured parameter within the coil winding pack. A specific use of fiber sensors is for rapid and redundant quench detection. Novel fiber optic sensors may also be used for precision measurement of distributed and local temperature or strain for diagnostic and scientific studies of conductor behavior and code calibration. Radiation-resistant electrical insulators, e.g., wrap able inorganic insulators and low viscosity organic insulators that exhibit low gas generation under irradiation, less expensive resins and higher pot life; and insulation systems with high bond and higher strength and flexibility in shear. Questions – contact: Barry Sullivan, [email protected]


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d. Structural Materials and Coatings Fusion materials and structures must function for a long time in a uniquely hostile environment that includes combinations of high temperatures, reactive chemicals, high stresses, and intense damaging radiation. The goal is to establish the feasibility of designing, constructing and operating a fusion power plant with materials and components that meet demanding objectives for safety, performance, and minimal environmental impact. Grant applications are sought for: Development of innovative methods for joining beryllium (~2 mm thick layer) to RAFM steels. The resulting bonds must be resistant to the effects of neutron irradiation, exhibit sufficient thermal fatigue resistance, and minimize or prevent the formation of brittle intermetallic phases that could result in coating debonding. Development of fabrication techniques for typical component geometries envisioned for use in test blanket modules for operation in ITER using current generation RAFM steels. Such fabrication techniques could include but are not limited to appropriate welding, hot-isostatic pressing, hydroforming, and investment casting methods as well as effective post joining heat treatment techniques and procedures. Appropriate fabrication technologies must produce components within dimensional tolerances, while meeting minimum requirements on mechanical and physical properties. Development of oxide dispersion strengthened (ODS) ferritic steels. Approaches of interest include the development of low cost production techniques, improved isotropy of mechanical properties, development of joining methods that maintain the properties of the ODS steel, and development of improved ODS steels with the capability of operating up to ~800˚C, while maintaining adequate fracture toughness at room temperature and above. Development of functional coatings for the RAFM/Pb-Li blanket concept. Coatings are needed for functions that include (1) compatibility: minimizing dissolution of RAFM in Pb-Li at 700°C, (2) permeation: reducing tritium permeation (hydrogen for demonstration) by a factor of >100 and (3) electrically insulating: reducing the pressure drop due to the magneto-hydrodynamic (MHD) effect. Proposed approaches must: (1) account for compatibility with both the coated structural alloy and liquid metal coolant for long-time operation at 500-700˚C (2) address the potential application of candidate coatings on large-scale system components; and (3) demonstrate that the permeation and MHD coatings are functional during or after exposure to Pb-Li. Priority will be given to innovative methods or experimental approaches that enhance the ability to obtain key mechanical or physical property data on miniaturized specimens, and to the micromechanics evaluation of deformation and fracture processes. Questions – contact: Pete Pappano, [email protected]


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e. Other In addition to the specific subtopics listed above, the Department invites grant applications in other areas that fall within the scope of the topic description above. Questions – contact: Barry Sullivan, [email protected] References: Subtopic a 1. U.S. Department of Energy Office of Fusion Energy Sciences. (2009). Research Needs for Magnetic

Fusion Energy Sciences. Report of the Research Needs Workshop (ReNeW). Bethesda, Maryland. June 8-12, 2009. http://science.energy.gov/~/media/fes/pdf/workshop-reports/Res_needs_mag_fusion_report_june_2009.pdf

2. U.S. Department of Energy Office of Science: Fusion Energy Sciences Advisory Committee. (2012).

Opportunities for Fusion Materials Science and Technology Research now and During the ITER Era. http://science.energy.gov/~/media/fes/pdf/workshop-reports/20120309/FESAC-Materials-Science-final-report.pdf

Subtopic b 1. U.S. Department of Energy Office of Fusion Energy Sciences. (2009). Research Needs for Magnetic

Fusion Energy Sciences. Report of the Research Needs Workshop (ReNeW). Bethesda, Maryland. June 8-12, 2009. pp. 285-292. http://science.energy.gov/~/media/fes/pdf/workshop-reports/Res_needs_mag_fusion_report_june_2009.pdf

2. U.S. Department of Energy Office of Science: Fusion Energy Sciences Advisory Committee. (2012).

Opportunities for Fusion Materials Science and Technology Research now and During the ITER Era. http://science.energy.gov/~/media/fes/pdf/workshop-reports/20120309/FESAC-Materials-Science-final-report.pdf

3. C. E. Kessel, et al. (2012). Fusion Nuclear Science Pathways Assessment (FNS-PA). Princeton Plasma Physics Laboratory. Available at http://bp.pppl.gov/pub_report/2012/PPPL-4736-abs.html

Subtopic c 1. U.S. Department of Energy Office of Fusion Energy Sciences. (2009). Research Needs for Magnetic

Fusion Energy Sciences. Report of the Research Needs Workshop (ReNeW). Bethesda, Maryland. June 8-12, 2009. pp. 285-292. http://science.energy.gov/~/media/fes/pdf/workshop-reports/Res_needs_mag_fusion_report_june_2009.pdf.

2. J.V. Minervini & J.H. Schultz. (2003). U.S. Fusion Program Requirements for Superconducting

Magnet Research. Applied Superconductivity, IEEE Transactions. Volume 13. Issue 2. pp. 1524-1529. Available at http://ieeexplore.ieee.org/xpl/freeabs_all.jsp?arnumber=1211890.


http://science.energy.gov/~/media/fes/pdf/workshop-reports/Res_needs_mag_fusion_report_june_2009.pdf


http://science.energy.gov/~/media/fes/pdf/workshop-reports/20120309/FESAC-Materials-Science-final-report.pdf






http://bp.pppl.gov/pub_report/2012/PPPL-4736-abs.html



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3. L. Bromberg, et al. (2001). Options for the Use of High Temperature Superconductor in Tokamak Fusion Reactor Designs. Fusion Engineering and Design. Volume 54. pp. 167-180. http://www-ferp.ucsd.edu/LIB/REPORT/JOURNAL/FED/01-bromberg.pdf.

4. J.W. Ekin. (2006). Experimental Techniques for Low-Temperature Measurements: Cryostat Design, Material Properties, and Superconductor Critical-Current Testing. Oxford University Press. ISBN13: 978-0-19-857054-7. http://researchmeasurements.com/figures/ExpTechLTMeas_Apdx_English.pdf.

Subtopic d 1. United States Department of Energy Office of Fusion Energy Sciences. (2009). Research Needs for

Magnetic Fusion Energy Sciences. Report of the Research Needs Workshop (ReNeW). Bethesda, Maryland. June 8-12, 2009. pp. 285-292. http://science.energy.gov/~/media/fes/pdf/workshop-reports/Res_needs_mag_fusion_report_june_2009.pdf.

23. FUSION SCIENCE AND TECHNOLOGY


The Fusion Energy Sciences program currently supports several fusion-related experiments with many common objectives. These include expanding the scientific understanding of plasma behavior and improving the performance of high temperature plasma for eventual energy production. The goals of this topic are to develop and demonstrate innovative techniques, instrumentation, and concepts for (a) measuring magnetized-plasma parameters, (b) for low-temperature and multi-phase plasmas, (c) for magnetized-plasma simulation, control, and data analysis, and (d) for overcoming deleterious plasma effects during discharges. It is also intended that concepts developed as part of the fusion research program will have application to industries in the private sector. Further information about research funded by the Office of Fusion Energy Sciences (FES) can be found in the FES website at http://science.energy.gov/fes/. Grant applications are sought in the following subtopics:

a. Diagnostics Diagnostics are key to advancing our ability to predict and control the behavior of fusion plasmas. Applications are sought for the development of advanced diagnostic techniques to enable new way of studying plasma behavior, or to measure plasma parameters not previously accessible, or at a level of detail greater than previously possible, or at a substantially reduced cost or complexity, and for the development needed in applying existing diagnostics to new, relatively unexplored, or unfamiliar plasma regimes or scenarios. Development of diagnostics meeting needs for advancing the science of boundary and pedestal physics, explosive instability (including ELMs and disruptions), and long-pulse magnetized plasmas are particularly welcome. Development leading to dramatic reduction in the cost

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of particle accelerators (e.g. MEMS-based accelerators) suitable for use as a diagnostic for magnetic fusion experiments are encouraged, as well as new detectors and associated technologies to work with these accelerators as a diagnostic system. Requests seeking funding for the routine application or operation of proven and matured diagnostic techniques at the major fusion facilities will not be considered under this subtopic. Such diagnostic applications are typically funded via separate solicitations as part of experimental facilities, based on their own research program priorities. Questions – contact: Francis Thio, [email protected]

b. Components for Heating and Fueling of Fusion Plasmas Grant applications are sought to develop components related to the generation, transmission, and launching of high power electromagnetic waves in the frequency ranges of Ion Cyclotron Resonance Heating (ICRH, 50 to 300 MHz), Lower Hybrid Heating (LHH, 2 to 10 GHz), and Electron Cyclotron Resonance (or Electron Bernstein Wave) Heating (ECRH / EBW, 28 to 300 GHz). These improved components are sought for the microwave heating systems of the fusion facilities in the United States and facilities under construction including ITER. Components of interest include power supplies, high power microwave sources or generators, fault protection devices, transmission line components, and antenna and launching systems. Specific examples of some of the components that are needed include tuning and matching systems, unidirectional couplers, circulators, mode convertors, windows, output couplers, loads, energy extraction systems from spent electron beams and particle accelerators, and diagnostics to evaluate the performance of these components. Of particular interest are components that can safely handle a range of frequencies and increased power levels. For the ITER project, the United States will be supplying the transmission lines for both the ECRH (2 MW/line) system, at a frequency of 170 GHz, and for the ICRH system (6 MW/line), operating in the range of 40 – 60 MHz.. For this project, grant applications are needed for advanced components that are capable of improving the efficiency and power handling capability of the transmission lines, in order to reduce losses and protect the system from overheating, arcing, damage or failure during the required long pulse operation (~3000s). Examples of components needed for the ECRH transmission line include high power loads, low loss miter bends, polarizers, power samplers, windows, switches, and dielectric breaks. Examples of components needed for the ICRH transmission line include high power loads, tuning stubs, phase shifters, switches, arc localization methods, and in line dielectric breaks. For the ECRH and ICRH ITER transmission lines, improved techniques are needed for the mass production of components, in order to reduce cost. Lastly, advanced computer codes are needed to simulate the radiofrequency, microwave, thermal, and mechanical components of the transmission lines. Questions – contact: Barry Sullivan, [email protected]

c. Simulation and Data Analysis Tools for Magnetically Confined Plasmas The predictive simulation of magnetically confined fusion plasmas is important for the design and evaluation of plasma discharge feedback and control systems; the design, operation, and performance assessment of existing and proposed fusion experiments; the planning of experiments on existing



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devices; and the interpretation of the experimental data obtained from these experiments. Developing a predictive simulation capability for magnetically confined fusion plasmas is very challenging because of the enormous range of overlapping temporal and spatial scales; the multitude of strongly coupled physical processes governing the behavior of these plasmas; and the extreme anisotropies, high dimensionalities, complex geometries, and magnetic topologies characterizing most magnetic confinement configurations. Although considerable progress has been made in recent years toward the understanding of these processes in isolation, there remains a critical need to integrate them in order to develop an experimentally validated integrated predictive simulation capability for magnetically confined plasmas. In addition, the increase in the fidelity and level of integration of fusion simulations enabled by advances in high performance computing hardware and associated progress in computational algorithms has been accompanied by orders of magnitude increases in the volume of generated data. In parallel, the volume of experimental data is also expected to increase considerably, as U.S. scientists have started collaborations on a new generation of overseas long-pulse superconducting fusion experiments. Accordingly, a critical need exists for developing data analysis tools addressing big data challenges associated with computational and experimental research in fusion energy science. Grant applications are sought to develop simulation and data analysis tools for magnetic fusion energy science addressing some of the challenges described above. Areas of interest include: (1) verification and validation tools, including efficient methods for facilitating comparison of simulation results with experimental data; (2) methodologies for building highly configurable and modular scientific codes and flexible user-friendly interfaces; (3) tools for creating interfaces to legacy codes; and (4) remote collaboration tools that enhance the ability of geographically distributed groups of scientists to interact and collaborate in real-time. The simulation and data analysis tools should be developed using modern software techniques, should be capable of exploiting the potential of current and next generation high performance computational systems, and should be based on high fidelity physics models. The applications submitted in response to this call should have a strong potential for commercialization and should not propose work that is normally funded by program funds. Although applications submitted to this topical area should primarily address the simulation and data analysis needs of magnetic fusion energy science, applications proposing the development of tools and methodologies which have a broader applicability, and hence increased commercialization potential, are encouraged. Questions – contact: John Mandrekas, [email protected]

d. Components and Modeling Support for Validation Platforms for Fusion Science Small-scale plasma research experiments in the FES program have the long-term performance measure of demonstrating enhanced fundamental understanding of magnetic confinement and improving the basis for future burning plasma experiments. This can be accomplished through investigations and validations of the linkage between prediction and measurement for scientific leverage in testing the theories and scaling the phenomena that are relevant to future burning plasma systems. This research

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includes investigations in a variety of concepts such as stellarators, spherical tori, and reversed field pinches. Key program issues include initiation and increase of plasma current; dissipation of plasma exhaust power; symmetric-torus confinement prediction; stability, continuity, and profile control of low-aspect-ratio symmetric tori; quasi-symmetric and three-dimensional shaping benefits to toroidal confinement performance; divertor design for three-dimensional magnetic confinement configurations, and the plasma-materials interface. Grant applications are sought for scientific and engineering developments, including computational modeling, in support of current experiments in these research activities, in particular for the small-scale concept exploration experiments. The proposed work should have a strong potential for commercialization. Overall, support of research that can best help deepen the scientific foundations of understanding and improve the tokamak concept is an important focus area for grant applications. Questions – contact: Sam Barish, [email protected]

e. Other In addition to the specific subtopics listed above, the Department invites grant applications in other areas that fall within the scope of the topic description above. Questions – contact: Barry Sullivan, [email protected] References: Subtopic b 1. C.K. Phillips & J. R. Wilson. (2011). Radio Frequency Power in Plasmas: Proceedings of the 19th

Topical Conference. AIP Conference Proceedings. Volume 1406, pp.1-2. Newport, Rhode Island. June 1-3, 2011. ISBN: 978-0-7354-0978-1. Available at http://scitation.aip.org/content/aip/proceeding/aipcp/1406

2. M.A. Henderson, et al. (2009). A Revised ITER EC System Baseline Design Proposal. Proceedings of

the 15th Joint Workshop on Electron Cyclotron Emission and Electron Cyclotron Resonance Heating. Yosemite National Park, California. March 10-13, 2008. World Scientific Publishing Co. ISBN: 978-981-281-463-0. Available at http://adsabs.harvard.edu/abs/2009ecee.conf..458H

3. J. Lohr, et al. (2011). The Multiple Gyrotron System on the DIII-D Tokamak. Journal of Infrared, Millimeter and Terahertz Waves. Volume 32. Issue 3. pp 253-273. Available at http://www.springerlink.com/content/9t6k415838802066/

4. T. Omori, et al. (2011). Overview of the ITER EC H&CD System and Its Capabilities. Fusion Engineering and Design. Volume 86. Issues 6-8. pp. 951-954. Available at http://infoscience.epfl.ch/record/176865



http://scitation.aip.org/content/aip/proceeding/aipcp/1406

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5. M.A. Shapiro, et al. (2010). Loss Estimate for ITER ECH Transmission Line Including Multimode Propagation. Fusion Science and Technology. Volume 57. Issue 3. pp. 196-207. Available at http://www.new.ans.org/pubs/journals/fst/a_9467

Subtopic c 1. A. Kritz & D. Keyes. (2009). Fusion Simulation Project Workshop Report. Journal of Fusion Energy.

Volume 28. pp. 1-59. http://science.energy.gov/~/media/fes/pdf/workshop-reports/Fsp_workshop_report_may_2007.pdf

2. P.W. Terry, et al. (2008). Validation in Fusion Research: Towards Guidelines and Best Practices.

Physics of Plasmas. Volume 15. Issue 062503. http://plasma.physics.wisc.edu/uploadedfiles/journal/Terry524.pdf

3. P. Schissel, et al. (2006). Collaborative Technologies for Distributed Science: Fusion Energy and High-energy Physics. Journal of Physics: Conference Series. Volume 46. pp. 102-106. Available at http://iopscience.iop.org/1742-6596/46/1/015

4. S. Klasky, et al. (2005). Data Management on the Fusion Computational Pipeline. Journal of Physics: Conference Series. Volume 16. pp. 510-520. Available at http://iopscience.iop.org/1742-6596/16/1/070

5. Scientific Grand Challenges in Fusion Energy Sciences and the Role of Computing at the Extreme Scale. Fusion Energy Sciences and the Role of Computing at the Extreme Scale Workshop. Gaithersburg, Maryland. March 18-20, 2009. http://extremecomputing.labworks.org/fusion/PNNL_Fusion_final19404.pdf

6. J. Cohen & M. Garland. (2009). Solving Computational Problems with GPU Computing. Computing in Science and Engineering. Volume 11. pp. 58-63. Available at http://www.computer.org/csdl/mags/cs/2009/05/mcs2009050058-abs.html

7. M. Greenwald, et al. A Metadata Catalog for Organization and Systemization of Fusion Simulation Data. Fusion Engineering and Design. Volume 87. Issue 12. pp. 2205-2208. Available at http://www.sciencedirect.com/science/article/pii/S0920379612002025

Subtopic d 1. Proceedings from the Workshop on Exploratory Topics in Plasma and Fusion Research (EPR2013).

Fort Worth, Texas. February 12-15, 2013. Available at http://www.iccworkshops.org/epr2013/proceedings.php

2. United States Department of Energy Office of Fusion Energy Sciences. (2009). Research Needs for

Magnetic Fusion Energy Sciences. Report of the Research Needs Workshop (ReNeW). Bethesda, Maryland. June 8-12, 2009. http://science.energy.gov/~/media/fes/pdf/workshop-reports/Res_needs_mag_fusion_report_june_2009.pdf

http://www.new.ans.org/pubs/journals/fst/a_9467

http://science.energy.gov/~/media/fes/pdf/workshop-reports/Fsp_workshop_report_may_2007.pdf

http://science.energy.gov/~/media/fes/pdf/workshop-reports/Fsp_workshop_report_may_2007.pdf

http://plasma.physics.wisc.edu/uploadedfiles/journal/Terry524.pdf




http://extremecomputing.labworks.org/fusion/PNNL_Fusion_final19404.pdf

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24. HIGH ENERGY DENSITY PLASMAS AND INERTIAL FUSION ENERGY


High-energy-density laboratory plasma (HEDLP) physics is the study of ionized matter at extremely high density and temperature, specifically when matter is heated and compressed to a point that the stored energy in the matter reaches approximately 100 billion Joules per cubic meter (the energy density of a hydrogen molecule). This corresponds to a pressure of approximately 1 million atmospheres or 1 Mbar. Research in HEDLP forms the scientific foundation for developing scenarios that could facilitate the transition from laboratory inertial confinement fusion (ICF) to inertial fusion energy (IFE). While substantial scientific and technical progress in inertial confinement fusion has been made during the past decade, many of the technologies required for an integrated inertial fusion energy system are still at an early stage of technological maturity. This relative immaturity ensures that commercially viable IFE remains a long-term (>15 years) objective. Research and development activities are sought which address specific technology needs (specified below), necessary to both assess and advance IFE. Given the long-term prospects for IFE, applications submitted under this topical area must also clearly describe their potential/plans for short-term (2-10 years) commercialization in other commercial industries such as telecommunications, biomedical, etc. Grant applications are sought in the following subtopics:

a. Driver Technologies

Inertial fusion energy hinges on the ability to compress an ICF target in tens of nanoseconds and repeat this process tens of times per second. Thus, the development of technologies is needed to build a driver (e.g., lasers, heavy-ions, pulsed power) that can meet the IFE requirements for energy on target, efficiency, repetition rate, durability, and cost. Specific areas of interest include but are not limited to: wavelength and beam quality for lasers, brightness for lasers and heavy ions, and pulse shaping and power. Questions – contact: Curt Bolton, [email protected]

b. Ultrafast Diagnostics The development of ultrafast diagnostics is needed to assess driver and plasma conditions on sub-picosecond time scales. This technology has the potential to enable the development and deployment of feedback systems capable of ensuring the necessary reliability required for commercially viable IFE. Specific areas of interest include but are not limited to the generation, detection, and control of nonlinear optical processes in plasmas. Questions – contact: Curt Bolton, [email protected]



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c. Other In addition to the specific subtopics listed above, the Department invites grant applications in other areas that fall within the scope of the topic description above. Questions – contact: Curt Bolton, [email protected] References: General 1. Advancing the Science of High Energy Density Laboratory Plasmas. Report of the High Energy

Density Laboratory Plasmas Panel of the Fusion Energy Sciences Advisory Committee. January 2009. http://science.energy.gov/~/media/fes/fesac/pdf/2009/Fesac_hed_lp_report.pdf

25. LOW TEMPERATURE PLASMAS


Low-temperature plasma science and engineering addresses research and development in partially ionized gases with electron temperatures typically below 10 eV. This is a field that accounts for an enormous range of practical applications, from light sources and lasers to surgery and making computer chips, among many others. The commercial and technical value of low temperature plasma (LTP) is well established where much of this benefit has resulted from empirical development. As the technology becomes more complex and addresses new fields, such as energy and biotechnology, empiricism rapidly becomes inadequate to advance the state of the art. Predictive capability and improved understanding of the plasma state becomes crucial to address many of the intellectually exciting scientific challenges of this field. Building upon fundamental plasma science, further developments are sought in plasma sources, plasma surface interactions, and plasma control science that can enable new plasma technologies or marketable product and impact in other areas or disciplines leading to even greater societal benefit. The focus is on utilizing fundamental plasma science knowledge and turning it into new applications. Use of readily available LTPs involving very little plasma science in a direct application of another field will not be considered. All research proposals must have a strong commercialization potential. Grant applications are sought in the following subtopics:

a. Low-Temperature Plasma Science and Technology for Biology and Biomedicine One of the current challenges identified in the areas of biological and medical applications of low-temperature plasmas is improving our current understanding and scientific knowledge in the area of


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plasma-biomatter interactions. Specific examples include but are not limited to: plasma-based bacterial inactivation, cancer cell modification, etc. Questions – contact: Curt Bolton, [email protected]

b. Low-Temperature Plasma Science and Engineering for Plasma Nanotechnology Another current challenge has been identified in plasma assisted material synthesis for improving our current understanding and scientific knowledge in the area of plasma nanotechnology. Specific examples include but are not limited to: plasma-based nanotubes, submicron matters, etc. Questions – contact: Curt Bolton, [email protected]

c. Other In addition to the specific subtopics listed above, the Department invites grant applications in other areas relevant to this topic including plasmas separation technology, plasma assisted combustion and fuel generation, and MHD power generation. Questions – contact: Curt Bolton, [email protected] References: General

1. Low-Temperature Plasma Science Workshop: Not Only the Fourth State of Matter but All of Them. (2008). Report of the U.S. Department of Energy Office of Fusion Energy Sciences Workshop on Low Temperature Plasmas. March 25-27, 2008. http://science.energy.gov/fes/about/~/media/fes/pdf/about/Low_temp_plasma_report_march_2008.pdf

2. Plasma 2010 Committee, Plasma Science Committee & National Research Council. (2007). Plasma Science: Advancing Knowledge in the National Interest. Washington, D.C.: The National Academies Press. Available at http://www.nap.edu/catalog.php?record_id=11960




http://science.energy.gov/fes/about/~/media/fes/pdf/about/Low_temp_plasma_report_march_2008.pdf

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PROGRAM AREA OVERVIEW: OFFICE OF HIGH ENERGY PHYSICS Through fundamental research, scientists have found that all observed matter is composed of apparently point-like particles, called leptons and quarks. These constituents of matter were created following the "big-bang" that originated our universe, and they are components of every object that exists today. We also understand a great deal about the four basic forces of nature: electromagnetism, the strong nuclear force, the weak nuclear force, and gravity. For example, in the past we have learned that the electromagnetic and weak forces are two components of a single force, called the electro-weak force. This unification of forces is analogous to the unification in the mid-nineteenth century of electric and magnetic forces into electromagnetism. History shows that, over a period of many years, the understanding of electromagnetism has led to many practical applications that form the technical basis of modern society. The goal of the Department of Energy’s (DOE) Office of High Energy Physics (HEP) is to provide mankind with new insights into the fundamental nature of energy and matter and the forces that control them. This program is a major component of the Department's fundamental research mission. Such fundamental research provides the necessary foundation that enables the nation to advance its scientific knowledge and technological capabilities, to advance its industrial competitiveness, and possibly to discover new and innovative approaches to its energy future. The DOE HEP program supports research in three discovery frontiers, namely, the energy frontier, the intensity frontier, and the cosmic frontier. Experimental research in HEP is largely performed by university and national laboratory scientists, usually using particle accelerators located at major laboratories in the U.S. and abroad. Under the HEP program, the Department operates the Fermi National Accelerator Laboratory (Fermilab) near Chicago, IL. The Department also has a significant role in the Large Hadron Collider (LHC) at the CERN laboratory in Switzerland. The Tevatron Collider at Fermilab was the world's highest energy accelerator for over a decade, until the startup of the LHC. The Fermilab complex also includes the Main Injector, which is used independently of the Tevatron to create high- energy particle beams for physics experiments, including the world’s most intense neutrino beam. The SLAC National Accelerator Laboratory and the Lawrence Berkeley National Laboratory are involved in the design of state-of-the-art accelerators and related facilities for use in high-energy physics, condensed matter research, and related fields. SLAC facilities include the 3 kilometer long Stanford Linear Accelerator capable of generating high energy, high intensity electron and positron beams. The first 2 kilometers of the linear accelerator is currently being used for the Facility for Advanced Accelerator Experimental Tests (FACET). While much progress has been made during the past five decades in our understanding of particle physics, future progress depends on a great degree of availability of new state-of-the-art technology for accelerators, colliders, and detectors operating at the high energy and/or high intensity frontiers. Within HEP, the Advanced Technology subprogram supports the research and development required to extend relevant areas of technology in order to support the operations of highly specialized accelerators, colliding beam facilities, and detector facilities which are essential to the goals of the

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overall HEP program. As stewards of accelerator technology for the nation, HEP also supports development of new concepts and capabilities that further scientific and commercial needs beyond the discovery science mission. The DOE SBIR program provides a focused opportunity and mechanism for small businesses to contribute new ideas and new technologies to the pool of knowledge and technical capabilities required for continued progress in HEP research, and to turn these novel ideas and technologies into new business ventures. For additional information regarding the Office of High Energy Physics priorities, click here.

26. ADVANCED CONCEPTS AND TECHNOLOGY FOR PARTICLE ACCELERATORS


The DOE High Energy Physics (HEP) program supports a broad research and development (R&D) effort in the science, engineering, and technology of charged particle accelerators, storage rings, and associated apparatus. The strategic plan for HEP includes initiatives on the energy and intensity frontiers, relying on accelerators capable of delivering beams of the required energy and intensity. As high energy physics facilities get bigger and more costly, the DOE HEP program seeks to develop advanced technologies that can be used to reduce the overall machine size and cost, and also to develop new concepts and capabilities that further scientific and commercial needs beyond HEP’s discovery science mission. In many cases the technology sought is closely tied to a specific machine concept which sets the specifications (and tolerances) for the technology. Applicants are strongly encouraged to review the references provided. Applications to subtopics specifically associated with a machine concept that do not closely adhere to the specifications of the machine will be returned as non-responsive. For subtopics that are not machine-specific, applicants are strongly advised to understand the state-of-the-art and to clearly describe in the application what quantitative advances in the technology will result. Grant applications are sought only in the following subtopics:

a. Advanced Accelerator Concepts and Modeling Beamline Components for Emittance Re-partitioning: Grant applications are sought to develop phase space manipulation and associated beamline components capable of repartitioning the beam emittances within the three degrees of freedom. Beamline Components for Beam Current Profile Shaping: High transformer ratios (>>2) are essential for practical collinear wakefield accelerators. One promising approach is the use of the emittance exchange technique to shape the axial beam current profile of the drive beam, for example to generate

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a double-triangular current distribution. Grant applications are sought to design and demonstrate phase space manipulation techniques for tailoring the beam current profile to enhance the performance of beam-driven acceleration techniques. Mitigation and Measurement of CSR in Bends: Degradation of high current beams caused by Coherent Synchrotron Radiation (CSR) in pulse compressors and beamline bends is an important concern for accelerators. The emitted rf wave or modes that are trapped inside the vacuum chamber could be diagnosed using either rf detection or witness beam techniques. Grant applications are sought to study CSR effects in bends, to develop mitigations using lattice or shielding techniques, and to demonstrate the effectiveness of the mitigation techniques at a beam facility. Optical Stochastic Cooling: Grant applications are sought to design and develop a high-precision Optical Stochastic Cooling insert for an electron ring. The insert would consist of a pick-up undulator, a chicane with specific M56 properties, and a kicker undulator. The Optical Stochastic Cooling method described in reference [1] has the potential to cool electrons as well as heavier particles. Supersonic Gas Jets with Programmable Density Profiles: Grant applications are sought to develop high density (range of 1019-1020 /cc), high repetition rate (≥10 Hz) pulsed gas jets with precisely shaped density profiles. Efficient acceleration of mono-energetic proton beams can be achieved with a CO2 gas laser focused on a pulsed supersonic gas jet with tailored longitudinal density profile. The main goal of a shaped density gas jet is to prevent the appearance of electrostatic fields at the rear surface of the target; these fields are responsible for energy broadening of the ion beam. The most effective way to reduce those fields is to introduce an exponential drop in density over a scale length of a few hundred microns. The density profile at the front of the gas jet should follow a linear increase in density over a distance of 100 to 150 microns. In order to accelerate protons to high energies, the gas jet peak density should be controlled from about the critical density of the laser driver used, which is 1019/cc for CO2 lasers to as much as ten times the critical density. Plasma Targets with Programmable Density Profiles: Grant applications are sought to enable precisely shaped plasma target density profiles including hollow plasma channels for emittance control, and density tailoring for injection and guiding, in laser plasma accelerators. Approaches include the use of pulsed cluster gas jets, where high local density within clusters greatly enhances coupling of laser energy into both ions and electrons [1]. Together with the ballistic behavior of the clusters around flow obstacles, this can enable plasma shaping using low energy table top laser systems. Hydrogen clusters are important to enable use of the resulting plasma for high intensity laser targets, and high repetition rate (≥10 Hz) is needed. A well-characterized source that produces clustered gases of carefully controlled size, composition, and high mean density is important to the ability to create density tailoring. Other approaches to nearly hollow channels are also of interest. Novel High Gradient Accelerating Techniques: Grant applications are sought to develop new or improved accelerator designs that can provide very high gradient (>200 MV/m for electrons or >15 MV/m for protons) acceleration of intense bunches of particles, or efficient acceleration of intense (>50 mA) low energy (of order <20 MeV) proton beams. For all proposed concepts, stageability, beam stability, manufacturability, and high-wall-plug-to-beam power efficiency must be considered.

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Novel Accelerator Topologies: Grant applications are sought to demonstrate efficient low-loss proton acceleration in the energy range of 5-25 GeV using non-scaling, fixed-field alternating-gradient (ns-FFAG) accelerators, superconducting cyclotrons, or integrable optics accelerators. The HEP application of interest is for high-intensity proton drivers for neutron production. Applications beyond HEP include neutron sources for reactor materials testing, waste transmutation, energy production in sub-critical nuclear reactors, and lower-intensity applications such as medical proton therapy (250 MeV), and radioisotope production. Advanced Concepts and Modeling for Mu2e [4]: Grant applications are sought for concepts for high efficiency slow extraction from storage rings with high intensity beams. Of primary interest are concepts for extraction systems capable of extracting proton beams of tens of kilowatts, with efficiencies in excess of 99%. Novel beam optics for high-energy, high-intensity proton accelerators: Grant applications are sought for the development of new ideas in beam optics and lattice design for the High-Luminosity LHC (HL-LHC), for the proton improvement plan (PIP-II) at Fermilab and for other proposed proton facilities that will advance the energy frontier or the intensity frontier. The drive towards higher luminosity calls for flat proton beams with ultra-low emittance in one transverse plane; however, space charge tune shifts in the injector chain can become unacceptably large for present lattice designs. Fundamentally different approaches to lattice design may enable order-of-magnitude lower emittances, with corresponding increases in luminosity. For intensity frontier rings, one of the intensity-limiting effects is excitation of head-tail space charge modes, which are still not understood in necessary detail. Computational studies of such modes in realistic lattices are required to better understand the importance of such modes and to develop ways of suppressing them. Advanced Concepts and Modeling for PIP-II: Grant applications are sought to develop new or improved accelerator designs and supporting modeling that can provide efficient acceleration of intense particle beams in either linacs or synchrotrons with beam losses of less than 1 W/m. Topics of interest include: (1) Linac configurations, either pulsed or CW, capable of delivering >1 MW beams at energies between 1-10 GeV; (2) Halo formation in pulsed or CW linacs; (3) Concepts for high intensity rapid cycling synchrotrons; (4) Space-charge mitigation techniques; and (5) New methods for multi-turn H– injection, including laser stripping techniques. Multi-MW proton (or H-) source: Grant applications are sought for multi-MW proton (or H-) source to support intensity frontier programs based on neutrino, muon, kaon, and neutron/nuclei probes. Other possible applications include high-intensity proton drivers for waste transmutation, energy production in sub-critical nuclear reactors, medical proton therapy, and radioisotope production. Questions – contact: John Boger, [email protected]

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b. Computational Tools and Simulation of Accelerator Systems Improved Accelerator Modeling Simulation Codes: Grant applications are sought to develop new or improved computational tools for the design, study, or operation of charged-particle-beam optical systems, accelerator systems, or accelerator components. These tools should incorporate innovative user-friendly interfaces, with emphasis on graphical user interfaces and windows, and tools to translate between standard formats of accelerator lattice description. Grant applications also are sought for the conversion of existing codes for the incorporation of these interfaces (provided that existing copyrights are protected and that applications include the authors' statements of permission where appropriate). Improved Integration of Accelerator Codes: Grant applications also are sought for user-friendly tools in software integration for different components including preprocessors and postprocessors of existing codes or for different application codes into a framework to enhance simulation of accelerator systems [1]. Accurate Modeling and Prediction of High Gradient Breakdown Physics: Grant applications also are sought to develop simulation tools for modeling high-gradient structures, in order to predict such experimental phenomena as the onset of breakdown, post breakdown phenomena, and the damage threshold. Specific areas of interest include, although not limited to, the modeling of: (1) Surface emission, (2) Material heating due to electron and ion bombardment, (3) Multipacting, and (4) Ionization of atomic and molecular species. Approaches that include an ability to import/export CAD descriptions, a friendly graphical user interface, and good data visualization are sought. Grant applications are sought for development and deployment of codes and software modules that are important to HEP projects and for which current capabilities do not exist or are not sufficient. In the past decade HEP-driven accelerator modeling codes have become increasingly sophisticated. Particularly noteworthy is the fact that accelerator codes now combine multiple phenomena, such as single particle nonlinear optics, space-charge effects, beam-beam effects, and beam-material interactions. But there are some phenomena that are important to the HEP mission that are still missing from accelerator codes. Proposals are sought for codes and modules to self-consistently model the interaction of beams with plasmas, including beam-plasma interactions in gas-filled rf cavities, plasma production by incoming beams, and plasma and atomic physics processes. Proposals are also sought for developing codes capable of modeling collective effects in matter. Questions – contact: John Boger, [email protected]

c. Particle Beam Sources (Electron and Ion) High Brightness Electron Sources: Grant applications are also sought to demonstrate technologies that support the production of high-peak current (> 5 kA), low-emittance (< 0.15 micrometer) electron bunches (> 100 pC). Novel emittance partitioning concepts are of particular interest, including developing high compression ratio (>20) bunch compressors based on coupled emittance exchangers that suppress effects from coherent synchrotron radiation.

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Particle Beam Sources for PIP-II [1]/ High Intensity Proton Sources: Grant applications are sought for the design, and demonstration unit(s), of low emittance DC H– sources capable of operating at up to 15 mA with a long lifetime. Long lifetime means greater than one month, minimum, with concurrent high reliability in operations. Of particular interest are sources operating at ~30 keV. Questions – contact: John Boger, [email protected]

d. Novel Device and Instrumentation Development Novel Device and Instrumentation Development for PIP-II [1]: Grant applications are sought for beam deflecting devices that can be used to remove or deflect proton or ion bunches for the purpose of forming variable bunch patterns in high intensity proton accelerators (see also “Deflecting Cavities” in next topic). Specific areas of interest include: Deflecting structures capable of removing individual bunches within a beam from a ~2 MeV CW source, and with a 162.5 MHz bunch structure; specifically with capabilities of providing arbitrary chopping patterns based on selective removal of bunches spaced at 6 nsec; and Driver concepts, either amplifier or switch based, suitable for driving such deflectors with several 100 volts into impedances of 50 or 200 Ohms. Fast Beam Kicker: Grant applications are sought for a fast beam kicker with 50 ns rise time and 150 kV total transverse kick. Questions – contact: John Boger, [email protected]

e. Other In addition to the specific subtopics listed above, the Department invites grant applications in other areas that fall within the scope of the topic description above. Questions – contact John Boger, [email protected] References: General 1. Advanced Accelerator Concepts: 15th Advanced Accelerator Concepts Workshop. AIP Conference

Proceedings. Vol. 1507. Austin, Texas. June 10-15, 2012. Available at http://proceedings.aip.org/resource/2/apcpcs/1507/1




http://proceedings.aip.org/resource/2/apcpcs/1507/1

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2. ICFA Beam Dynamics Workshops and Mini-Workshops. Complete listing of workshops and links to proceedings available at http://www-bd.fnal.gov/icfabd/workshops.html; http://www-bd.fnal.gov/icfabd/mini.html

3. Conference on Applications of Accelerators in Research and Industry. Fort Worth, Texas. August 5-10, 2012. Information and proceedings available at www.caari.com

4. 2012 Beam Instrumentation Workshop (BIW12). Newport News, Virginia. April 15-19. Proceedings available at https://www.jlab.org/conferences/BIW12/

5. International Workshop on Neutrino Factories, Super Beams and Beta Beams. Williamsburg, Virginia. July 23-28, 2012. Information and proceedings available at http://www.jlab.org/conferences/nufact12/

6. T.P. Wangler. (2008). RF Linear Accelerators. Physics Textbook. 2nd ed. Hoboken, New Jersey: Wiley-VCH. ISBN: 978-3527406807. Available at http://www.amazon.com/dp/3527406808

7. R. Raja & S. Mishra. (2010). Applications of High Intensity Proton Accelerators: Proceedings of the Workshop. World Scientific. Batavia, Illinois. ISBN: 978-9814317283. Available at http://www.amazon.com/Applications-High-Intensity-Proton-Accelerators/dp/9814317284

8. A. Chao & M. Tigner. (1999). Handbook of Accelerator Physics and Engineering. World Scientific. River Edge, New Jersey. ISBN: 9-8102-38584. Available at http://www.amazon.com/Handbook-Accelerator-Physics-Engineering-Alex/dp/9810238584

Subtopic a 1. M.S. Zolotorev & A.A. Zholents. (1994). Transit-time Method of Optical Stochastic Cooling. Physical

Review E. Vol. 50, Issue 4, pp. 3087-3091. Available at http://pre.aps.org/abstract/PRE/v50/i4/p3087_1

2. D. Haberberger, et al. (2011). Collisionless Shocks in Laser-produced Plasma Generate

Monoenergetic High-energy Proton Beams. Nature Physics. Vol. 8, pp. 95-99. Available at http://www.nature.com/nphys/journal/v8/n1/abs/nphys2130.html

3. F. Fiuza, et al. (2012). Laser-driven Shock Acceleration of Monoenergetic Ion Beams. Physical Review Letters. Vol. 109, No. 21, 215001. http://arxiv.org/pdf/1206.2903.pdf

4. Muon Accelerator Program. http://map.fnal.gov

5. M.A. Palmer & W. Chou. International Committee for Future Accelerators (ICFA) Beam Dynamics Newsletter. August 2011, No. 55. See information on Muon Colliders and neutrino factories. http://www-bd.fnal.gov/icfabd/Newsletter55.pdf

http://www-bd.fnal.gov/icfabd/workshops.html

http://www-bd.fnal.gov/icfabd/mini.html

http://www-bd.fnal.gov/icfabd/mini.html

http://www.caari.com/

https://www.jlab.org/conferences/BIW12/

http://www.jlab.org/conferences/nufact12/

http://www.amazon.com/dp/3527406808

http://www.amazon.com/Applications-High-Intensity-Proton-Accelerators/dp/9814317284

http://www.amazon.com/Handbook-Accelerator-Physics-Engineering-Alex/dp/9810238584

http://www.amazon.com/Handbook-Accelerator-Physics-Engineering-Alex/dp/9810238584

http://pre.aps.org/abstract/PRE/v50/i4/p3087_1

http://www.nature.com/nphys/journal/v8/n1/abs/nphys2130.html

http://arxiv.org/pdf/1206.2903.pdf

http://map.fnal.gov/

http://www-bd.fnal.gov/icfabd/Newsletter55.pdf

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6. Y. Alexahin (for the Neutrino Factory and Muon Collider Collaboration). (2009). Helical FOFO Snake for 6D Ionization Cooling of Muons. AIP Conference Proceedings. Vol. 1222, pp. 313-318. Available at http://proceedings.aip.org/resource/2/apcpcs/1222/1/313_1

7. R.B. Palmer, et al. 6D Cooling in Periodic Lattices. Advanced Accelerator Group Meeting: June 6, 2013. Available at http://www.cap.bnl.gov/AAG/GroupMeetings/

8. J.S. Berg, et al. A Planar Snake Muon Ionization Cooling. Submitted to NA- PAC13. Pasadena, California. September 29—October 4, 2013. Available at http://www.cap.bnl.gov/AAG/GroupMeetings/

9. D. Stratakis, et al. Studies on New, High-Performance, 6-Dimensional Ionization Cooling Lattices for Muon Accelerators. Submitted to NA- PAC13. Pasadena, California. September 29—October 4, 2013. Available at http://www.cap.bnl.gov/AAG/GroupMeetings/

10. R.C. Fernow, et al. (2003). Muon Cooling in the RFOFO Ring Cooler. Proceedings of the Particle Accelerator Conference (PAC03). http://accelconf.web.cern.ch/AccelConf/p03/PAPERS/WPAE027.PDF

11. X.P. Ding, et al. (2011). Status of Studies of Achromat-Based 6D Ionization Cooling Rings for Muons. Proceedings of IPAC2011. San Sebastian, Spain. http://accelconf.web.cern.ch/AccelConf/IPAC2011/papers/mopz030.pdf

12. V. Balbekov. (2003). Investigation and Simulation of Muon Cooling Ring with Tilted Solenoids. Proceedings of the Particle Accelerator Conference (PAC03). http://accelconf.web.cern.ch/AccelConf/p03/PAPERS/WPAE033.PDF

13. X.P. Ding, et al. (2012). Injection/Extraction of Achromat-based 6D Ionization Cooling Rings for Muons. Proceedings of IPAC2012. New Orleans, Louisiana. http://accelconf.web.cern.ch/AccelConf/IPAC2012/papers/moppc043.pdf

14. S.A. Bogacz, et al. (2013). JEMMRLA - Electron Model of a Muon RLA with Multi-pass Arcs. Proceedings of IPAC2013. Shanghai, China. http://accelconf.web.cern.ch/accelconf/IPAC2013/papers/weoab202.pdf

15. V.S. Morozov, et al. (2012). Linear Fixed-field Multipass Arcs for Recirculating Linear Accelerators. Physical Review Special Topics—Accelerators and Beams. Vol. 15, pp. 060101(1-9). Available at http://prst-ab.aps.org/abstract/PRSTAB/v15/i6/e060101

16. J.S. Berg & A.A. Garren. (2011). A Lattice for a Hybrid Fast-Ramping Muon Accelerator to 750 GeV. Muon Accelerator Program Document 4307-v1. Available at http://map-docdb.fnal.gov/cgi-bin/ShowDocument?docid=4307

http://proceedings.aip.org/resource/2/apcpcs/1222/1/313_1

http://www.cap.bnl.gov/AAG/GroupMeetings/



http://accelconf.web.cern.ch/AccelConf/p03/PAPERS/WPAE027.PDF

http://accelconf.web.cern.ch/AccelConf/IPAC2011/papers/mopz030.pdf

http://accelconf.web.cern.ch/AccelConf/p03/PAPERS/WPAE033.PDF

http://accelconf.web.cern.ch/AccelConf/IPAC2012/papers/moppc043.pdf

http://accelconf.web.cern.ch/accelconf/IPAC2013/papers/weoab202.pdf

http://prst-ab.aps.org/abstract/PRSTAB/v15/i6/e060101

http://map-docdb.fnal.gov/cgi-bin/ShowDocument?docid=4307


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17. J.S. Berg & A.A. Garren. Hybrid Fast-ramping Accelerator to 750 GeV/c: Refinement and Parameters Over Full Energy Range. Muon Accelerator Program Document 4335-v2. Available at http://map-docdb.fnal.gov/cgi-bin/ShowDocument?docid=4335

18. D.J. Summers, et al. (2012). Test of a 1.8 Tesla, 400 Hz Dipole for a Muon Synchrotron. Proceedings of IPAC2012. New Orleans, Louisiana. http://accelconf.web.cern.ch/AccelConf/IPAC2012/papers/thppd020.pdf

19. R.J. Abrams, et al. Mu2e Conceptual Design Report. Submitted November 2012. Available at http://arxiv.org/abs/1211.7019

20. Proton Improvement Plan-II. December 2013. Rev. 1.1. http://projectx-docdb.fnal.gov/cgi-bin/RetrieveFile?docid=1232;filename=1.2%20MW%20Report_Rev5.pdf;version=3

Subtopic b 1. Proton Improvement Plan-II. December 2013. Rev. 1.1. http://projectx-docdb.fnal.gov/cgi-

bin/RetrieveFile?docid=1232;filename=1.2%20MW%20Report_Rev5.pdf;version=3

Subtopic c 1. Proton Improvement Plan-II. December 2013. Rev. 1.1. http://projectx-docdb.fnal.gov/cgi-

bin/RetrieveFile?docid=1232;filename=1.2%20MW%20Report_Rev5.pdf;version=3

27. RADIO FREQUENCY ACCELERATOR TECHNOLOGY


Radio frequency (RF) technology is a key technology common to all high energy accelerators. RF sources with improved efficiency and accelerating structures with increased accelerating gradient are important for keeping the cost down for future machines. DOE-HEP seeks advances directly relevant to HEP applications, and also new concepts and capabilities that further scientific and commercial needs beyond HEP’s discovery science mission. In many cases the technology sought is closely tied to a specific machine concept which sets the specifications (and tolerances) for the technology. Applicants are strongly encouraged to review the references provided. Applications to subtopics specifically associated with a machine concept that do not closely adhere to the specifications of the machine will be returned as non-responsive. For subtopics that are not machine-specific, applicants are strongly advised to understand the state-of-the-art and to clearly describe in the application what quantitative advances in the technology will result.



http://accelconf.web.cern.ch/AccelConf/IPAC2012/papers/thppd020.pdf

http://arxiv.org/abs/1211.7019

http://projectx-docdb.fnal.gov/cgi-bin/RetrieveFile?docid=1232;filename=1.2%20MW%20Report_Rev5.pdf;version=3






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Grant applications are sought only in the following subtopics:

a. Radio Frequency Power Sources and Components High Gradient Research & Development: Grant applications are sought for research on very high gradient RF accelerating structures, normal or superconducting, for use in accelerators and storage rings. Gradients >150 MV/m for electrons and >10 MV/m for protons in normal cavities are of particular interest, as are means for suppressing unwanted higher-order modes and reducing costs. Mitigation Techniques for Surface Breakdown and Multipactoring: Methods for reducing surface breakdown and multipactoring (such as spark-resistant materials or surface coatings, or special geometries) and for suppressing unwanted higher order modes also are of interest, as are studies of surface breakdown and its dependence on magnetic field. Grant applications should be applicable to devices operating at frequencies from 1 to 40 GHz. Laser-initiated rf breakdown is an important issue in high performance photoinjectors. Grant applications are sought to study the origin and mitigation of laser triggered rf breakdown at the photocathode. Analysis and Mitigation of High Repetition Rate Effects in Dielectric Wakefield Accelerators: The interaction of dielectric materials with beam halo might become a significant limiting effect on the performance of dielectric wakefield devices, leading either to deflection of the beam by the static electric field generated, or to breakdown of the structure. Grant applications are sought which emphasize experimental, theoretical or computational studies of the expected charging rate and charge distribution in a thin walled dielectric device and the physics of conductivity and discharge phenomena in dielectric materials useful in accelerator applications. Low-Temperature Bonding Techniques for Hard Copper and Hard Copper Alloys: Recent research on high-gradient normal conducting accelerator structures showed significant advantages of hard copper and hard copper alloys over annealed copper [1,2]. Hard copper and hard copper alloys (e.g. copper-silver) allow these structures to run stably at higher gradients than annealed copper. However, normal manufacturing techniques, which include brazing and or diffusion bonding, anneal the copper; in the case of copper alloys there are no established bonding techniques. Grant applications are sought that can address the development of manufacturing techniques that preserve the hardness of copper or its alloys while at the same time maintains high degree of surface integrity and cleanliness for high gradient operation. Plating, low temperature brazing, and welding are examples of possible technologies for bonding structure cells; however, we would also welcome other ideas and technologies. Low Cost Radio Frequency Power Source for Accelerator Applications: A magnetron [3] represents a very economical microwave source with a cost of a few $/kW. The development of a low cost and highly-efficient RF source for particle acceleration to energies in the 100 GeV to multi-TeV range would have significant impact on the cost of proposed high energy physics accelerators. Such a source would also be useful for other accelerator applications. Under typical operating conditions, the magnetron is an oscillator rather than an amplifier and control of output power is a problem when used as a source for accelerators. The design of a magnetron can be modified to allow the control of its output power

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within a limited range, roughly ±10%, by the incorporation of a low-voltage control grid. In principle, this control can be achieved with effective timescales of a few milliseconds by means of adding a low-voltage grid to the standard magnetron design which will allow modulation of the electron current and hence the power. Grant applications are sought to design and simulate the performance of a magnetron with a control grid to optimize the geometry of the grid and cathode. On the basis of the optimized design, a prototype would be constructed to study the performance over a range of operating voltages and to evaluate the power, frequency, phase and amplitude characteristics. Radio Frequency Power Sources and Components for PIP-II [4]: Grant applications are sought for the development of power sources for accelerating cavities operating with 1-5 mA of average beam current in linacs capable of accelerating protons and ions to several GeV. Frequencies of interest include 325 and 650 MHz. Both pulsed and continuous wave (CW) applications are of interest. Examples of systems of interest include, but are not limited to: klystrons, solid state, inductive output, and phase locking magnetron devices; their associated power supplies; and associated low level radio frequency (LLRF) control systems. Pulsed applications of interest include sources capable of delivering high peak power (multi-MW) with pulse lengths in the range 6-30 msec at 10 Hz. Grant applications are sought for the following specific rf sources and components: L-Band Medium Power Tube – 1.3 GHz, 350 kW, 1.6 millisecond pulses at 5 Hz or 10 Hz. Solid State S-band Klystron Drivers – Peak output power +60dBm at 0.2% duty, 37 dB gain, 5 microsec, 240 Hz, pulse to pulse added noise jitter (10Hz to 2MHz BW) less than 30 fs rms. The amplifier should be designed for installation in a 19 inch rack mount chassis and weigh less than 30 pounds. S-band Pulse Compressor – Power compression ratio ranging from 4 to 8, efficiency >70%, return loss >25 dB, input power >50MW peak, 120 Hz repetition rate, radiation emissions < 10 mrem/hr.[5] S-Band Power Circulator – 65MW peak, 4 microsec pulse length, 120 Hz repetition rate, return loss >25 dB, insertion loss < 0.2dB. S-Band Dry Vacuum Loads – 30 MW peak power, 5 kW average power. X-band Klystron Drivers – 2 kW, 5 µs, 360 Hz, 100 MHz bandwidth, 50 dB gain, low noise (<0.1 degree). X-band Circulator – 50MW peak, 2 microsec pulse length, 120 Hz repetition rate, return loss >25 dB, insertion loss < 0.2dB. X-band Vacuum Loads – Two types are sought: 50 MW peak/5 kW average, and 5 MW peak/25 kW average. Questions – contact: Ken Marken, [email protected]


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b. Pulsed Power Systems

Thyratron Replacement for SLAC Modulators – Grant applications are sought for a replacement for existing thyratron switch tubes that are used in line type modulators. The replacement must meet SLAC specification PS-235-380-00-R4 with the addition of an increase in peak reverse voltage hold of (10kV) and a MTBF of 10,000 hours with a stable recovery process. A desirable feature would be a design that allows for replacement or repair of the cathode. Questions – contact: Ken Marken, [email protected]

c. Other In addition to the specific subtopics listed above, the Department invites grant applications in other areas that fall within the scope of the topic description above. Questions – contact: Ken Marken, [email protected] References: General 1. D.K. Abe & G.S. Nusinovich. (2006). High Energy Density and High Power RF: 7th Workshop on High

Density and High Power RF. Springer Science & Business Media. Kalamata, Greece. June 13-17, 2005. AIP Conference Proceedings. No. 807. ISBN: 0-7354-02981. Available at http://books.google.com/books/about/High_Energy_Density_and_High_Power_RF.html?id=LjZ7xzjAedkC

2. R. Zgadzaj, E. Gaul, & M. Downer. Advanced Accelerator Concepts Workshop. Austin, Texas. June

10-15, 2012. AIP Conference Proceedings. No. 1507. Available at http://proceedings.aip.org/resource/2/apcpcs/1507/1

3. The 26th International Linear Accelerator Conference (LINAC12). Tel Aviv, Israel. September 9-14, 2012. http://www.linac12.org.il/ ; http://accelconf.web.cern.ch/AccelConf/LINAC2012/index.htm

4. 2012 IEEE International Power Modulator and High Voltage Conference (IPMHVC 2012) San Diego, California. June 3-7. Available at http://www.proceedings.com/18149.html

5. Conference on Applications of Accelerators in Research and Industry. Fort Worth, Texas. August 5-10, 2012. Information and proceedings available at www.caari.com

6. Muon Collider Workshop 2011: Physics-Detectors-Accelerators. Telluride, Colorado. June 27–July 1, 2011. http://conferences.fnal.gov/muon11/

7. The 2012 International Particle Accelerator Conference (IPAC12). New Orleans, LA. May 20-25. http://www.ipac12.org/



http://books.google.com/books/about/High_Energy_Density_and_High_Power_RF.html?id=LjZ7xzjAedkC

http://books.google.com/books/about/High_Energy_Density_and_High_Power_RF.html?id=LjZ7xzjAedkC

http://proceedings.aip.org/resource/2/apcpcs/1507/1

http://www.linac12.org.il/

http://accelconf.web.cern.ch/AccelConf/LINAC2012/index.htm

http://www.proceedings.com/18149.html

http://www.caari.com/

http://conferences.fnal.gov/muon11/

http://www.ipac12.org/

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8. International Workshop on Neutrino Factories, Super Beams and Beta Beams. Williamsburg,

Virginia. July 23-28, 2012. Information and proceedings available at http://www.jlab.org/conferences/nufact12/

Subtopic a 1. L. Laurent, et al. (2011). Experimental Study of RF Pulsed Heating. Physical Review Special Topics –

Accelerators and Beams. Vol. 14, pp. 041001(1-21). Available at http://prst-ab.aps.org/abstract/PRSTAB/v14/i4/e041001

2. Valery Dolgashev, et al. (2010). Geometric Dependence of Radio-frequency Breakdown in Normal

Conducting Accelerating Structures. Applied Physics Letters. Vol. 97, Issue 17, pp 171501(1-3). Available at http://apl.aip.org/resource/1/applab/v97/i17/p171501_s1

3. G. Collins. (1948). Microwave Magnetrons. Radiation Laboratory Series 6. McGraw-Hill. Available at http://www.amazon.com/Microwave-Magnetrons-Radiation-Laboratory-6/dp/B000JDA2FG/ref=sr_1_2?s=books&ie=UTF8&qid=1372448127&sr=1-2&keywords=Microwave+magnetrons

4. Proton Improvement Plan-II. December 2013. Rev. 1.1. http://projectx-docdb.fnal.gov/cgi-bin/RetrieveFile?docid=1232;filename=1.2%20MW%20Report_Rev5.pdf;version=3

5. Z. D. Farkas, et al. (1974). SLED: A Method of Doubling SLAC's Energy. Proceedings of the 9th International Conference on High Energy Accelerators. Stanford Linear Accelerator Center. pp. 576-583. http://inspirehep.net/record/94052/files/HEACC74_597-604.pdf

6. S. Tantawi, et al. (2005). High-power Multimode X-band RF Pulse Compression System for Future Linear Colliders. Physical Review Special Topics – Accelerators and Beams. Vol. 8, pp. 042002(1-19). Available at http://prst-ab.aps.org/abstract/PRSTAB/v8/i4/e042002

28. LASER TECHNOLOGY R&D FOR ACCELERATORS


Lasers are used or proposed for use in many areas of accelerator applications: as drivers for novel accelerator concepts for future colliders, in the generation, manipulation, and x-ray seeding of electron beams, in the generation of electromagnetic radiation ranging from THz to gamma rays, and in the generation of neutron, proton, and light ion beams. In many cases ultrafast lasers with pulse lengths well below a picosecond are required, with excellent stability, reliability, and beam quality. With applications demanding ever higher fluxes of particles and radiation, the driving laser technology must also increase in repetition rate—and hence average power—to meet the demand. Please note that

http://www.jlab.org/conferences/nufact12/



http://apl.aip.org/resource/1/applab/v97/i17/p171501_s1

http://www.amazon.com/Microwave-Magnetrons-Radiation-Laboratory-6/dp/B000JDA2FG/ref=sr_1_2?s=books&ie=UTF8&qid=1372448127&sr=1-2&keywords=Microwave+magnetrons





http://inspirehep.net/record/94052/files/HEACC74_597-604.pdf


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proposals submitted in this topic should clearly articulate the relevance of the proposed R&D to HEP’s mission. Grant applications are sought to develop lasers and laser technologies for accelerator applications only in the following specific areas:

a. Ultrafast Infrared Laser Systems at High Peak and Average Power This area is aimed at developing technologies for ultrafast lasers capable of high average power (kilowatt-class) operating at the high electrical-to-optical efficiency (>20%) needed for advanced accelerator applications. Accelerator applications call for lasers with one of four basic specifications:

Type I Type II Type III Type IV Wavelength (micron) 1.5-2.0 0.8-2.0 2.0-5.0 2.0-10.0 Pulse Energy 3 microJ 3 J 0.03–1 J 300 J Pulse Length 300 fs 30–100 fs 50 fs 100–500 fs Repetition Rate 1–1300 MHz 1 kHz 1 MHz 100 Hz Average Power Up to 3 kW 3 kW 3 kW and up 30 kW Energy Stability <1 % <0.1% <1% <1% Beam Quality M2<1.1 Strehl>0.95 M2<1.1 M2<1.1 Wall-plug Efficiency >30% >20% >20% >20% Pre-Pulse Contrast N/A >10-9 N/A >10-9 CEP-capable Required N/A Required N/A Optical Phase Noise <5o N/A <5o N/A Wavelength Tunability Range 0.1% 0.1% 10% 0.1%

To develop lasers meeting these challenging requirements, we seek applications in the five fundamental technology areas which follow. Improved Efficiency Laser Diodes for Pumping at Long Wavelength – While pump diodes at 980 nm have achieved efficiencies beyond 50% in commercial products, pump laser diodes for longer wavelength pumping of Erbium and Thulium fibers remain less efficient. Gains of 10% or more in electrical-to-optical power efficiency are needed to enable longer wavelength fiber lasers to achieve high efficiency. Ceramic-Based Optical Materials – To achieve high average power and high peak power will require new gain materials with superior damage threshold, dopant density, optical bandwidth, and thermal properties. Sintered laser gain materials for ultrafast lasers offer promise of achieving many of these characteristics. Broad bandwidth (>10%) and scalability to high peak power (>10 TW), high average power (>kW) operation is essential. In addition, the development of techniques for producing precisely controlled spatial gain profiles is strongly encouraged. Mode-Locked Seed Laser for High Repetition Rate Applications – Seeding Type I laser systems for accelerators and photocathode electron sources both require very high repetition rate laser oscillators

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producing modelocked pulses with exceptional timing, pointing, and energy stability. Applications are sought for a modelocked Erbium fiber laser producing 1 ps pulses at 1.3 GHz with 0.1 microJ per pulse. Technology must support synchronization to an external reference with < 10 fs rms timing jitter, and must be upgradeable to incorporate carrier-envelope phase locking. Cost Reduction of Ultrafast Fiber Laser Components – Another route to achieving high peak and average power is to coherently combine the output of many (e.g. thousands of) ultrafast fiber lasers. In this case, power efficiency, beam quality, compactness, reliability, stability, and low cost of the individual lasers are each essential. Note that components and subsystems must be developed for propagating and amplifying high-quality (M2<1.2) ultrafast (<100 fs) laser pulses. Proposals that develop integrated subsystems will be given highest priority, although proposals for individual components that offer revolutionary gains in any of the performance characteristics above will also be welcomed. Solid State Seed Lasers for Ultrafast CO2 Laser Systems – Ultrafast CO2 laser systems operating at high peak and average power could drive compact proton and ion sources for a variety of applications. Developing a solid-state ultrafast seed laser for such systems is a key step towards achieving robust, economic operation. Proposals that develop all-solid-state seed laser systems capable of directly seeding high-pressure CO2 laser amplifiers with <500 fs pulses of 100 nJ/pulse are sought. Technology must be scalable to 100 Hz repetition rate. Questions – contact: Eric Colby, [email protected]

b. Optical Coatings for Ultrafast Optics The cost and reliability of ultrafast laser systems depend in part on the optical robustness of coated optics such as mirrors and windows. R&D proposals are sought that will lead to significant advances in low loss, low scatter, ultra-high damage threshold broad-bandwidth coatings that can sustain fluences exceeding >2 J/cm2 for 100 fs pulses. Coatings must also be stable at incident average powers exceeding 100 W, and provide high quality transmission or reflection properties over >10% bandwidth under both vacuum and in-air use. Questions – contact: Eric Colby, [email protected]

c. Robust Nonlinear Optical Materials Nonlinear optical materials for frequency conversion are key to producing a wide array of laboratory-scale sources of radiation. Materials supporting conversion of laser power to frequencies in the terahertz to EUV range (λ=300–0.1 micron) at high conversion efficiency, high damage threshold, and at high average power (>100 W incident power, cw) are sought. Questions – contact: Eric Colby, [email protected]




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d. Drive Lasers and for Photocathode Electron Sources Applications are sought for developing turn-key commercial laser systems and subsystems for driving high-brightness photocathodes. a) A self-contained turn-key laser system (including environmental enclosure and controls) producing 50 Watts of 520nm light in 1 psec pulses at 1.3 GHz with no more than 100 fsec rms timing jitter with respect to an external microwave timing reference is sought. The resultant beam must be shaped temporally and spatially, as well as have the ability for producing varying pulse trains. b) Practical and highly efficient (>90%) methods are sought for advanced laser shaping. The technique must allow a wide range of transverse shapes (elliptical to flattop) and spot sizes (0.3-3 mm) to be projected onto a photocathode to mitigate non-linear space charge effects and concomitant emittance degradation. The shaping system must preserve the laser beam quality and be usable with high powers (10’s of Watts of average laser power). Questions – contact: Eric Colby, [email protected]

e. Other In addition to the specific subtopics listed above, the Department invites grant applications in other areas that fall within the scope of the topic description above. Questions – contact: Eric Colby, [email protected] References: General 1. Workshop on Laser Technology for Accelerators. January 23-25, 2013.

http://science.energy.gov/~/media/hep/pdf/accelerator-rd-stewardship/Lasers_for_Accelerators_Report_Final.pdf

2. Advanced Accelerator Concepts: 15th Advanced Accelerator Concepts Workshop. Austin, Texas. June

10-15, 2012. AIP Conference Proceedings. Vol. 1507. Available at http://proceedings.aip.org/resource/2/apcpcs/1507/1?isAuthorized=no

29. SUPERCONDUCTOR TECHNOLOGIES FOR PARTICLE ACCELERATORS


The Department of Energy High Energy Physics program supports a broad research and development (R&D) effort in the science, engineering, and technology of charged particle accelerators, storage rings, and associated apparatus. Advanced R&D is needed in support of this research in high-field





http://proceedings.aip.org/resource/2/apcpcs/1507/1?isAuthorized=no

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superconductor, superconducting magnet, and superconducting RF technologies. This topic addresses only those superconducting magnet development technologies that support accelerators, storage rings, and charged particle beam transport systems, and only those superconducting wire technologies that support long strand lengths suitable for winding magnets without splices. Grant applications are sought only in the following subtopics:

a. High-Field Superconducting Wire Technologies for Magnets Grant applications are sought to develop new or improved superconducting wire for high field magnets that operate at 16 Tesla (T) field and higher. Proposals should address production scale (> 3 km continuous lengths) wire technologies at 16 to 25 T and demonstration scale (>1 km lengths) wire technologies at 25 to 50 T. Current densities should be at least 400 amperes per square millimeter of strand cross-section (often called the engineering current density) at the target field of operation and 4.2 K temperature. Tooling and handling requirements restrict wire cross-sectional area to the range 0.4 to 2.0 square millimeters, with transverse dimension not less than 0.25 mm. Vacuum requirements in accelerators and storage rings favor operating temperatures below 20 K, so high-temperature superconducting wire technologies will be evaluated only in this temperature range. Primary materials of interest are Nb3Sn, Bi2Sr2CaCu2O8 (Bi-2212), and (RE)Ba2Cu3O7 (ReBCO); other materials may be considered if high field performance, length, and cost equivalent to these primary materials can be demonstrated. All grant applications must result in wire technology that will be acceptable for accelerator magnets, including not only the operating conditions mentioned above, but also delivery of a sufficient amount of material (1 km minimum continuous length) for winding and testing small magnets. New or improved wire technologies must demonstrate at least one of the following criteria in comparison to present art: (1) property improvement, such as higher current density or higher operating field; (2) improved tolerance to property degradation as a function of applied strain; (3) reduced transverse dimensions of the superconducting filaments (sometimes called the effective filament diameter), in particular to less than 30 micrometers at 1 mm wire diameter, with minimal concomitant reduction of the thermal conductivity of the stabilizer or strand critical current density; (4) innovative geometry for ReBCO materials that leads to lower magnet inductance (cables) and lower losses under changing transverse magnetic fields; (5) correction of specific processing flaws (not general improvements in processing), to achieve properties in wires of more than 1 km length that are presently restricted to wire lengths of 100 m or less; (6) significant cost reduction for equal performance in all regards, especially current density and length. Questions – contact: Ken Marken, [email protected]

b. Superconducting Magnet Technology Grant applications are sought to develop: (1) very high field (>20 T) dipoles; (2) designs and prototypes for HTS/LTS hybrid solenoid systems capable of achieving 30 to 40T axial fields and warm bores with a diameter ≥2 cm, which are of particular interest for final cooling of a muon beam prior to acceleration and injection into a collider storage ring, but could also have broader application; (3) alternative


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designs – to traditional "cosine theta" dipole and "cosine two-theta" quadrupole magnets – that may be more compatible with the more fragile Nb3Sn and HTS/high-field superconductors (including open midplane magnets that may be needed in a Muon Collider design); (4) fast cycling HTS magnets capable of operation at or above 4T/s; (5) reduction in magnetization induced harmonics in HTS magnets; (6) improved instrumentation to measure properties (such as local strain, temperature, and magnetic field) which are directly applicable to the testing of superconducting magnets; (7) improved current lead and current distribution systems, based on high-temperature superconductors, for application to superconducting accelerator magnets – requirements include an operating current level of 5 kA or greater, stability, low heat leak, and good quench performance; (8) improved industrial fabrication methods for magnets, such as welding and forming, that could lead to lower costs; (9) improved cryostat and cryogenic techniques; (10) quench protection in HTS magnets and HTS/LTS hybrid magnets. Questions – contact: Ken Marken, [email protected]

c. Superconducting RF Materials & Cavities Materials and Fabrication Technologies for SRF Cavities – Material properties, surface features, processing procedures, and cavity geometry can have significant impact on the performance of superconducting radio-frequency (SRF) accelerator cavities. Grant applications are sought to develop (1) new raw materials streams, such as those utilizing large-grain Nb ingot slices; (2) new or improved SRF cavity fabrication techniques, such as seamless and weld-free approaches; (3) SRF cavity fabrication techniques that reduce use of expensive metals such as niobium while achieving equivalent performance as bulk niobium cavities; (4) new or improved bulk processing technologies, such as mechanical or plasma polishing; (5) new or improved final surface preparation and protection technologies; and (6) new cavity ideas aimed at breakthroughs in understanding and performance of SRF cavities. SRF Cavities – Grant applications are sought for the development of superconducting radiofrequency cavities for acceleration of proton and ion beams, with relativistic betas ranging from 0.1 to 1.0. Frequencies of current interest include 325, 650, and 1300 MHz. Continuous wave (CW) cavities are of the greater interest, although pulsed cavities could also be supported. Accelerating gradients above 15 MV/m, at Q0 in excess of 2 × 1010 (CW), and above 25 MV/m at Q0 in excess of 1 × 1010 (pulsed) are desirable. Topics of interest include: (1) cavity designs; (2) cavity fabrication alternatives to electron beam welding, including for example hydroforming and automatic TIG or laser welding of cavity end groups; (3) other cavity and cryomodule cost reduction methods; (4) cw power couplers at >50kW; (5) fast tuners for microphonics control; (6) higher order mode suppressors, including extraction of HOM power via the main power coupler and with photonic band gap cavities; (7) ecologically friendly or alternative cavity surface processing methods; (8) alternatives to high pressure rinsing that would allow in-situ cleaning of cavities to control field emission; (9) high resolution tomographic x-rays of electron beam welds in cavities; (10) specifically for muon acceleration, design of a cost-effective 325 MHz cavity capable of 20 MV/m with Q0 > 109 that is compatible with expansion to a two or three cell cavity system; possible approaches could include: forming a cavity from a bonded sheet of thin Nb on Cu, robust sputter coating of Nb on a Cu cavity, and electroforming Cu on a thin Nb cavity shell


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Questions – contact: Ken Marken, [email protected]

d. Cryogenic and Refrigeration Technology Systems Many new accelerators are based on the cold (superconducting) technology requiring large cryogenic systems. Grant applications are sought for research and development leading to the design and fabrication of improved cryomodules for superconducting cavity strings. Each cryomodule typically contains four to eight cavities in helium vessels and includes couplers, tuners, quadrupoles, 2K helium distribution system, and instrumentation to measure temperatures and pressures in the cryomodule during cool down and operation. Improvements in cryomodule components, cryomodule design and fabrication techniques which result in lower costs, improved control of cavity alignment, better understanding of cavity temperatures, and lower heat leaks are of particular interest. Other areas of interest include optimized methods for current leads for magnet operation at 2K where the helium pressures are sub atmospheric. Grant applications also are sought to increase the technical refrigeration efficiency – from 20% Carnot to 30% Carnot – for large systems (e.g. 10 kW at 2K), while maintaining higher efficiency over a capacity turndown of up to 50%. This might be done, for example, by reducing the number of compression stages or by improving the efficiency of stages. Grant applications also are sought to develop improved and highly efficient liquid helium distribution systems. Questions – contact: Ken Marken, [email protected]

e. Ancillary Technologies for Superconductors Grant applications also are sought to develop innovative cable designs and wire processing technologies. Approaches of interest include methods to use stranded conductors with high aspect ratio to make efficient magnet cables, methods to adapt tape geometries to particle accelerator applications, and technologies to increase wire piece length and billet mass. Grant applications also are sought for innovative electrical insulating materials with reduced thickness to increase block current density in a coil while maintaining or increasing dielectric breakdown strength. Insulating systems must be compatible with the targeted superconductor and magnet processing cycle, (e.g. high temperature reactions in the 750-900 ºC range in the case of Nb3Sn or BSCCO), be capable of supporting high mechanical loads at both room and cryogenic temperatures, have a high coefficient of thermal conductivity, be resistant to radiation damage, and exhibit low creep and low out-gassing rates when irradiated. Grant applications also are sought for high-performance epoxies exhibiting the following characteristics: low viscosity regime for full impregnation of complex structures, reasonable pot-life to allow impregnation of large structures, high adhesion strength at cryogenic temperatures, excellent mechanical properties, including tensile, compression, and shear strength at cryogenic temperatures, and excellent radiation tolerance.



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Questions – contact: Ken Marken, [email protected]

f. Other In addition to the specific subtopics listed above, the Department invites grant applications in other areas that fall within the scope of the topic description above. Questions – contact: Ken Marken, [email protected] References: Subtopic a 1. U. Balachandran, et al. (2014). Advances in Cryogenic Engineering Materials: Transactions of the

Cryogenic Engineering Conference. Anchorage, AK. Vol. 60. New York: American Institute of Physics (AIP). ISBN: 978-0-7354-1204-0. Available at http://scitation.aip.org/content/aip/proceeding/aipcp/1574

2. R. Scanlan, et al. (2004). Superconducting Materials for Large Scale Applications. Proceedings of the

IEEE. Vol. 92, Issue 10, pp. 1639-1654. Available at http://ieeexplore.ieee.org/xpl/login.jsp?tp=&arnumber=1335554&url=http%3A%2F%2Fieeexplore.ieee.org%2Fiel5%2F5%2F29467%2F01335554

3. The 2012 Applied Superconductivity Conference. Portland, Oregon. October 7- 12. IEEE Transactions on Applied Superconductivity. Vol. 23, No. 3. ISSN: 1051-8223. Available at http://ieeexplore.ieee.org/xpl/RecentIssue.jsp?punumber=77&year=2013

Subtopic b 1. The Twenty-third International Conference on Magnet Technology. Boston, Massachusetts. July 14-

19, 2013. IEEE Transactions on Applied Superconductivity. Vol. 24, No. 3. ISSN: 1051-8223. Available at http://ieeexplore.ieee.org/xpl/tocresult.jsp?isnumber=6594876

2. The 2012 Applied Superconductivity Conference. Portland, Oregon. October 7- 12. IEEE Transactions

on Applied Superconductivity. Vol. 23, No. 3. ISSN: 1051-8223. Available at http://ieeexplore.ieee.org/xpl/RecentIssue.jsp?punumber=77&year=2013

3. R.B. Palmer, R.C. Fernow & J. Lederman. (2011). Muon Collider Final Cooling in 30-50 T Solenoids. Proceedings of the 2011 Particle Accelerator Conference (PAC2011). New York, New York. http://accelconf.web.cern.ch/AccelConf/PAC2011/papers/thobn2.pdf

4. Y. Shiroyanagi, et al. (2012). 15+ T HTS Solenoid for Muon Accelerator Program. Proceedings of the IPAC2012. New Orleans, Louisiana. http://accelconf.web.cern.ch/AccelConf/IPAC2012/papers/thppd048.pdf




http://ieeexplore.ieee.org/xpl/login.jsp?tp=&arnumber=1335554&url=http%3A%2F%2Fieeexplore.ieee.org%2Fiel5%2F5%2F29467%2F01335554

http://ieeexplore.ieee.org/xpl/login.jsp?tp=&arnumber=1335554&url=http%3A%2F%2Fieeexplore.ieee.org%2Fiel5%2F5%2F29467%2F01335554

http://ieeexplore.ieee.org/xpl/RecentIssue.jsp?punumber=77&year=2013

http://ieeexplore.ieee.org/xpl/tocresult.jsp?isnumber=6594876


http://accelconf.web.cern.ch/AccelConf/PAC2011/papers/thobn2.pdf

http://accelconf.web.cern.ch/AccelConf/IPAC2012/papers/thppd048.pdf

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5. J. Schwartz. (2008). High Field Superconducting Solenoids via High Temperature Superconductors. IEEE Transactions on Applied Superconductivity. Vol. 18, No. 2. http://www.magnet.fsu.edu/library/publications/NHMFL_Publication-4090.pdf

Subtopic c 1. R.L. Geng, et al. (2003). First RF Test at 4.2 K of a 200 MHz Superconducting Nb-Cu Cavity.

Proceedings of the 2003 Particle Accelerator Conference (PAC2003). May 12-16, 2003. Vol 2, pp. 1309-1311. Available at http://ieeexplore.ieee.org/stamp/stamp.jsp?tp=&arnumber=1289688&isnumber=28710

2. W. Singer. (2006). Seamless/bonded niobium cavities. Physica C: Superconductivity. Proceedings of the 12th International Workshop on RF Superconductivity. July 15, 2006. Vol. 441. Issues 1-2. pp. 89-94. Available at http://www.sciencedirect.com/science/article/pii/S0921453406001584

3. S. Bousson, et al. (1999). An Alternative Scheme for Stiffing SRF Cavities by Plasma Spraying. Proceedings of the 1999 Particle Accelerator Conference. New York, New York. March 27—April 02, 1999. Vol. 2, pp. 919-921. Available at http://ieeexplore.ieee.org/xpl/login.jsp?tp=&arnumber=795400&url=http%3A%2F%2Fieeexplore.ieee.org%2Fxpls%2Fabs_all.jsp%3Farnumber%3D795400

4. A. Dzyuba, A. Romanenko & L.D. Cooley. (2010). Model for initiation of quality factor degradation at high accelerating fields in superconducting radio-frequency cavities. Superconductor Science and Technology. Vol. 23, Issue 12. Article ID: 125011. Available at http://arxiv.org/abs/1007.2561

Subtopic d 1. J. G. Weisend II, et al. (2014). Advances in Cryogenic Engineering: Transactions of the Cryogenic

Engineering Conference. Anchorage, AK. Vol. 59. New York: American Institute of Physics (AIP). ISBN: 978-0-7354-1201-9. Available at http://scitation.aip.org/content/aip/proceeding/aipcp/1573


Subtopic e 1. U. Balachandran, et al. (2014). Advances in Cryogenic Engineering Materials: Transactions of the

Cryogenic Engineering Conference. Anchorage, AK. Vol. 60. New York: American Institute of Physics (AIP). ISBN: 978-0-7354-1204-0. Available at http://scitation.aip.org/content/aip/proceeding/aipcp/1574


http://www.magnet.fsu.edu/library/publications/NHMFL_Publication-4090.pdf

http://ieeexplore.ieee.org/stamp/stamp.jsp?tp=&arnumber=1289688&isnumber=28710




http://arxiv.org/abs/1007.2561





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30. HIGH-SPEED ELECTRONIC INSTRUMENTATION FOR DATA ACQUISITION AND PROCESSING


The DOE supports the development of advanced electronics and systems for the recording, processing, storage, distribution, and analysis of experimental data that is essential to experiments and particle accelerators used for High Energy Physics (HEP) research. Areas of present interest include signal processing, event triggering, data acquisition, high speed logic arrays, and fiber optic links useful to HEP experiments and particle accelerators. Grant applications must clearly and specifically indicate their relevance to present or future HEP programmatic activities. Although particle physics detector and data processing instrumentation typically are developed in large collaborative efforts involving national laboratories, there are efforts where small businesses can make innovative and creative contributions. Applicants are encouraged to collaborate with active high energy elementary particle physicists at universities or national laboratories to establish mutually beneficial goals. Proposed devices must be explicitly related to future high-energy physics experiments, either accelerator or non-accelerator based, or to future uses in particle accelerators. Relevant potential improvements over existing devices and techniques must be discussed explicitly. Areas of possible improvement include radiation hardness, energy, position, and timing resolution, sensitivity, rate capability, stability, dynamic range, durability, compactness, cost, etc. Grant applications are sought in the following subtopics:

a. Special Purpose Chips and Devices for Large Particle Detectors Grant applications are sought to develop special purpose chips and devices for use in the internal circuitry employed in large particle detectors. Desirable features include low noise, low power consumption, high packing density, radiation resistance, very high response speed, low-overhead calibration, stability, and/or high adaptability to situations requiring multiple parallel channels. Desirable functions include amplifiers, counters, analog pulse storage devices, decoders, encoders, analog-to-digital converters, analog waveform sampling, power conversion, picosecond-resolution time-to-digital converters, controllers, communications interface devices, and novel power distribution systems. Questions – contact: Helmut Marsiske, [email protected]


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b. Circuits and Systems for Processing Data from Particle Detectors Grant applications are sought to develop circuits and systems for rapidly processing data from particle detectors such as proportional wire chambers, scintillation counters, silicon microstrip detectors, pixilated imaging sensors, particle calorimeters, large-area photodetector arrays, cryogenic detectors, and Cerenkov counters. Representative processing functions and circuits include low noise pulse amplifiers and preamplifiers, high speed counters, time-to-amplitude converters, and local time, charge, and signal shape extraction. Compatibility with one of the widely used or evolving module interconnection standards is highly desirable, as would be low power consumption, high component density, and/or adaptability to large numbers of multiple channels. Questions – contact: Helmut Marsiske, [email protected]

c. Systems for Data Analysis and Transmission Grant applications are sought to develop advanced high-speed logic arrays and microprocessor systems for fast event identification, event trigger generation, low front-end data reduction, and data processing with very high throughput capability. Such systems should be compatible with or implemented in one of the widely used or evolving module interconnection standards. Grant applications also are sought for the innovative use of radiation tolerant ultrafast fiber optic links, electro-optic modulators, and/or commodity high-bandwidth networks for high-rate transmission of collected data between particle detectors and data recording or control systems. Approaches of interest should demonstrate technologies that feature one or more of the following characteristics: low bit-error rate, radiation tolerance, low failure rate, low power consumption, high packing density, and the ability to handle a large number of channels at very high rates. Questions – contact: Helmut Marsiske, [email protected]

d. Enhancements to Standard Interconnection Systems Grant applications are sought to develop (1) new modules that will provide capabilities not previously available; (2) technology to substantially enhance the performance of existing types of modules; (3) technology to reduce cost and increase the density of interconnection of sensors to readout electronics; and (4) components, devices, or systems that will enhance or significantly extend the capability or functionality of one of the standard systems in HEP applications. Examples include large and/or fast buffer memories, single module computer systems (either general purpose or special purpose), display modules, CMOS monolithic active pixel sensors (MAPS) or vertically integrated (3D) electronics, communication modules and systems, wireless readout systems, and disk-drive interface modules. Questions – contact: Helmut Marsiske, [email protected]

e. Special CMOS Sensors Silicon particle tracking detectors for high energy physics are currently based on hybrid technology, with separately fabricated diode strip or pixel sensors and CMOS readout integrated circuits. As larger




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area detectors are required for tracking and also for new applications such as high granularity calorimetry, lower manufacturing cost is needed. Monolithic Active Pixel Sensors (MAPS) in CMOS have the potential for low cost, of order $0.1M or less per square meter of instrumented area. However, for use in high energy physics, detectors must withstand both ionizing and displacement damage radiation, and they must have fast signal collection and fast readout. Radiation tolerance in the range 10 to 1000 Mrad and 1E14 to 1E16 neutron equivalent fluence is of interest. Charge collection time of 20ns or less is of interest. Displacement damage tolerance and fast collection go hand-in-hand with high resistivity silicon that can be depleted of charged carriers with an applied bias voltage. Fabrication of MAPS sensors that offer these options in addition to ionizing radiation tolerance is of interest. Sustained (not burst) frame rate of 1MHz or higher for very low occupancy patterns (0.1%) is of interest. Questions – contact: Helmut Marsiske, [email protected]

f. Large-area Silicon-based Sensors for Precise Tracking and Calorimetry Next generation collider experiments will require finely segmented silicon-based tracking and calorimetry detectors which may cover 100’s of square meters. These are typically based on wafer-scale high resistivity silicon diode arrays with 100-300 micron thick fully depleted active regions. Arrays based on tiled CMOS sensors and thinner active regions are also candidates. Grant applications are sought for the development of silicon diode-based sensors utilizing lower cost per unit area fabrication technologies. These may include sensors based on larger (8”) wafer diameter, simplified processing, or tiling or stitching technologies. Desired properties include radiation hardness, thinning to the hundred micron-level, ten micron-level resolution capability for tracking detectors, and low cost in large volumes. Questions – contact: Helmut Marsiske, [email protected]

g. Advanced 3D Interconnect Technologies The demands on silicon particle tracking detectors in terms of pixel size, mass budget, data rate and front-end processing are becoming more demanding. Grants applications are sought for the development of new technologies for reducing cost and increasing the density of interconnection of pixelated sensors to readout electronics by enhancing or replacing solder bump-based technologies. The development of 3D vertically tiered silicon offers the potential to fabricate particle tracking detectors that could meet the requirements of next generation particle physics experiments. Cost-effective development of very thin front-end integrated circuits (< 35 microns) that can handle hit rates of 1GHz/cm2 , provide first pass processing of the registered hits and can be directly bonded to high-resistivity silicon sensors without the use of a bump-bond process is of great interest. Questions – contact: Helmut Marsiske, [email protected]




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h. Radiation-hard High Bandwidth Cables As particle physics colliders increase their luminosity, the inner elements of detectors must both handle ever greater data rates and withstand every higher radiation doses. While high data rate optical solutions are often used at some point, they can have serious problems with high radiation. We therefore seek electrical transmission solutions for this specific area. We are interested in cables and electrical protocols that can support 2-4 Gbps transmission over distances of 2 to 6 meters with minimal mass and 10 Gbps over 4 to 7 meters with slightly higher mass. Bandwidth numbers refer to payload data, achieved with whatever DC balance, pre-emphasis, etc. protocols may be needed. Commercially available cables in these categories typically fail to meet other critical particle physics requirements. We require radiation hardness to 1Grad ionizing dose and 2E16/cm^2 neutrons equivalent damage. The cable should preserve mechanical integrity and electrical transmission characteristics after these radiation doses. Typical low loss dielectric materials tend to fail this requirement. We require very low mass, and the possibility to stack many individual multi-Gbps links into a small cross section cable. The mass requirement can be stated as equivalent to a single AWG30 copper wire per 2-4 Gbps link, and even less mass for the shortest (2m) distance, including any needed shields. The 10 Gbps links may be two or three times more massive. It is not actual weight that matters but opaqueness to radiation or "radiation length", as well as low activation from exposure to hadrons (so materials like silver, which readily activates, are excluded). Solutions of interest can involve copper-clad aluminum conductors, multi-stranded core conductors, aluminum shields, printed flexible cables, miniature coax or twinax solutions with radiation hard dielectrics, twisted pairs with minimal or no shielding, etc. Questions – contact: Helmut Marsiske, [email protected]

i. Power Delivery Systems Large collider experiments require low mass delivery of power to internal detector systems. Grant applications are sought for low mass, high efficiency powering systems such as DC-DC converters, serial powering, or alternative free-field power delivery systems. The devices must operate in a large magnetic field, and should be radiation hard. Questions – contact: Helmut Marsiske, [email protected]

j. Other In addition to the specific subtopics listed above, the Department invites grant applications in other areas relevant to this Topic Questions – contact: Helmut Marsiske, [email protected] References: General




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1. Topical Workshop on Electronics for Particle Physics (TWEPP14). Aix en Provence, France, September 22-26, 2014. https://indico.cern.ch/event/299180/

2. Proceedings of WIT2010 Workshop on Intelligent Trackers. Berkeley, California. February 3-5, 2010. Journal of Instrumentation. Available at http://iopscience.iop.org/1748-0221/focus/extra.proc7

3. Computing in High Energy Physics Conference (CHEP2013). Amsterdam, The Netherlands, October 14-18, 2013. Available at http://www.chep2013.org/

4. 12th Pisa Meeting on Advanced Detectors. La Biodola, Isola d'Elba, Italy. May 20-26 2012. http://www.pi.infn.it/pm/2012/

5. International Conference on Technology and Instrumentation in Particle Physics 2014 (TIPP2014). Amsterdam, The Netherlands, June 2-6, 2014. http://www.tipp2014.nl/index.html

6. 19th Real-Time Conference. Nara, Japan. May 26-30, 2014. http://rt2014.rcnp.osaka-u.ac.jp/

7. 13th Vienna Conference on Instrumentation. Vienna, Austria. February 11-15, 2013. http://vci.hephy.at

31. HIGH ENERGY PHYSICS DETECTORS AND INSTRUMENTATION


The DOE supports research and development in a wide range of technologies essential to experiments in High Energy Physics (HEP) and to the accelerators at DOE high energy accelerator laboratories. The development of advanced technologies for particle detection and identification for use in HEP experiments or particle accelerators is desired. Broadly, the areas of interest are improvements in the sensitivity, robustness, and cost effectiveness of particle detectors. Principal areas of interest include particle detectors based on new techniques and technological developments, or detectors that can be used in novel ways as a consequence of associated technological developments in electronics (e.g., sensitivity or bandwidth). Also of interest are novel experimental systems that use new detectors, or use old ones in new ways, with significant improvement in performance, to extend basic HEP experimental research capabilities or result in less costly and less complex apparatus. Devices which exhibit insensitivity to very high radiation levels have recently become extremely important. Grant applications must clearly and specifically indicate their particular relevance to HEP programmatic activities. Although particle physics detector development is often concentrated at major national particle accelerator centers, there are many developmental endeavors, especially in collaborative efforts, where small businesses can make creative and innovative contributions that further develop the

https://indico.cern.ch/event/299180/

http://iopscience.iop.org/1748-0221/focus/extra.proc7

http://www.chep2013.org/

http://www.pi.infn.it/pm/2012/

http://www.tipp2014.nl/index.html

http://rt2014.rcnp.osaka-u.ac.jp/

http://vci.hephy.at/

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required advanced technologies. Applicants are encouraged to collaborate with active high energy elementary particle physicists at universities or national laboratories to establish mutually beneficial goals. Proposed devices must be explicitly related to future high-energy physics experiments, either accelerator or non-accelerator based, or to future uses in particle accelerators. Relevant potential improvements over existing devices and techniques must be discussed explicitly. Areas of possible improvement include radiation hardness, energy, position, and timing resolution, sensitivity, rate capability, stability, dynamic range, durability, compactness, cost, etc. Grant applications are sought in the following subtopics:

a. Particle Detection and Identification Devices Grant applications are sought for novel ideas in the areas of charged and neutral particle detection and identification that could lead to improvements in the sensitivity, robustness, or cost effectiveness of particle detectors. These include ideas to advance the utility of detectors for the Energy Frontier such as at an upgraded or future collider; at the Intensity Frontier such as at a future long baseline neutrino experiment; and at the Cosmic Frontier such as a new Dark Matter detector. Examples include, but are not limited to, semiconductor particle detectors (silicon, CVD diamond, or other semiconductors), light-emitting particle detectors (scintillating materials including fibers, liquids, and crystals or Cherenkov radiators), low radioactivity detectors and associated components, large-area systems used for particle identification and multiple vertex separation, and gas or liquid-filled chambers (used for particle tracking, in calorimeters, and in Cherenkov or transition radiation detectors). Questions – contact: Helmut Marsiske, [email protected]

b. Photon Detectors The detection of photons is fundamental for many detector applications. Applications include the following: 1) High quantum efficiency visible light photon detectors. 2) Development of lower cost photo-detection technology and production methods scalable to large detectors. 3) Photo-sensors for extreme environments including cryogenic temperatures, corrosive conditions, high and low pressures, electric and magnetic fields, and radiation relevant for future HEP applications. 4) Large-area photo-sensors with significantly improved space resolution and time resolution. 5) Photo-sensors with improved sensitivity in new regions of wavelength such as UV including improvements in windows and coatings. 6) New sensors for light detection. 7) Vacuum technology-based photo detection techniques. 8) Solid state technology-based photo detection techniques. Questions – contact: Helmut Marsiske, [email protected]

c. Ultra-low Background Detectors and Materials Experiments searching for extremely rare events such as nuclear recoils from WIMP dark matter particles or neutrinoless double beta decays require that the detector elements and the surrounding



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support materials exhibit extremely low levels of radioactivity. The presence of even trace amounts of radioactivity in or near a detector induces unwanted effects. (For example, the titanium cryostat of the LUX Dark Matter experiment has a measured radioactivity of ~6 mBq/kg due to the 238U sub-chain, and < 0.2 mBq due to the 226Ra sub-chain.) These elements could include: 1) Ultra-low-background neutron and alpha-particle detectors. 2) Development of ultra-radio-pure materials for use in detectors. 3) Manufacturing methods and characterization of ultra-low- background materials. Questions – contact: Helmut Marsiske, [email protected]

d. Isotopically Separated Noble Gases Neutrinoless double beta decay experiments using xenon need xenon enriched in the double beta decay isotope xenon-136 (136Xe), whereas xenon two neutrino double beta decays are potential backgrounds in xenon-based dark matter experiments. Argon-based dark matter experiments need to reduce contamination from radioactive 39Ar in 40Ar to reduce backgrounds. Economical sources of xenon enriched in 136Xe, and sources of argon depleted in 39Ar are needed for these experiments. Questions – contact: Helmut Marsiske, [email protected]

e. Radiation Hard Devices Many experiments must locate detectors within extreme radiation areas, e.g., at high luminosity LHC, or at a Muon Collider with muon beam decay background. For these applications radiation hardened devices are required. Applications include the following: 1) Radiation hardened/resistant optical links. 2) Radiation hardened/resistant power supplies or voltage converters, e.g. point of load converters. 3) Development of ultra-radiation hard material for use as detector elements. 4) Other radiation sensors for extreme environments. Questions – contact: Helmut Marsiske, [email protected]

f. Cryogenic Many detectors utilize cryogenic conditions and require cryogenic systems and devices which operate within a cryogenic environment. Applications include the following: 1) Development of the use, production and purification of cryogenic noble gases. 2) Cryogenic Liquid and Gas Particle Detectors. 3) Cryogenic Solid State Detectors. Questions – contact: Helmut Marsiske, [email protected]

g. Mechanical and Materials HEP experiments frequently require high performance detector support that will not compromise the precision of the detectors. Therefore, grant applications are sought for components used to support or integrate detectors into HEP experiments. The support components must be well matched to the detectors. For many experiments the presence of excess material is detrimental. These applications





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typically require low-mass and extremely rigid materials. Applications include the following: 1) Development of low mass detector support materials. 2) Novel low-mass materials with high thermal conductivity and stiffness. 3) Very high thermal conductivity, radiation tolerant adhesives. 4) Conventional detectors with substantially improved performance through the use of novel material science developments. 5) Improvements to manufacturing processes for radiation sensors and photo-sensors relevant for high energy physics. 6) 3D printing technology for rapid prototyping of detector components. The improvements should yield better performance, cost, faster production methods, or entirely new methods that make more efficient use of equipment. Questions – contact: Helmut Marsiske, [email protected]

h. Other In addition to the specific subtopics listed above, the Department invites grant applications in other areas that fall within the scope of the topic description above. Questions – contact: Helmut Marsiske, [email protected] References: General 1. M. Demarteau, et al. Instrumentation Frontier Snowmass Report (2013). Available at

http://www.slac.stanford.edu/econf/C1307292/docs/Instrumentation.html

2. J.A. Formaggio & C.J. Martoff. (2004). Backgrounds to Sensitive Experiments Underground. Annual Review of Nuclear and Particle Science. Vol. 54, pp.361-412. Available at http://www.annualreviews.org/doi/abs/10.1146/annurev.nucl.54.070103.181248?journalCode=nucl

3. International Workshop on New Photon-Detectors (PHOTODET2012). Laboratory of Linear Accelerator, Orsay, France. June 13-15, 2012. http://photodet2012.lal.in2p3.fr/

4. 8th Trento Workshop on Advanced Silicon Radiation Detectors (3D and P-type) (TREDI2013). Fondazione Bruno Kessler Research Center, Trento, Italy. February 18-20, 2013. http://tredi2013.fbk.eu/

5. J.P. Balbuena, et al. (2012). RD50 status report 2009/2010: Radiation Hard Semiconductor Devices for Very High Luminosity Colliders. Report Numbers: CERN-LHCC-2012-010, LHCC-SR-004. http://cds.cern.ch/record/1455062/files/LHCC-SR-004.pdf

6. F. Hartmann & J. Kaminski. (2011). Advances in Tracking Detectors. Annual Review of Nuclear and Particle Science. Vol. 61, pp. 197-221. Available at http://www.annualreviews.org/doi/abs/10.1146/annurev-nucl-102010-130052



http://www.slac.stanford.edu/econf/C1307292/docs/Instrumentation.html

http://www.annualreviews.org/doi/abs/10.1146/annurev.nucl.54.070103.181248?journalCode=nucl

http://www.annualreviews.org/doi/abs/10.1146/annurev.nucl.54.070103.181248?journalCode=nucl

http://photodet2012.lal.in2p3.fr/

http://tredi2013.fbk.eu/

http://cds.cern.ch/record/1455062/files/LHCC-SR-004.pdf

http://www.annualreviews.org/doi/abs/10.1146/annurev-nucl-102010-130052

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7. J.E. Brau, J.A. Jaros & H. Ma. (2010). Advances in Calorimetry. Annual Review of Nuclear and Particle Science. Vol. 60, pp. 615-644. Available at http://www.annualreviews.org/doi/abs/10.1146/annurev.nucl.012809.104449?journalCode=nucl

8. K. Kleinknecht. (1999). Detectors for Particle Radiation (2nd ed.). Cambridge, Massachusetts: Cambridge University Press. ISBN 978-0-521-64854-7. Available at http://www.gettextbooks.com/author/Konrad_Kleinknecht

9. G.F. Knoll. (2010). Radiation Detection and Measurement (4th ed.). Hoboken, New Jersey: J. Wiley & Sons. ISBN 978-0-470-13148-0. Available at http://www.wiley.com/WileyCDA/WileyTitle/productCd-EHEP001606.html

10. H. Spieler. (2005). Semiconductor Detector Systems. New York: Oxford University Press. ISBN 978-0-198-52784-8. Available at http://www.amazon.com/Semiconductor-Detector-Systems-Science-Technology/dp/0198527845/ref=sr_1_1?ie=UTF8&qid=1412782151&sr=8-1&keywords=9780198527848

11. The Fourteenth International Workshop on Low Temperature Detectors (LTD14). Heidelberg University. Heidelberg, Germany. August 1-5, 2011. Journal of Low Temperature Physics. ISSN: 1573-7357. Vol. 167. Available at http://ltd-14.uni-hd.de/

12. The Fifteenth International Workshop on Low Temperature Detectors (LTD15). California Institute of Technology. Pasadena, California. June 24-28, 2013. http://conference.ipac.caltech.edu/ltd-15/

13. P.J. Bartolo. (2011). Stereolithography: Materials, Processes and Applications. New York: Springer. ISBN 978-0-387-92903-3. Available at http://link.springer.com/book/10.1007%2F978-0-387-92904-0

14. 12th Pisa Meeting on Advanced Detectors. La Biodola, Isola d'Elba, Italy. May 20-26, 2012. http://www.pi.infn.it/pm/

15. 2nd International Conference on Technology and Instrumentation in Particle Physics 2011 (TIPP2011). Chicago, Illinois. June 9-14, 2011. http://conferences.fnal.gov/tipp11/

16. IEEE Symposium on Radiation Measurements and Applications (SORMA WEST2012). Oakland, California. May 14-17, 2012. http://sormawest.org/

17. 13th Vienna Conference on Instrumentation. Vienna, Austria. February 11-15, 2013. http://vci.hephy.at

http://www.annualreviews.org/doi/abs/10.1146/annurev.nucl.012809.104449?journalCode=nucl

http://www.gettextbooks.com/author/Konrad_Kleinknecht


http://www.amazon.com/Semiconductor-Detector-Systems-Science-Technology/dp/0198527845/ref=sr_1_1?ie=UTF8&qid=1412782151&sr=8-1&keywords=9780198527848



http://ltd-14.uni-hd.de/

http://conference.ipac.caltech.edu/ltd-15/

http://link.springer.com/book/10.1007%2F978-0-387-92904-0

http://link.springer.com/book/10.1007%2F978-0-387-92904-0

http://www.pi.infn.it/pm/

http://conferences.fnal.gov/tipp11/

http://sormawest.org/

http://vci.hephy.at/

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PROGRAM AREA OVERVIEW – OFFICE OF NUCLEAR ENERGY Continued use of nuclear power is an important part of the Department’s strategy to provide for the Nation’s energy security, as well as to be responsible stewards of the environment. Nuclear energy currently provides approximately 20 percent of the U.S. electricity generation and will continue to provide a significant portion of U.S. electrical energy production for many years to come. Also, nuclear power in the U.S. makes a significant contribution to lowering the emission of gases associated with global climate change and air pollution. The primary mission of the Office of Nuclear Energy (NE) is to advance nuclear power as a resource capable of meeting the Nation's energy, environmental, and national security needs by resolving technical, cost, safety, nonproliferation, and security barriers through research, development, and demonstration as appropriate [1]. For additional information regarding the Office of Nuclear Energy priorities see, http://nuclear.energy.gov/

32. ADVANCED TECHNOLOGIES FOR NUCLEAR ENERGY


New methods and technologies are needed to address key challenges affecting the future deployment of nuclear energy and to preserve U.S. leadership in nuclear science and engineering, while reducing the risk of nuclear proliferation. This topic addresses several key areas that support the development of crosscutting and specific reactor and fuel cycle technologies. Grant applications are sought in the following subtopics.

a. Advanced Sensors and Instrumentation (Crosscutting Research) The Advanced Sensors and Instrumentation program seeks applications for digital technology qualification demonstration for embedded digital devices. An embedded digital device is an electronic sub-component of a plant component (e.g. instrument or circuit breaker) which uses software or software-developed logic for some aspect of its operation. The qualification method will demonstrate a cost-effective means of ensuring that the device is not subject to software common cause failure. The selected digital equipment shall be for multiple reactors or fuel cycle applications, i.e. crosscutting, include a nuclear industry partner, and the research products shall address the following technical challenges:

• Proof of acceptable software operational reliability; • Comprehensive non-destructive testability;

http://nuclear.energy.gov/

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• U.S. NRC regulatory requirements; • Ability to detect defects introduced through the entire supply chain; • Ability to qualify commercial-grade devices dedicated for safety-related usage ; and • Cost-effective and broadly applicable to multiple small plant components.

Grant applications that address the following areas are NOT of interest and will be declined: nuclear power plant security, homeland defense or security, or reactor building/containment enhancements; radiation health physics dosimeters (e.g., neutron or gamma detectors), and radiation/contamination monitoring devices; U. S. Nuclear Regulatory Commission probabilistic risk assessments or reactor safety experiments, testing, licensing, and site permit issues. Questions – contact: Suibel Schuppner, [email protected]

b. Advanced Technologies for the Fabrication, Characterization of Nuclear Reactor Fuel Improvements and advances are needed for the fabrication, characterization, and examination of nuclear reactor fuel. Advanced technologies are desired for advanced light water reactor fuels and materials and for particulate based TRISO fuels for Advanced Gas-Cooled Reactors/NGNP applications [2, 3, 5, 6]. In the area of light water reactors, specific technologies that improve the safety, reliability, and performance in normal operation as well as in accident conditions are desired. (1) Provide new innovative LWR fuel concepts, to include fuel and/or cladding, with a focus on improved performance (especially under accident scenarios), develop radiation-tolerant electronics for characterization instrumentation for use in hot cell fuel/cladding property measurements or characterization. Improvements to LWR fuel and cladding may include but not be limited to fabrication techniques or characterization techniques to improve the overall performance or understanding of performance of the nuclear fuel system. (2) Develop advanced automated, accurate, continuous vs. batch mode process techniques to improve TRISO particle fuel and compacts to include: (a) improved fabrication methods for TRISO fuel kernels, particle coatings and compacts, automated fabrication and characterization methods to replace manual manufacturing techniques, and (b) advanced methods for non-destructive evaluation testing of TRISO particles and compacts for demonstration. (3) Develop improved fabrication methods for sodium fast reactor fuels and cladding materials, especially for uranium based metallic and oxide fuel. Grant applications may use non-fueled surrogate materials to simulate uranium, plutonium, and minor actinide bearing fuel pellets or TRISO particles for demonstration. Actual nuclear fuel fabrication and handling applications which require use of the INL ATR National Scientific User Facility [4], and its hot cells and fuel fabrication laboratories, or the Oak Ridge National Laboratory Advanced Gas Reactor TRISO fuels laboratory facilities [5, 6] to demonstrate the techniques and equipment developed may be proposed. Actual nuclear fuel specimens may be considered for ATR or ORNL High Flux Irradiation Reactor (HFIR) but will need to prove technical feasibility prior to their insertion into the ATR or HFIR


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for irradiation testing. Access to the aforementioned facilities is not guaranteed as part of this solicitation and must be obtained independent of an SBIR/STTR award. Grant applications that address the following areas are NOT of interest and will be declined: thorium based fuels, molten salt based fuels, spent fuel separations technologies used in the Fuel Cycle Research and Development Program [3] and applications that seek to develop new glove boxes or sealed enclosure designs. Questions – contact: Frank Goldner, [email protected]

c. Materials Protection Accounting and Control for Domestic Fuel Cycles Improvements and advances are needed for the development, design and testing of new sensor materials and measurement techniques for nuclear materials control and accountability (including process monitoring) that increase accuracy, resolution, and radiation hardness, while decreasing intrusiveness on operations and the cost to manufacture. Specifically, concepts and integration of safeguards and security features into design and operation of Used Fuel storage facilities and Electrochemical Recycling facilities are being sought. Grant applications are sought for: (1) Sensors based on radiation detection; (2) Security technologies for Used Fuel dry storage that increase effectiveness and reduce manpower costs; (3) New active interrogation methods; (4) Non-radiation based sensors (stimulated Raman, laser-induced breakdown spectroscopy, fluorescence, etc.). Grant applications are also sought for the development of new methods for data validation and security, data integration, and real time analysis with defense-in-depth and knowledge development of facility state during design. Detectors that may indicate unauthorized materials diversion can be equally useful in identifying system upsets and the need for control changes. Grant applications are sought for the development of dual-use as well as single purpose instruments and detectors. Proposed concepts used exclusively for separations process control should be submitted under subtopic g. Grant applications that address border security or remote monitoring are NOT sought. Questions – contact: Daniel Vega, [email protected]

d. Modeling and Simulation Computational modeling of nuclear reactors is critical for their design and operation. Nuclear engineering simulations are increasingly predictive and able to leverage high performance computing architectures. Writing software which works on leadership class facilities and is able to be used by nuclear engineers in industry presents many challenges. Grant applications are sought that: Can provide supporting software for nuclear engineering analyses, such as advanced meshing tools (e.g., for generation of reactor spacer grid fluid flow or structural mechanics simulations), advanced visualization tools (e.g., for projecting 1-D network flow simulation results as color maps onto 2-D



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graphical icons created by the user), and data exchange capability between codes (e.g., for duplication of a large mesh-based data set onto an array of similar, coarser meshes); and Can integrate the resultant tools and codes into a web services framework, with emphasis on the ability to connect to an open science computing framework like the open science grid. Questions – contact: Dan Funk, [email protected]

e. Non-Destructive Examination (NDE) of Materials Used in Nuclear Power Plants The development of new and innovative ideas to provide non-destructive testing techniques or monitoring technologies for long-term operation and performance of concrete and civil structures in nuclear power plants are needed. Expert panel deliberations identified long-term corrosion and creep of post-tension reinforcement tendons in containment buildings, corrosion of liners for the containment building, and corrosion of liners in spent fuel pools as possible knowledge gaps and areas in need of future development. New techniques, sensors, or monitoring capabilities would support extended service operation. Proposals targeting the performance and integrity of metal components within concrete structures (including rebar, liners, anchors, etc.) are of high interest. Questions – contact: Richard Reister, [email protected]

f. Advanced Methods for Manufacturing A strong manufacturing base is essential to the success of U.S. reactor designs currently competing in global markets, but the success of the Small Modular Reactor (SMR) Initiative depends heavily on the ability of the U.S. to deliver on the SMR’s expected advantages – the capability to manufacture them in a factory setting, dramatically reducing the need for costly on-site construction – thereby enabling these smaller designs to be economically competitive. Several areas are appropriate for development by small businesses. Advanced fabrication and manufacturing methods will require advances in welding processes and inspection methods that can maintain production speed and efficiency with the manufacturing processes. Component manufacturing technologies will be required that take full advantage of the new 3-D printing methods employed by Additive manufacturing technologies. These manufacturing methods must be capable of producing components or sub components on a limited production basis and with nuclear quality. Grant applications are sought for (1) methods to improve the process, speed, quality and cost of welding and the required in-process and post welding inspections and (2) methods and processes to fabricate components using advanced technologies like 3D printing forms of Additive manufacturing processes that can eventually produce nuclear quality components. Grant applications are also sought for methods that can improve the manufacturing processes required for nuclear components using “Just in time” manufacturing methods adapted from other industries. Data and resource management programs are currently being considered by reactor vendors and their EPC contractors for the construction of new nuclear power plants. New nuclear plant owners will be required to manage and control the configuration of the nuclear plant through the complete nuclear



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plant lifetime. Significant project cost and schedule advantage can be achieved by effectively managing and maintaining configuration management (CM) of plant data beginning in the design and construction phases of the nuclear plant. Advanced methods are needed to acquire process and compare construction as-built configurations against the design. Grant applications are sought for (1) methods and technology improvements in laser, GPS and photometric systems to assure the as-built configuration matches the design, and (2) improvements in radiofrequency (RF) tags and similar devices to assure correct materials, placement, test criteria, and spare parts inventories. Questions – contact: Alison Hahn, [email protected]

g. Material Recovery and Waste Forms for Advanced Domestic Fuel Cycles Material recovery and waste forms play critical roles in both current and future nuclear fuel cycles. Currently, research reactor fuels are being processed in the U.S. for their stabilization while large nuclear waste treatment processing plants are in operation and are being constructed to convert cold war liquid waste into safely storable solid waste forms. An additional plant is being built to convert weapons-grade plutonium into commercial nuclear fuel. In the future, chemical processing plants may be constructed in the U.S. to recycle used nuclear fuel for improved resource utilization and reduced environmental impact. In all cases, modest improvements in chemical processing technologies can effect significant cost reductions. In addition to the use of advanced sensors and measurement technologies for materials protection, accounting and control (as outlined in subtopic c), grants are sought for the development of related systems useful for material recovery process control. For example, detectors that may indicate unauthorized materials diversion can be equally useful in identifying system upsets and the need for control changes. Grant applications are sought for the development of dual-use as well as single purpose instruments and detectors used exclusively for process control. However, proposals that are focused on materials protection, accounting and control related applications are more appropriate for subtopic c and should be submitted there. Most liquid high-level nuclear waste in the world is being converted to a solid form as a borosilicate glass. Such waste forms, while extremely durable, generally contain low concentrations of radioactive materials. Several approaches are under investigation to increase radioactivity concentrations and thus to decrease the total waste mass and volume for storage and disposal. Examples include the possible use of metal alloys and ceramics as advanced waste forms. Innovations are needed in waste forms chemistry and crystallinity to increase waste concentrations without the sacrifice of glass durability. Acceptability of such new waste forms as alternatives to borosilicate glass will depend upon sufficient knowledge of their degradation processes to be able to predict their performance over geologic time periods. Collaboration with national laboratory scientists involved in related studies is encouraged. Questions – contact: James Bresee, [email protected]



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h. Control System Modernization for Research Reactors The Department is seeking applications for the development of a detailed design to modernize control systems for aging research reactors. It is envisioned that this work will be demonstrated on the Advanced Test Reactor Critical Facility (ATRC) at the Idaho National Laboratory (INL). In an effort to expedite development of a modern control system design, the Department is encouraging “Fast-Track” Applications for a combined Phase I and Phase II award. The ATRC at Idaho National Laboratory is a low-power reactor designed and constructed in the early 1960s. The mission of the ATRC is to obtain accurate and timely data on nuclear characteristics of the ATR core such as rod worths and calibrations, excess reactivities, neutron flux distributions, gamma-heat generation rates, fuel loading requirements, and effects of insertion and removal of experiments. The ATRC typical operating power level is 600 Watts (W) or less, with a maximum allowable power of 5kW. The core is cooled via natural convection of light water, is light water moderated and reflected by beryllium. Some of the ATRC-generated information is used to ensure that the Advanced Test Reactor (ATR) core, 250 MWth, can be operated safely within its safety basis envelope during performance of various nuclear research activities. The majority of the existing ATRC control system is original 1960's or early 1970's vintage equipment and is well beyond its expected product life cycle. Spare parts availability and technical support for much of the instrumentation and control (I&C) equipment currently in use at ATRC is virtually nonexistent, making continued operation and maintenance extremely difficult. The goal of this workscope is to design a reliable I&C system for operation of ATRC for 15 to 20 years following system replacement. The work scope includes the design changes necessary to make the reactor shutdown system compliant with current standards and requirements, but limits the application of digital processor technology to non-safety functions. All safety class functions would continue be performed with analog I&C components. The applicant must also be able to meet all applicable access and quality assurance requirements. This detailed design effort would include the following systems:

• Reactor Shutdown System (RSS) o Neutron Level Subsystem o Log-N/Period Subsystem o Manual Scram Subsystem o Scram Logic Subsystem

• Log Count Rate Meter (LCRM) System • Non-RSS Scram System

o Seismic Switch Subsystem • Rod Control System

o Safety Rod Controls Subsystem o Outer Shim Controls Subsystem o Neck Shim Controls Subsystem

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o Neutron Start-up Source Control Subsystem o Control Element Drive Interlock Function Subsystem

• Digital Reactivity Measurement System • Annunciator System and Indicator Lights System

Questions – contact: Jason Tokey, [email protected]

i. Fuel Resources For nuclear energy to remain a sustainable energy source, there must be assurance that an economically viable supply of nuclear fuel is available. Although uranium is present in very low concentrations in seawater (3.3 part per billion), the oceans contain over 4,500 million tons of uranium, which would last for centuries even with aggressive nuclear energy growth. Economic extraction of uranium from seawater could ensure a feasible fuel supply for nuclear power for millennia to come. Grant applications are sought in (1) development of new polymer sorbents via surface grafting techniques; (2) design and synthesis of functional ligands; (3) development of advanced adsorbent materials; and (4) development of innovative elution processes to improve adsorbent durability. Grant applications will be accepted that address uranium extraction from unconventional resources. Questions – contact: Stephen Kung, [email protected]

j. Cybersecurity Technologies for Protection of Nuclear Safety, Security, or Emergency Response Components and Systems As future nuclear energy components and systems become more dependent upon digital technologies, reactor operators will become more dependent upon cybersecurity technologies that protect the integrity and reliability of these digital technologies. Safe, secure, reliable and cost effective products are needed to ensure operators that nuclear energy components and systems are secure from cyber attacks or that their systems can significantly mitigate the consequences of an attack. Proposals are requested for technologies that will detect or protect against attacks that could alter or extract data, induce unsafe conditions or disable operations. Technology solutions are sought that are designed specifically to address cybersecurity challenges to uniquely-nuclear components and systems that are integrated with the digital and communication interfaces to protection, monitoring, safety, security, safeguards, balance-of-plant, and/or emergency response systems. Questions – contact: Trevor Cook, [email protected]

k. Other In addition to the specific subtopics listed above, the Department invites grant applications in other areas that fall within the scope of the topic description above. Questions – contact: Bradley Williams, [email protected]





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References: Subtopics a-g 1. United States Department of Energy Office of Nuclear Energy, Home Page. http://www.nuclear.gov

2. Nuclear Energy Research and Development Roadmap, Report to Congress. United States

Department of Energy Office of Nuclear Energy. April 2010. http://nuclear.energy.gov/pdfFiles/NuclearEnergy_Roadmap_Final.pdf

3. United States Department of Energy. Fuel Cycle Research and Development Program. http://nuclear.energy.gov/fuelcycle/neFuelCycle.html

4. Idaho National Laboratory Advanced Test Reactor National Scientific User Facility. http://nuclear.inl.gov/atr/

5. Technical Program Plan for the Next Generation Nuclear Plant/Advanced Gas Reactor Fuel Development and Qualification Program. Idaho National Laboratory. Rev. 3, INL/EXT-05-00465. August 2010. Available at https://inlportal.inl.gov/portal/server.pt/community/ngnp_public_documents/452/home

6. D. Petti, et al. (2005). The DOE Advanced Gas Reactor (AGR) Fuel Development and Qualification Program. 2005 International Congress on Advances in Nuclear Power Plants INEEL/CON-04-02416. http://www.inl.gov/technicalpublications/Documents/3169816.pdf

33. ADVANCED TECHNOLOGIES FOR NUCLEAR WASTE


Storage of used nuclear fuel is occurring for longer periods than perhaps first intended. This being the case it is desirable to address technical performance issues of the nuclear materials with time. Improvements and advances for the development, design, and testing of new sensors, transmitters, and measurement techniques for used nuclear fuel stored in dry storage systems for long periods of time could be beneficial. While long-term material performance studies are planned within the Used Fuel Disposition (UFD) program, there are limited opportunities to perform reliable real-time monitoring of the material condition in a sealed container or a dry storage cask. There are several monitoring devices that can be used for conventional non-destructive examinations. However, the current monitoring devices only provide limited information and the long-term reliability of the data could be questionable. Of interest to the UFD program are grant applications that propose new devices based on the long-term material behavior characteristics and/or propose new data collection and advance analyses methods that can support reliability of long-term storage options.

http://www.nuclear.gov/

http://nuclear.energy.gov/pdfFiles/NuclearEnergy_Roadmap_Final.pdf

http://nuclear.energy.gov/fuelcycle/neFuelCycle.html

http://nuclear.inl.gov/atr/

https://inlportal.inl.gov/portal/server.pt/community/ngnp_public_documents/452/home

http://www.inl.gov/technicalpublications/Documents/3169816.pdf

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Grant applications are sought only in the following subtopics.

a. New Technology for Devices for Evaluating Internal Conditions of Nuclear Waste Storage Casks Nondestructively Grant applications are sought: (1) to improve and optimize instrumentation devices using advanced techniques that relate to the fundamental properties of degrading nuclear materials, Develop a monitoring system for internal conditions in used fuel dry storage systems to identify or predict fuel cladding failure and fuel assembly structural degradation/corrosion [1, 2, 3, 4]. The attributes to be monitored might include radiation levels, temperatures, pressures, detection of certain gasses including corrosion products and radioactive decay elements, etc. (2) Develop remote and long-term monitoring of nuclear waste casks in a passive manner. The monitoring sensors might be located inside the containment canister or externally, depending on the proposed measurement technique. If internal, there shall be no penetrations through the canister; they would have to be powered without direct connections and the signals would have to be transmitted without direct connection (through thick steel shells and, possibly, concrete over-packs). The sensors and transmitters would have to sustain harsh environments (including high radiation, high temperatures, and vibration) for long periods of time (centuries) without accessibility for maintenance or calibration. The sensors and transmitters would have to sustain reorientation and vibration associated with loading and shipping the used fuel canisters from the reactors to the storage facilities. There might be several ways to solve each of these requirements. (3) Develop sensing technology to record and warn operators of events exceeding threshold of preset damage values for internals of a waste containing casks. Questions – contact: John Orchard, [email protected]

b. Advanced Data Analyses Methodology for Nuclear Waste Containers/Casks Currently in Use There are several monitoring devices that provide data based on interpretation of physics, chemistry, or radiological aspects of the material/structure performance. These data very often get filtered or amplified for purposes of identifying a phenomenon under consideration. However the raw data may contain additional information that could be valuable, if one is able to perform detailed or new analyses of these data. Grant applications are sought: (1) to develop methodology to extract more usable information from current monitoring devices for material degradation processes, and (2) develop and demonstrate advanced data analysis schemes with the use of multiple devices of various kinds. Questions – contact: Prasad Nair, [email protected]

c. Chlorine Induced Stress Corrosion Cracking Chlorine induced stress corrosion cracking (SCC) in stainless steel (SS) dry storage canisters is an issue that the U.S. regulator, industry, and DOE is addressing. In particular, there are issues associated with conditions that initiate corrosion and resultant crack growth, as well as crack growth rate. Understanding the drivers for crack growth rate in used fuel dry storage casks is especially important as it will provide guidance on time intervals required to conduct canister inspections. Grant applications



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are sought to: (1). Investigate general SCC in SS canisters and weldments, and (2) investigate specific crack growth rates associated with SCC in SS canisters and weldments. Questions – contact: Prasad Nair, [email protected]

d. Used Fuel Disposition, Generic Repository Research and Development: Deep Boreholes New methods and technologies could address key issues that affect the future of nuclear energy, in particular, resolution of materials disposition associated with the back-end of the nuclear fuel cycle. A further challenge is the dispositioning of defense program high-level nuclear waste products and used nuclear fuel from civilian reactors. The U.S. DOE Office of Nuclear Energy, Office of Fuel Cycle Technologies, Office of Used Nuclear Fuel Disposition R&D [1,2, 3] is currently investigating generic repository disposal systems in crystalline/granite, shale, salt, and deep borehole environments. Proposals are sought in the following general areas. Improvements and advances in drilling and testing technologies, and understanding of generic deep borehole environments (drilled to 5 km depth into “crystalline basement” rock) are sought; consideration should be given to examination of the feasibility of using existing drilling and testing systems and component technologies and innovative techniques to provide information to be used in the design, construction, testing, characterization, and performance assessment modeling of the deep geologic system borehole environment (chemical, hydrologic, mechanical, thermal). Deep borehole (3-5km depth, crystalline basement rock) disposal of nuclear waste [4-19] has been considered by several nations. Research and development challenges provide opportunities for contribution to the USA’s ongoing efforts in this area including but not limited to:

• Seal integrity studies, • Canister design and prototyping, • Drill rig design specifications / modification for emplacement, • Bentonite and cement degradation evaluation, • Borehole, casing, and liner design and emplacement operations, • Waste form degradation studies at expected environmental conditions, • Selected radionuclide (I129, Tc99, Cl36) characterization at expected environmental

conditions, • Studies of I129 sorbent additive in seal zone: system modeling investigations to examine

long-term (up to 1 million years) changes in system processes and performance for deep basement rock environments

• Age dating methods and reliability for very old groundwater (millions to billion years); including test specifications, materials, hardware requirements, test methods, distinguishing age of pore waters and fracture waters or determination of hydrologic system character and formation water residence time [19-23].


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Proposals are sought to evaluate, improve, and or optimize the reliability, accuracy, and/or performance of drilling technologies and instrumentation, testing methods and applications, and modeling or analysis of deep borehole systems. Predictive and post-testing computational component, process, and system modeling and simulations are important for confidence building; it may also be advantageous to leverage high performance computing architectures and capabilities. Of particular interest are applications that propose the use of cooperative research efforts (e.g., with the national laboratories, other research institutions) in examination of the deep borehole disposal option; proposals are invited in other areas that fall within the scope of the topics described above. Questions – contact: Mark Tynan, [email protected]

e. Other In addition to the specific subtopics listed above, the Department invites grant applications in other areas that fall within the scope of the topic description above. Questions – contact: Joe Price, [email protected] References: Subtopics a-b 1. Licensing Requirements for The Independent Storage of Spent Nuclear Fuel, High-Level Radioactive

Waste, and Reactor- Related Greater than Class C Waste, General Design Criteria, Overall Requirements. 10 CFR 72.122. Available at http://www.nrc.gov/reading-rm/doc-collections/cfr/part072/

2. Licensing Requirements for The Independent Storage of Spent Nuclear Fuel, High-Level Radioactive

Waste, and Reactor- Related Greater than Class C Waste, General Design Criteria. 10 CFR 72.128. Criteria for spent fuel, high-level radioactive waste, and other radioactive waste storage and handling. Available at http://www.nrc.gov/reading-rm/doc-collections/cfr/part072/part072-0128.html

3. Gap Analysis to Support Extended Storage of Used Nuclear Fuel Rev. 0. United States Department of Energy, FCRD-USED-2011-000136, Rev. 0. Used Fuel Disposition Campaign. January 31, 2012. Section 4.6 Monitoring. http://www.energy.gov/sites/prod/files/Gap%20Analysis%20Rev%200%20Final.pdf

4. Ibid. Table S-1. Subtopic d 1. United States Department of Energy Office of Nuclear Energy, Home Page.

http://www.nuclear.energy.gov



http://www.nrc.gov/reading-rm/doc-collections/cfr/part072/

http://www.nrc.gov/reading-rm/doc-collections/cfr/part072/

http://www.nrc.gov/reading-rm/doc-collections/cfr/part072/part072-0128.html

http://www.nrc.gov/reading-rm/doc-collections/cfr/part072/part072-0128.html

http://www.energy.gov/sites/prod/files/Gap%20Analysis%20Rev%200%20Final.pdf

http://www.nuclear.energy.gov/

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2. Nuclear Energy Research and Development Roadmap, Report to Congress. April 2010. United States Department of Energy Office of Nuclear Energy. http://nuclear.energy.gov/pdfFiles/NuclearEnergy_Roadmap_Final.pdf

3. United States Department of Energy, Fuel Cycle Research and Development Program. http://nuclear.energy.gov/fuelcycle/neFuelCycle.html

4. K. Ahall. Final Deposition of High-Level Nuclear Waste in Very Deep Boreholes: An Evaluation based on Recent Research of Bedrock Conditions at Great Depth. MKG Report 2, MKG (Miljoorganisationernas karnavfallsgranskning); Swedish NGO Office of Nuclear Waste Review. http://www.mkg.se/sites/default/files/old/pdf/MKG_Report_2_Very_Deep_Boreholes0612.pdf

5. Blue Ribbon Commission on America’s Nuclear Future, Draft Report to the Secretary of Energy. Blue Ribbon Commission (BRC). July 29, 2011. http://brc.gov/sites/default/files/documents/brc_draft_report_29jul2011_0.pdf

6. Blue Ribbon Commission on America’s Nuclear Future: Report to the Secretary of Energy. Blue Ribbon Commission (BRC). January, 2012. http://www.state.nv.us/nucwaste/news2012/pdf/brc120126final.pdf

7. P.B. Brady & W. Arnold. (2011). Pilot Testing Deep Borehole Disposal of Nuclear Waste. Sandia National Laboratories Workshop Report. Albuquerque, NM. October 26, 2011. http://brc.gov/sites/default/files/comments/attachments/sandia_borehole_consortium_workshop_102611_report-pat_brady.pdf

8. P. Brady, et al. Deep Borehole Disposal of High-Level Radioactive Waste. Sandia National Laboratories. Albuquerque, NM. SAND2009-4401. http://prod.sandia.gov/techlib/access-control.cgi/2009/094401.pdf

9. D. Brown. (2009). Hot Dry Rock Geothermal Energy: Important Lessons From Fenton Hill. Proceedings of the Thirty-Fourth Workshop on Geothermal Reservoir Engineering. Stanford University, CA. February 9-11, 2009. http://pangea.stanford.edu/ERE/pdf/IGAstandard/SGW/2009/brown.pdf

10. Nuclear Energy Research and Development Roadmap: Report to Congress. April 2010. http://www.ne.doe.gov/pdfFiles/NuclearEnergy_Roadmap_Final.pdf

11. Used Fuel Disposition Campaign (UFDC) Disposal Research and Development Roadmap (Fuel Cycle Research and Development). Available at http://www.energy.gov/ne/downloads/used-fuel-disposition-campaign-disposal-research-and-development-roadmap-rev-01

12. F.E. Dozier, et al. Feasibility of Very Deep Borehole Disposal of US Nuclear Defense Wastes. MIT-NFC-TR-127, Nuclear Fuel Cycle Program. Massachusetts Institute of Technology Center for Advanced Nuclear Energy Systems. Cambridge, Massachusetts. Available at

http://nuclear.energy.gov/pdfFiles/NuclearEnergy_Roadmap_Final.pdf

http://nuclear.energy.gov/fuelcycle/neFuelCycle.html

http://www.mkg.se/sites/default/files/old/pdf/MKG_Report_2_Very_Deep_Boreholes0612.pdf

http://brc.gov/sites/default/files/documents/brc_draft_report_29jul2011_0.pdf

http://www.state.nv.us/nucwaste/news2012/pdf/brc120126final.pdf

http://brc.gov/sites/default/files/comments/attachments/sandia_borehole_consortium_workshop_102611_report-pat_brady.pdf

http://brc.gov/sites/default/files/comments/attachments/sandia_borehole_consortium_workshop_102611_report-pat_brady.pdf

http://prod.sandia.gov/techlib/access-control.cgi/2009/094401.pdf

http://prod.sandia.gov/techlib/access-control.cgi/2009/094401.pdf

http://pangea.stanford.edu/ERE/pdf/IGAstandard/SGW/2009/brown.pdf

http://www.ne.doe.gov/pdfFiles/NuclearEnergy_Roadmap_Final.pdf

http://www.energy.gov/ne/downloads/used-fuel-disposition-campaign-disposal-research-and-development-roadmap-rev-01

http://www.energy.gov/ne/downloads/used-fuel-disposition-campaign-disposal-research-and-development-roadmap-rev-01

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https://canes.mit.edu/publications/feasibility-very-deep-borehole-disposal-us-nuclear-defense-wastes

13. G. Heiken, et al. (1996). Disposition of Excess Plutonium in Deep Boreholes, Site Selection Handbook. Los Alamos National Laboratory. LA-13168-MS (UC-721). http://library.lanl.gov/cgi-bin/getfile?00406632.pdf

14. J. Kang. (2010). An Initial Exploration of the Potential for Deep Borehole Disposal of Nuclear Wastes in South Korea. Nautilus Institute for Security and Sustainability. Nautilus Peace and Security (NAPSNet). Special Report, Nautilus Institute. http://nautilus.org/wp-content/uploads/2011/12/JMK_DBD_in_ROK_Final_with_Exec_Summ_12-14-102.pdf

15. “A Review of the Deep Borehole Disposal Concept for Radioactive Waste.” United Kingdom Nirex Ltd., (Nirex currently is UK Nuclear Decommissioning Authority [NDA], Radioactive Waste Management Directorate June 2004. http://www.mkg.se/uploads/Nirex_Report_N_108_-_A_Review_of_the_Deep_Borehole_Disposal_Concept_for_Radioactive_Waste_June_2004.pdf

16. Survey of National Programs for Managing High-Level Radioactive Waste and Spent Nuclear Fuel: A Report to Congress and the Secretary of Energy. Nuclear Waste Technical Review Board (NWTRB). 2009. http://www.nwtrb.gov/reports/nwtrb%20sept%2009.pdf; http://www.nwtrb.gov/reports/reports.html

17. Experience Gained from Programs to Manage High-Level Radioactive Waste and Spent Nuclear Fuel in the United States and Other Countries. Nuclear Waste Technical Review Board (NWTRB). 2011. http://www.nwtrb.gov/reports/Experience%20Gained.pdf

18. D. Von Hippel & P. Hayes. (2010). Deep Borehole Disposal of Nuclear Spent Fuel and High-Level Waste as a Focus of Regional East Asia Nuclear Fuel Cycle Cooperation. Nautilus Institute for Security and Sustainability. Nautilus Peace and Security (NAPSNet) Special Report. Nautilus Institute www.nautilus.org, http://nautilus.org/wp-content/uploads/2011/12/Deep-Borehole-Disposal-von-Hippel-Hayes-Final-Dec11-2010.pdf

19. B. Ekwurzel. Dating Groundwater with Isotopes. Southwest Hydrology. pp. 6-18. http://web.sahra.arizona.edu/programs/isotopes/images/Brenda%20Ekwurzel.pdf ; http://web.sahra.arizona.edu/programs/isotopes/applications.html

20. L. Lin, et al. (2005). The Yield and Isotopic Composition of Radiolytic H2, a Potential Energy Source for the Deep Subsurface Biosphere. Geochimica et Cosmochimica Acta. Volume 69. Number 4. pp. 893–903. Available at http://www.sciencedirect.com/science/article/pii/S0016703704006271

21. J. Lippmann, et al. (2003). Dating Ultra-deep Mine Waters With Noble Gases and 36Cl, Witwatersrand Basin, South Africa. Geochimica et Cosmochimica Acta. Volume 67, Issue 23. pp. 4597-4619. Available at http://www.researchgate.net/publication/222664676_Dating_ultra-deep_mine_waters_with_noble_gases_and_36Cl_Witwatersrand_Basin_South_Africa



http://library.lanl.gov/cgi-bin/getfile?00406632.pdf

http://library.lanl.gov/cgi-bin/getfile?00406632.pdf

http://nautilus.org/wp-content/uploads/2011/12/JMK_DBD_in_ROK_Final_with_Exec_Summ_12-14-102.pdf

http://nautilus.org/wp-content/uploads/2011/12/JMK_DBD_in_ROK_Final_with_Exec_Summ_12-14-102.pdf

http://www.mkg.se/uploads/Nirex_Report_N_108_-_A_Review_of_the_Deep_Borehole_Disposal_Concept_for_Radioactive_Waste_June_2004.pdf

http://www.mkg.se/uploads/Nirex_Report_N_108_-_A_Review_of_the_Deep_Borehole_Disposal_Concept_for_Radioactive_Waste_June_2004.pdf

http://www.nwtrb.gov/reports/nwtrb%20sept%2009.pdf

http://www.nwtrb.gov/reports/reports.html

http://www.nwtrb.gov/reports/Experience%20Gained.pdf

http://www.nautilus.org/

http://nautilus.org/wp-content/uploads/2011/12/Deep-Borehole-Disposal-von-Hippel-Hayes-Final-Dec11-2010.pdf

http://nautilus.org/wp-content/uploads/2011/12/Deep-Borehole-Disposal-von-Hippel-Hayes-Final-Dec11-2010.pdf

http://web.sahra.arizona.edu/programs/isotopes/images/Brenda%20Ekwurzel.pdf

http://web.sahra.arizona.edu/programs/isotopes/applications.html


http://www.researchgate.net/publication/222664676_Dating_ultra-deep_mine_waters_with_noble_gases_and_36Cl_Witwatersrand_Basin_South_Africa

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Geochemistry. Volume 5. pp. 451- 497. http://www.ees.nmt.edu/outside/courses/hyd558/downloads/Set_8a_IntroDating/GWDating_ResTime.pdf

23. J. Lippmann-Pipke, et al. (2011). Neon Identifies Two Billion Year Old Fluid Component in Kaapvaal Craton. Chemical Geology. Volume 283. pp. 287–296. http://www.princeton.edu/geosciences/people/onstott/pdf/Lippmann-Pipkeetal-2011-ChemGeol.pdf

http://www.ees.nmt.edu/outside/courses/hyd558/downloads/Set_8a_IntroDating/GWDating_ResTime.pdf

http://www.ees.nmt.edu/outside/courses/hyd558/downloads/Set_8a_IntroDating/GWDating_ResTime.pdf

http://www.princeton.edu/geosciences/people/onstott/pdf/Lippmann-Pipkeetal-2011-ChemGeol.pdf

http://www.princeton.edu/geosciences/people/onstott/pdf/Lippmann-Pipkeetal-2011-ChemGeol.pdf

NSF SBIR / STTR SOLICITATION TOPICS AND SUBTOPICS

For proposals due June 2015

The National Science Foundation’s SBIR/STTR program provides seed money for startup and small business private ventures. For more information, please

visit http://www.nsf.gov/eng/iip/sbir.

Please note that the topics and subtopics listed here are examples only and are NOT exhaustive. NSF SBIR/STTR encourages proposals in all areas of

science and engineering. An exact fit into one of these topics or subtopics is not required!

http://www.nsf.gov/eng/iip/sbir

Smart Health (SH) and Biomedical (BM) Technologies

Smart Health (SH) The need for a significant healthcare transformation has been recognized by numerous organizations, including the President's Council of Advisors on Science and Technology (PCAST), National Research Council (NRC), Institute of Medicine (IOM), Computing Community Consortium (CCC), the National Academy of Engineering and the Office of the National Coordinator for Health Information Technology (ONC). The Smart Health subtopics aim to support the early stage development of novel devices, components, systems, algorithms, networks, applications, or services that will enable the much needed transformation of healthcare from reactive, hospital-centered, and indemnity-based to proactive, person-centered, preventive, and cost-efficient. The SH subtopics are not aimed at supporting clinical trials, the clinical validation of information technologies, or medical devices or studies performed primarily for regulatory purposes. Limited studies with human subjects may be acceptable to the extent that they are performed in support of feasibility, proof-of-concept studies of early-stage technologies. Proposals that request support for clinical studies will be deemed non-compliant with the SBIR/STTR solicitations. SH1. Business Models for User-Centered Healthcare Proposed projects should include transformative business models that are enabled by novel technologies and are designed for the benefit of healthcare providers, consumers, patients and/or their caregivers. Such technology-driven business models will: reduce the cost of health care; facilitate the shift of public and private incentives toward patient-centric goals; empower patients and healthy individuals to participate in their own health and treatment, such as educating customers, accessing, and visualizing health data and knowledge; reduce the impact of socio-economic status, gender, and ethnicity in the participation of people in their own health treatment. Overall, these new business models are expected to improve health-related behaviors; improve patient-physician communication, patient engagement, and care coordination. Proposed projects must a) focus on the development of technology that enables such novel business model(s); and b) demonstrate the expected economic benefit of the novel business model in user-centered healthcare. SH2. Digital Health Information Infrastructure Proposed projects may include technologies that will enable: interoperable, distributed, federated, and scalable digital infrastructure; languages and tools for effective sharing and use of electronic health record data, data representation for such including semantic metadata, and networked applications that access such data; continuously extensible universal exchange language for current and future health and wellness data originating from diverse sources in multiple formats; data methods for controlling and maintaining data integrity, provenance, security, privacy, and reliability of original as well as aggregated data, providing trustworthy patient identification and authentication and access control protocols, and maintaining sensitivity to the legal, cultural, and ethical issues associated with universally accessible digital health data in the U.S.; or systems methods for measuring and optimizing operations to improve quality and productivity of healthcare delivery systems. SH3. From Data to Decisions Proposed projects may include methods and algorithms that: aggregate multi-scale clinical, biomedical, contextual, and environmental data about each patient (e.g., in EHRs, personal health records - PHR, etc.); enable unified and extensible metadata standards; serve as decision support tools to facilitate optimized patient-centered, evidence-based decisions; evaluate the safety, effectiveness, efficiency, and clinical outcomes of mobile health applications; integrate patient information with delivery systems performance

and economic models to support operations management decisions; support inferences based on individual or population health data, multiple sources of potentially conflicting information, while complying with applicable policies and preferences; enable the secondary use of health data to support the assisted and automated discovery of reliable knowledge from aggregated population health records and the predictive modeling and simulation of health and disease. Proposals are encouraged to integrate technological, behavioral, socio-economic, value-driven actions, ethical, and systemic factors that interfere with patients' collaboration in care teams, adherence to treatment, and wellness regimens. SH4. Interoperability of Medical Sensors, Devices and Robotics Proposed projects may include protocols and interface standards to enable interoperable, temporally synchronized, medical prosthetic and embedded devices and devices for the continuous capture, storage, and transmission of physiological state and environmental data; assistive technology systems and devices for improved health and healthcare that incorporate sensory inputs and computational intelligence ranging from internal and external sensors, wearable prosthetics, and cognitive orthotics to surgical-assist robots and social robots; sensors, analysis tools, and activators needed to assess and limit adverse environmental effects on health and wellbeing; simulation and modeling methods and software tools that aid in the design and evaluation of sophisticated medical devices and how they communicate to medical information systems in the clinic, home, and in and around the person. Biomedical Technologies(BM) The Biomedical Technologies subtopics aim to support the early stage development of novel products, processes, or services that will enable the delivery of high-quality, economically-efficient healthcare in the U.S. as well as globally. The BM subtopics areare not aimed at supporting or conducting clinical trials, clinical efficacy or safety studies, the development pre-clinical or clinical-stage drug candidates or medical devices, or work performed primarily for regulatory purposes. Limited studies with human subjects may be acceptable to the extent that they are performed in support of feasibility, proof-of-concept studies of early-stage technologies. Proposals that request support for clinical studies will be deemed non-compliant with the SBIR/STTR solicitations. BM1. Pharmaceutical Manufacturing Proposed projects must include new processing or manufacturing devices, components, and systems that will improve the efficiency, competitiveness, and output of the nation's pharmaceutical manufacturing sector; that will reduce the cost, risk, and time-to-market of new pre-clinical and clinical-stage drugs and biological products; or that address major market opportunities in the developing world. Proposed projects may include transformative approaches and methods in manufacturing operations, project management, process development, process engineering, analytical development, or quality control and assurance. Proposals are strongly encouraged to address the net preservation and extension of natural resources, a reduction in the use or release of toxic or harmful constituents, the use of less extreme temperatures or conditions, or a reduction in the production of waste. BM2. Materials for Biomedical Applications Proposed projects may include biological materials, biomimetic, bioinspired, bioenabled materials and synthetic materials, all intended for biological, medical, veterinary, or healthcare applications. Examples of proposals may include (but are not limited to) the synthesis, purification, functionalization, characterization, development, validation, processing, scale up, and manufacturing of biomaterials. Novel polymeric materials, polymers, plastics, additives, sealants, elastomers, textiles, alloys, ceramic and composite biomaterials, improved implants; coatings for therapeutic applications; or nanomaterials. BM3. Tissue Engineering and Regenerative Medicine Proposed projects may include enabling engineering and manufacturing approaches, technologies and systems that will advance the research, development, quality control, and production of artificial tissues and their derivatives in scientific, therapeutic, or commercial applications. Proposed projects may also include novel methods or technologies to replace or regenerate damaged or diseased animal or human cells, tissues, or organs to restore or establish their normal function.

BM4. Biomedical Engineering Proposed project should focus on using engineering approaches to develop transformative methods and technologies that will solve problems in medicine. Proposed projects may include devices and systems that provide new strategies for the prevention, diagnosis, and treatment of health conditions; advance end-of-life or palliative care; reduce drug counterfeiting; and enable new and more efficient risk-management methods to better address safety issues of drugs and medical devices; motion or structural biomechanic technologies for the improvement of human motion, and sensors, actuators, and intelligent systems for surgical robotics. Proposers are encouraged to form an interdisciplinary team that includes relevant engineering as well as biology/health-related expertise. BM5. Noninvasive Imaging of Brain Function Proposed projects may include novel, noninvasive technologies and instrumentation for imaging the structure and function of the in vivo human brain. Proposed projects should focus on developing engineering, multidisciplinary, or multi-modality noninvasive brain imaging tools that could overcome current limitations of existing techniques (such as, for example, constraints on subject motion during imaging, requirements for elaborate electromagnetic shielding from the environment, requirements for active cooling of imaging system sensors, and system resolution that is much coarser -millimeter to centimeter scale- than that required to detect activity corresponding to individual neuronal signaling). Projects may also be aimed at developing new data processing techniques or approaches to data interpretation. Technologies not aimed at brain imaging must be submitted under subtopic BM6. BM6. Medical Imaging Technologies Proposed projects may include (but are not limited to) novel or improved imaging technologies and/or imaging agents to advance the diagnosis and treatment of disease, and to improve prognosis. Technologies aimed at brain imaging should be submitted under subtopic BM5. BM7. Diagnostic Assays and Platforms Proposed projects should focus on transformational diagnostic technologies. Proposed projects may include (but are not limited to) non- or minimally-invasive disease diagnosis, detection and monitoring, software-based diagnostic methods, biomarker development, disease-specific assays, personalized medicine, flexible implantable devices, lab-on-a-chip technologies, and low-cost point-of-care testing for diseases. BM8. Drug Delivery Proposed projects may include novel, early-stage, and transformative platforms, chemical formulations, excipients, devices, or methodology for the delivery of drugs or biological products.

Biological Technologies (BT) BT1. Agricultural and Food Safety Biotechnology New approaches for meeting the world's future nutritional needs. For Agricultural Biotechnology, target areas for improvement may include (but are not limited to) drought tolerance, improved nutritional value, enhanced disease resistance, and higher yield. Proposers should use biotechnology in their approach, and should give consideration to technologies that enhance biodiversity, produce less carbon dioxide, and use less water and fertilizer. For Food Safety, this may include handling, preparation, and storage of food in ways that prevent foodborne illness, as well as origins of food including the practices relating to food tracking, hygiene, additives, and certification systems.

BT2. Biosensors Biosensors are sensors that contain a biologically-based sensing element. Proposed projects might include (but are not limited to) real-time sensors, microbial component-based sensors, sensors for monitoring fluxes of metabolites, nanobiotechnology-based sensors, biomedical sensors, and micro- or nanofluidic-based sensors. Application areas of interest may include (but are not limited to) toxicity testing, food safety, drug evaluation, environmental monitoring, and bio-prospecting. Other types of sensors should refer to the EI topic.

BT3. Life Sciences Research Tools Developing novel technologies that will advance scientific research across the biological spectrum. This may include enabling technologies for drug discovery (high-throughput screening assays and platforms, and high-content screening assays and platforms; novel high-content screening technologies based on characterization of physical properties of cells are of high interest). Proposals should focus primarily on the development of innovative consumables, processes, and services where there is significant market opportunity.

In addition, we are interested in new tools for brain research, especially those that aid in addressing fundamental neurobiological questions about brain function, laying the groundwork for advancing treatments for nervous system disorders or traumatic brain injury, and for generating brain-inspired "smart" technologies to meet future societal needs.

BT4. Bioinstrumentation The development of technology for novel or improved instrumentation primarily for biological research applications. In addition, this may include low cost instruments for science and engineering that are aimed at students or others in working in low resource settings.

BT5. Synthetic Biology and Metabolic Engineering Using synthetic biology to engineer novel biologically-based (or inspired) functions that do not exist in nature. Proposed projects may include creating new manufacturing capability by designing microorganisms, plants, and cell-free systems for the production of novel chemicals and biomolecules. Applications may include (but are not limited to) health-care products, food ingredients, chemicals, and other biomaterials such as enzymes and bio-based polymers.

BT6. Fermentation and Cell Culture Technologies Proposed projects might include (but are not limited to) novel or improved microbial fermentation or mammalian and plant cell culture technologies, bioreactors, processes, scale-up, development of expression platforms, and purification. This may include technology development for pilot and large scale manufacturing of biopharmaceutical and other products.

BT7. Computational Biology and Bioinformatics Developing and applying computationally intensive techniques (e.g., pattern recognition data mining, machine learning algorithms, and visualization) and may include (but are not limited to) sequence alignment, gene finding, genome assembly, drug design, drug discovery, protein structure alignment, protein structure prediction, prediction of gene expression and protein-protein interactions, genome-wide association studies, and the modeling of evolution. Proposed projects might include the creation and

advancement of databases, algorithms, computational and statistical techniques, and theory to solve problems arising from the management and analysis of biological data.

BT8. Advanced Biomanufacturing Developing design and automation tools in synthetic biology and cellular engineering for bio-based production, which may include scale-up and implementation as well as the development of standards that will facilitate interoperability and reproducibility.

Chemical and Environmental Technologies (CT) The Chemical and Environmental Technologies (CT) topic covers a wide range of technology areas of current and emerging commercial significance pertaining to the broad chemical industry and the environment. Phase I proposals would typically be at the proof of concept/technical feasibility stage on new or novel technology concepts and innovations when submitting to this overall topic area. A proposal should present a clear value proposition, the market opportunity, a strategy for commercialization of the innovation, a business case for how the innovation could rapidly lead to revenue generation for the small business, a clear detailed description of the technical innovation and the key technical challenges that need to be overcome with SBIR/STTR funding, and finally, a clearly defined research and development (R&D) program detailing tasks, timelines and success metrics for a Phase I R&D program. It is important that the proposed project involve novel, discontinuous, disruptive innovations and be built on a firm framework of sustainability involving green chemistry and green engineering approaches. The project should focus on addressing clear commercial and societal needs, with strong potential to catalyze and accelerate U.S. job creation through scalable business growth. CT1. Bio-Based Chemicals Relevant projects could involve novel chemical/biochemical/biotechnological process technologies for the conversion of renewable raw material sources to cost-competitive products that represent new products or, sustainable alternatives to existing commercial industrial commodity, intermediate, specialty and fine chemicals and pharmaceuticals products derived from non-renewable sources. Technology proposed should also be built on sustainable, energy efficient, and waste minimization or waste elimination paradigms with scalable process technologies for the production of bio-based chemicals and products. Projects could involve proof of concept or technical feasibility work on all aspects of proving out a production process. Technologies that primarily focus on the separation and purification of products made through biochemical pathways should submit to the Separations Technology (CT2) topic. Process intensification approaches should consider the CT12 topic. CT2. Separations Relevant projects could involve any separation technology that enables and/or enhances the efficiency of separations in existing or new process technologies in any industrial application with a focus on facilitating particularly challenging separations resulting in economically significant improvements in selectivity, throughput, energy efficiency, capital/operating costs and environmental impact. Application areas include (but are not limited to) air separations; separations for multi-component streams; multiphase streams; separation technologies in both inorganic and organic chemical applications in any industry; novel purification processes; materials that permit effective separations; sensor designs based on separations; recycle and recovery of higher value materials from waste; separations of toxics from waste; recycle and recovery of critical and strategic materials and metals. Novel separation techniques and media as disruptive improvements to current established separation technologies are encouraged, including (but not limited to) organic/inorganic membranes, novel materials and biologically mediated separations. Applications of the proposed technologies could belong in any industrial sector, including (but not limited to) drinking water and wastewater treatment; food, medical, pharmaceutical, chemicals, metals/mining, natural resource extraction, materials processing, waste recycling and biochemical/biotechnological processes. CT3. Chemicals, Polymers and Plastics Technology Relevant proposals could involve new and novel chemical and biochemical routes to making any commodity, intermediate, specialty, fine, consumer chemicals, polymers, plastics, polymeric materials and composites with unique and novel properties and functionality for any existing or new industrial or consumer products. Projects may focus on novel approaches that possess superior cost and performance characteristics compared to an existing commercial technology/product; show enhanced end-of-life biodegradability and superior recyclability. Projects may involve (but are not limited to) the development of novel polymeric materials; bioplastics; biosurfactants; coatings; sealants; elastomers; adhesives; composites; pesticides, herbicides and insecticides; self-healing polymers, fibers, films and coatings; multifunctional polymers and polymeric materials for use in electrochemical and electronic applications; sustainable packaging materials for food and non-food applications; novel materials/barriers/coatings enhancing health and safety in industrial/commercial applications; bioengineered polymers/plastics and biochemically produced chemicals, monomers and polymers that lead to more sustainable, greener replacements to current products/materials. Projects of interest may seek to develop technologies that facilitate recycle, and conversion of post-consumer waste, industrial, agricultural and food waste, waste polymeric materials, plastics, etc., into cost competitive products for commercial use.

CT4. Novel Catalytic Processes and Reaction Technology Processes that chemically or biochemically (including catalytic/biocatalytic approaches) produce products from renewable and abundant natural resources with substantially improved process, energy efficiency, reduced capital and operating costs, and reduced environmental impact compared to current approaches. New or novel green chemistry processes in any industry; technologies involving the development of novel homogeneous and heterogeneous catalysts and biocatalysts, co-catalysts, promoters, and/or novel supports that are highly active, selective and have longer lifetimes compared to the state-of-the-art. Proposals may seek to develop sustainable catalysts that are based on environmentally friendly and non-toxic metals, non-metallic, and earth-abundant elements; catalysts enabling the simplification of complex multistep chemistries into fewer steps and ideally a single step with high selectivity, productivity and life. CT5. Carbon Dioxide and Methane Conversion to Industrial Chemicals Proposed approaches could include novel chemical/catalytic/biochemical/biotechnological routes to achieving the industrial scale conversion of carbondioxide and/or methane to useful commercial products/materials. Proposals of interest could seek to develop and commercialize processes for efficient carbon dioxide capture and its conversion to cost competitive chemicals and materials resulting in net carbon sequestration on a life cycle analysis. Proposals of interest could also include those with catalytic process technologies for the conversion of methane (from natural gas, landfills, wastewater treatment, etc.) to industrial chemicals; novel catalytic or biochemical/biocatalytic process technologies to directly convert captured carbon dioxide to methanol through non syngas routes, as well as novel technologies to convert methane directly to methanol and hydrocarbons and cost competitive chemicals (through non syngas routes). CT6. Food/Pharmaceutical Technology Proposals of interest could involve developing new production and manufacturing innovations in food processing or active pharmaceutical intermediates and finished product production; reaction engineering; innovative process technology for scale-up and sustainable manufacture of new and existing products; novel process designs, unit operations, separations, purification approaches applied to food or pharma production; upgrading food and agricultural waste to higher value products; process intensification innovations; technology for improved process monitoring, control, and sensing technologies for production quality and safety; novel food and pharma storage technologies; innovations that conserve the food supply and lead to lower wastage in the supply chain from farm to consumer; sustainable packaging materials; intelligent/active/smart packaging for food and pharma safety and protection in the supply chain; real-time microbial contamination sensing and control, improvements in speed, reliability and efficacy in detection of contamination, adulteration, chemical degradation; technologies to enhance process safety and sanitation; new materials and benign protective coatings for food and pharma processing, handling and storage in industrial and domestic use; food and pharma ingredient traceability; real-time detection of chemical and microbiological hazards. Proposals may bring forth innovations to solve significant process development and scale-up challenges in development of new food and/or pharmaceutical processes. CT7. Sustainable Technologies for Energy Efficiency, Capture, Storage and Use Proposed projects could include novel technology and approaches for the direct capture, conversion, storage, and use of any renewable energy sources such as wind, solar, solar-thermal, ocean, geothermal, bioenergy etc; and waste heat recovery. Projects may include novel technology that leads to substantial enhancement in energy storage capacity, energy use efficiency, smart energy management, thermal management and insulation; superior energy recovery from waste streams compared to currently available technologies in any applications, including (but not limited to) residential, commercial, and industrial applications. Technologies may include innovations in (but not limited to) combinations of mechanical, electrical, electrochemical, chemical/material, and biochemical approaches to improving energy efficiency in any commercially relevant application with potential for a significant scalable societal impact. Innovations for existing or novel energy storage and conversion technologies (such as batteries, capacitors, supercapacitors, novel fuel cells/engines, etc.) are also relevant; nature-inspired processes for sustainable energy generation or capture; materials innovations in energy applications; lubrication/tribology innovations leading to enhancing energy efficiency; innovations in insulation materials; off-grid portable energy generation and storage technologies that completely rely on renewable sources to allow supporting industrial energy needs in remote and underdeveloped economic regions. Proposals may also cover new or novel system level optimization/monitoring/control approaches to enhancing sustainability and energy usage and efficiency of any industrial process and manufacturing technologies. CT8. Bioenergy and Renewable Fuels Technology Proposed projects might include new and novel methods to generate energy from (but not limited to) marine, plant, algal, biomass and microbial bio-energy sources; microbial hydrogen production, delivery and

storage; novel fuel cell technologies; innovations in high-yielding biomass crops for energy and chemicals production that do not compete with food supply. Proposed projects might involve the development of new, commercially viable renewable fuel options with reduced environmental impact relative to existing fuels, including (but not limited to) drop-in replacements to petroleum-based transportation fuels. CT9.Water Conservation, Treatment and Reuse, Waste Minimization, Recycling and Environmental Sustainability Proposed projects may present novel process and product technologies for pollution prevention; technologies that dramatically reduce water usage in industrial and domestic/municipal use; technologies that lead to more efficient use of water as a resource; technologies leading to substantial reduction or even elimination of industrial water usage by developing sustainable alternatives. Technologies proposed could involve improvements in the energy efficiency of water/wastewater treatment approaches; remove challenging pollutants from industrial and municipal wastewater that have a significant short term and/or long term environmental, ecological and economic impact. Technologies proposed should be significant breakthroughs or enhancements relative to the current state of the art and seek to address current and emerging industrial/municipal and agricultural challenges with water conservation, use, recycle and treatment. The proposed technology projects could span a broad spectrum of operational arenas including point of use, portable, off-grid, and fixed installations for domestic, municipal, industrial, and agricultural applications to enhance waste minimization, water and wastewater treatment, water resource recycle, reuse and conservation. Projects of interest may seek to develop technologies that facilitate recycle and possibly recover valuable products from (but not limited to) reprocessing of waste from agricultural operations, food processing, post-consumer and industrial waste, waste chemical, plastics, polymeric materials, plastics, etc.; recycle of precious metals, critical and strategic metals from industrial waste. Projects may include the development of technologies (smart sensors, novel process equipment, novel process technology designs, etc.) that facilitate more efficient operation of production processes and waste minimization in any aspect of commerce or industrial production/manufacturing operations. CT10. Environmental Pollution Control and Mitigation Proposed projects may include methods to reduce human ecological and environmental impacts; microbial contamination sensing and control; the detection of toxic and hazardous chemicals; the removal of toxic and hazardous compounds from the environment and from consumer products to enhance human/animal health and safety; pathogen and toxin diagnostics technologies; novel bioremediation technologies; air pollution monitoring, mitigation and removal of gaseous pollutants and particulates; explosives detection; technologies that reduce and remove greenhouse gases by converting them to useful products; improvements in environmental compatibility and sustainability of manufacturing/production/processing operations. Projects could involve real-time sensing, internet enabled distributed and networked systems and smart devices/sensors/analyzers/detectors for local and remote environmental (soil, water and air) pollution/emissions monitoring, control and minimization; innovations that use big data and Internet of Things approaches for pollution tracking and monitoring; technologies that enhance safe monitoring of hazardous and toxic chemicals; innovations that provide superior end-of-life handling and disposal technologies of equipment/material, etc., that eliminate pollution, environmental and public health impact would be relevant. CT11. Sustainable Plant-based Products and Agricultural Technology Proposed projects may seek to develop novel technologies that allow for the more effective use of renewable forestry as a biomass feedstock through biochemical, bioengineered or green chemistry pathways for the production of plant and wood based industrial chemicals, cellulosic fibers, lignin-based materials, plastics from cellulose, packaging and building materials, coatings, sealants, elastomers, adhesives, etc. Technologies that allow for the more efficient processing of plants and wood for industrial use and technologies that enhance the renewal and management of forests for sustainable industrial and commercial use would be relevant. Of relevance would be: plant and agricultural biotechnology innovations that increase the efficiency of nutrient assimilation; improved drought tolerance and resistance; sustainable and commercially viable precision agricultural and forestry technologies; high productivity harvesting technology; soil, environmental sensing and monitoring technologies that improve forest and agricultural crop management and productivity, reduce carbon foot print, and enhance the sustainability of silviculture/agricultural practices. CT12. Process Intensification Technology Proposals may seek to develop innovative process equipment and technology across all chemical and industrial manufacturing operations that lead to significant process simplification, intensification, enhanced efficiency, productivity enhancement, waste minimization or waste elimination, lower carbon footprint and greener, more sustainable processes; systems that lead to substantially improved energy efficiency and

substantially improved transport characteristics in challenging heat transfer, mass transfer, mixing and reaction applications, including but not limited to systems involving multiple phases and complex rheology; novel unit operations, improved heat transfer and insulation technology; reaction technology and process design innovations in the production of (but not limited to) commercial chemicals, metals, materials, food, pharmaceutical, commodities and finished products; novel micro reactors; process miniaturization, lab on a chip approaches; process automation systems that facilitate the safe conduct of complex and hazardous chemistry through novel system designs that include (but are not limited to) process simplification, capital efficiency, retrofittability, leading to greener and more efficient process technology in new and existing manufacturing/production facilities. CT13. Smart Chemical Processes and Process Equipment Technology Proposals may involve innovations that seek to develop smart production technology, process engineering real-time modeling software along with smart hardware systems to enhance the energy efficiency, sustainability, resource utilization efficiency and operational reliability and safety of existing and new manufacturing capacity in the broad chemical industry. The effective use of big data and Internet of Things paradigms for enhancements in chemical process technology and manufacturing systems; improvements in managing the sustainability of industrial supply chains; dynamic production and supply chain optimization; smart systems that use process data from sensors for real-time and dynamic process optimization and control; enhancing process safety; process control; fault detection, tolerance and mitigation; operational reliability and efficiency would be relevant to this topic. Technologies that are discontinuous and breakthrough innovations that can improve existing manufacturing and production processes and unit operations, either as new or retrofittable or drop-in solutions, would be relevant.

CT14. Sustainable Chemistry and Green Engineering Technology This topic seeks to broadly capture innovative technology development projects that are seeking to develop engineered products, technologies and system solutions involving green engineering and green chemistry approaches that may also involve cross-cutting and multidisciplinary approaches to addressing significant commercial and societal needs through technological solutions. Projects may propose innovations that enhance sustainability through any combination of reducing carbon foot print, energy intensity, natural resource use, pollution, toxicity, safety hazards and environmental impact. Projects may include any breakthrough technology development that will result in new solutions to significant societal needs, or significantly enhancing or replacing existing commercial products/technologies/processes with greener, sustainable alternatives.

Educational Technologies and Applications (EA) Administrative Information Submitted proposals for education applications should provide storyboards, sketches, or descriptions of how the proposed application will work and provide examples of how users would interact with the application and how learning takes place. Projects that propose technologies or products similar to those in the marketplace or those similar to existing products and processes are unlikely to be funded without a case for a strong innovative technical component. Projects that can be easily replicated by potential competitors such as curricula, tutorials, and paper or generic electronic publications are not likely to be funded as they usually lack sufficient technical innovation. Systems that simply combine existing knowledge with existing technologies tend to lack innovation and are unlikely to be funded. When submitting a proposal to the EA Topic, indicate the corresponding subtopic where the strongest case for the project’s technical innovation can be made. For example, use EA1 for proposed projects that are in the area of "General Education Applications”, followed by appropriate keywords such as K-12, high school, informal education, chemistry, health, information technology, physics, social media, search engines, robotics, etc. Keywords may be used by NSF to help find reviewers familiar with your project’s innovation, technology, education, and commercial environment. Proposals submitted to the EA topic areas may also be considered in consultation with the United States Department of Education prior to the NSF SBIR/STTR program making an award decision.

EA1. General Education EA1 topics can include 1) technology transfer of innovative and sustainable products and services that leverage and commercialize education research investments made to educational institutions by the National Science Foundation and other government agencies; 2) authentic and active learning approaches that are more student-centered in environments that are familiar to learners; these approaches should provide solutions that address the needs of a variety of learners, including K-12 students, college students, families, particular types of community members, teachers, and the general public; 3) innovative delivery, applications, open content, and curricula on science, technology, engineering, and math (STEM) that provides new or alternative forms of sharing and repurposing of information, content, pedagogies, and experiences that are long-term and sustainable; 4) learning technologies that motivate and enhance the self-esteem and learning performance of students; 5) innovative applications that better enable classroom management, recordkeeping, and standards-aligned planning, and facilitate or ease the burden of the ever-increasing roles and responsibilities of educators while permitting more effective use of educational resources; 6) systems and tools that may better enable education leaders to benefit from agile start up models to implement change across institutional settings; and 7) authoring systems and content generators that easily allow educators to create, distribute, and share new resources across multiple platforms; 8) applications that better enable informal and traditional learning or applications that help bridge formal and informal learning environments or effectively promote positive behavior changes; and 9) technologies to preserve the nation’s collective and cultural heritage including the protection of objects, artifacts, documents, conservation, and archival objects that can include physical, artistic, cultural, engineering, electronic, and other multi-disciplinary educational documents.

EA2. Global and Collaborative Education EA 2 topics can include 1) innovative applications that use online learning, hybrid learning, crowdsourcing, collective intelligence, and collaborative models with new tools with the potential to deliver new and powerful educational opportunities in STEM disciplines; 2) learning environments that allow students to control and experiment with educational situations in relationship to their personal learning style to acquire knowledge anytime, anywhere; 3) technologies that enable innovative forms of educational collaboration across national boundaries; 4) learning applications that provide for better decision making and informed judgments about problems and situations affecting global issues related to theory, education technology, and data; 5) projects in which technology allows the tailoring of learning experiences to special needs and interests of groups or individuals or allows expanding formal education beyond classroom settings; 6) applications that support and promote cultural diversity, international awareness, and understanding; 7) interoperable mobile learning environments that enable students to access and connect to vast resources of knowledge, wherever they may be located, through smart phones, tablets, wearable devices, or tools that have yet to be developed; 8) virtual and remote laboratories that enhance the physical science laboratory for use in global and distance learning to leverage the availability of equipment that may otherwise be unavailable; 9) natural voice, video, and online learning tools that humanize the online learning experience such as mimicking and detecting face-to-face experiences and interactions to communicate more

authentically in a global environment; 10) gesture-based computing applications, semantic analysis, and intuitive technology tools that enable individual and collaborative work with multiple students interacting on content simultaneously; and 11) sensors and systems that detect student engagement, frustration, or boredom while providing real time feedback to both students and teachers.

EA3. Simulations and GamingTechnologies EA3 topics can include STEM-related innovative educational gaming applications that enable engaging learning experiences, digital literacy, collaboration, problem solving, communications, critical thinking, and skill improvement; 1) single-player, small-groups, or massively multiplayer online gaming applications that foster cooperation and can include card, board, or digital games; 2) serious games, simulation-based games, and entrepreneurial type games with substantial innovations that go beyond porting current knowledge, processes, and applications towards existing technologies and delivery platforms; 3) games that target the assessment of student knowledge while providing intrinsic motivation for student participation; 4) games that better enable entrepreneurs to learn and effectively compete in a global economy; 5) games that support immersive and experimental learning; 6) simulations and role-playing games where students can participate in providing creative solutions to difficult or complex situations; and 7) laboratory simulations that accurately reflect similar physical environments that may otherwise be costly, use precious resources, expose students to dangerous situations, or otherwise be unavailable for general student use.

EA4. Entrepreneurial and Maker Education EA4 topics can include 1) entrepreneurship education and training that integrates diverse topics such as strategic planning, business model development, opportunity recognition, product design development and entry, intellectual property, project management, legal requirements, custom manufacturing, production scale-up, crowdsource funding, and business constraints in in new and innovative ways for success in the contemporary global economy; 2) maker empowerment with education and innovative tools for citizens who create things such as entrepreneurs, scientists, engineers, inventors, researchers, educators, and students to dream, design, create, manufacture, and commercialize products and services or to provide life-long learning experiences; 3) innovative techniques and systems that can increase the participation or demonstration in hands-on learning related to citizen science, engineering, technology, and entrepreneurship of technical products and services; 4) innovative tools to learn or judge the effectiveness and validity of external resources for research, product launch, and effective operations of technological and education related products and services; and 5) devices and tools that enable expanded dimensional learning such as 3D modeling and printing, computer aided design (CAD), as well as new materials and technologies for science, engineering, and technological learning environments.

EA5. Learning and Assessment EA5 topics can include 1) data-driven learning and assessment using new sources of data for a personalized learning experience and the assessment and measurement of performance, 2) learning analytics tools to process and analyze data streams to modify learning goals and strategies in real time; 3) adaptive learning environments combined with assessments that provide alternative paths of instruction; 4) personal learning environments that allow students to control their environment in relationship to their personal learning style to acquire knowledge with consideration of their teacher’s expectations; 5) big data, searching, data mining, data analysis, intelligent agents, knowledge modeling, user models, mobile tools, and decision support systems that improve the understanding of teaching and learning to improve student performance, retention, and transfer in environments that may include one-to-one, one-to-many, and many-to-many relationships; and 6) collecting, analyzing, sharing, and managing data that promotes learning or leads to designed learning environments.

EA6. Computer Science and Information Technology for Education EA6 topics can include 1) tools that build real-time information from data-mining on complexity, diversity, and similar types of information to generate knowledge that can be used to revise curricula and teaching; 2) cloud-based services and applications that support collaboration, file storage, teacher and student productivity, data collection, data security, data privacy, and ubiquitous access to information in secure environments in an educational setting; 3) innovations that provide for better learning and knowledge transfer in many-to-one, one-to-many, and many-to-many environments; 4) education tools that benefit from objects having their own IP address or location based services for new types of communications, assistive technologies, and new applications of benefit primarily to education; 5) wearable information centers, power sources, flexible displays, jewelry, glasses, output devices, and input tools that allow students to interface with computers and other devices in creative new ways that help overcome natural or physical barriers to learning; 6) virtual assistive technologies that may combine developments in

engineering, computer science, and biometrics that add substance to both formal and informal learning situations; 7) systems and applications that address privacy concerns of educators and students including the safeguarding of personal data in connected education environments; 8) innovative tools to quickly automate and allow for the rapid conversion of educational media for easy archival and porting to multiple devices and formats; 9) innovations that allows students and others to use technologies that may improve their performance, knowledge, expertise, and provide for a rich educational experience.

Electronic Hardware, Robotics and Wireless Technologies (EW) Sensors (SE) Recent technological advancements in materials science and bioengineered systems have made inexpensive, powerful, and ubiquitous sensing a reality. Examples range from truly smart airframes and self-evaluating buildings and infrastructure for natural hazard mitigation to large-scale weather forecasting, self-organizing energy systems, and smart devices that self-assemble into networks leading to the first electronic nervous system that connects the Internet back to the physical world. New detection technologies that overcome barriers of time, scale, materials, and environment, and emphasize self-calibration, selectivity, and sensitivity are solicited.

Wireless Technologies (WT) Wireless has become the platform for many applications with direct impact on virtually every aspect of life, evolving well beyond mobile phones and PDAs to other devices, services, channels, and content. Microwave circuits afford wider frequency spectrum and very short antennae. With GaAs and SiGe, entire microwave transceivers can be inexpensively put on a single chip. Modulation methods, like spread-spectrum and orthogonal frequency-division multiplexing, bring greater spectral efficiency and more bits/Hz of bandwidth, and lead to less susceptibility to noise, interference, and multi-path distortion. On-chip DSPs allow new signal-processing functions. RFID chips are providing improvements in warehousing, materials handling, and shipping operations, replacing bar-code labels in many areas.

WT1. Systems and Devices Proposals that involve next generation wireless communication technologies requiring systems with high data rates, low cost, and that support a wide variety of applications and services, while maintaining full mobility, minimum latency, and long battery life are sought.

WT2. Spectrum Usage Proposals in the areas of spectrum-related research and development activities that improve the efficiency by which the radio spectrum is used, and the ability of all Americans to access spectrum-related services.

Energy and Power Management (EP) In the power electronics realm, as CMOS chips go to finer lithography with each new generation, their multiplying transistors require lower voltages and higher currents. These trends have driven up power demands on printed circuit boards and placed constant pressure on power-supply and power-system developers to increase the efficiency and power or current density. At the same time, the trends toward lower voltages and higher currents have encouraged migration from centralized to distributed and portable power architectures.

EP1. Electronic Devices, Boards and Interfaces Newer chips with lower supply-voltage requirements has greatly complicated power-system and power-supply design. Innovations in the areas of low-power device design and manufacturing as well as printed circuit and other boards that will operate at lower power and longer lifetimes are welcome.

EP2. Sustainable Energy Harvesting, Storage and Management - Device and System Level Proposals are solicited in the areas of electronic systems for portable energy sources for mobile technologies and off-grid type applications, including new energy sources. Proposals in the areas of power management systems for energy scavenging/harvesting and compact energy conversion systems, conversion from renewable resources, interface devices between batteries and super-capacitors as well as smart power demand-response management systems are welcome. Proposals with ideas on nature-inspired processes for sustainable energy solutions and carbon storage, reducing the carbon and resource intensity of hydrocarbon extraction, energy conversion, and its uses are sought. Innovative projects may include new critical devices, components, and systems for energy harvesting and conversion from renewable resources (excluding solar technologies). Refer to PH topic for solar technologies.

EP3. Smart Grids and Infrastructure Proposals that address innovations in new technologies that support smart infrastructures (such as materials, sensors, devices, and control systems) to ensure efficient and sustainable energy transmission, distribution, monitoring, and management are sought.

EP4. Power Management Innovations in the areas of (but not limited to) novel voltage conversion, micro-inverters and DC-DC voltage converters, and compact hi-voltage, hi-power systems are welcome. Proposals covering new energy sources for portable and mobile devices, smart power demand-response management systems (e.g. smart grids, buildings, and circuits), inverters, motors, and generators for higher efficiency, smaller size and power factor corrections are encouraged.

Robotics and Human Assistive Technologies (RH) Considerable progress will be made if robots possessed the high intelligence needed to cope with uncertainty, learn from experience, and work as a team. Robot designers are borrowing features from insect nervous systems, and engineers and computer scientists collaborate with biologists, neuroscientists, and psychologists to exploit new knowledge in the study of the brain and behavior. Some robots will help people do what they can't or would rather not do. Other robots will tackle complex projects by working as teams. Robots will help protect critical infrastructure and monitor the environment as mobile, intelligent sensors. High-performance processors, hardware to provide situational awareness, and improved artificial intelligence (AI) are enabling researchers to create lifelike robots with an entire gamut of facial expressions.

RH1. Learning, Intelligence and Motion Proposals addressing robot intelligence and experiential learning, particularly those in the areas of high-performance processors/hardware to provide situational awareness, and improved artificial intelligence, are welcome. Innovations in voice, obstacle and image recognition, emotional response, and eye-hand coordination are encouraged. Proposals describing projects that borrow features from other animal nervous systems and include biologists, neuroscientists, and/or psychologists in their team in order to exploit new knowledge in the study of the brain and behavior, are encouraged.

RH2. Robotic Applications Proposals involving robotics and intelligent machines having complex, human-like behavior for applications such as the protection of critical infrastructure or the monitoring of the environment while using mobile technologies and sensors networks are sought. Innovations in areas such as improved time imaging, visualization, deep learning, neuromorphic computing, biorobotics, brainOS, human-robot interaction, dexterity and manipulation, anthropomorphic (human-shaped) robots, naturally inspired, biomimetic, neuromechanical robotics, haptic, real-time and bio-inspired feedback are also welcome. Other applications, including (but not limited to) precision agriculture, are also appropriate.

RH3. Robotics in Agile Manufacturing Proposals that address next-generation automation, the flexible and rapid reconfiguration of assembly lines allowing mass customization, the use of advanced control, scheduling, modularization, and decentralization with agile, mobile robotic systems that can enable the cost-effective manufacture of small, lot-size products are sought.

RH4. Co-Robots Innovations in the development of co-robots, robots that work symbiotically (beside, in direct support, or cooperatively) with people, to extend or augment human capacities are welcome. Proposals describing the next generation of robotic systems able to safely co-exist in close proximity to humans in the pursuit of mundane, dangerous, precise, or expensive tasks; for sensors and perception, actuators and control, intelligence, machine learning techniques, architectures, systems, human/robot interfaces, and other developments that either realize or help to realize co-robots in manufacturing, service, construction, exploration, and assistive applications are encouraged.

RH5. Control and Architecture Proposals involving novel and advanced approaches to sensing, perception, and actuation in embedded and highly distributed systems; intelligent control architecture for robotic systems; the development of human-robot interfaces; communication and task sharing between humans and machines, and among machines; and self-diagnosing, self-repairing robots, are sought.

RH6. Human Assistive Technologies and Bio-related Robotics Proposals to support the physical and educational needs of individuals with disabilities - e.g. vision, hearing, cognitive, motor related - are sought. Robotic applications in healthcare (tele-robotics, robotic prosthesis, robot-assisted rehab, miniature robotics, high-throughput technologies - imaging, screening of drugs, surgical procedures) are appropriate. Medical devices that provide new capabilities to doctors including surgery; robotic exoskeletons to enhance human strength; personal robots with an emphasis on human-centered end use and interaction, increased autonomy; robots of augmentation are welcome. Proposals that address concepts for protecting human hands (in various extreme environmental conditions), and haptic, real-time and bio-inspired feedback concepts and mechanisms are also sought.

Micro-electronics Packaging, Thermal Management & Systems Integration (MT) Proposals are solicited on more efficient means of integrating semiconductor components and devices into systems. The growth in chip density, coupled with the demand for high performance, small size, light weight, and affordable reliability has placed enormous pressure on interconnect technology and packaging at all levels. Innovations include (but not limited to) improved techniques for interconnect and packaging at the board level, packaging approaches for the board components, the passive components, techniques for board assembly, and applications of techniques to packaging and systems integration for optoelectronics and wireless systems.

Internet of Things (I) The Internet of Things (IoT) is a rapidly evolving field that involves the interconnection and interaction of smart objects (objects or devices with embedded sensors, onboard data processing capability, and a means of communication) to provide automated services that would otherwise not be possible. IoT is not a single technology, but rather involves the convergence of sensor, information, communication, and actuation technologies. Today, most of what we consider as IoT is a variety of largely stand-alone devices and isolated systems, such as wearable fitness monitors, home thermostats and lighting, remote video streaming, smartphones, and smart watches. Emerging IoT implementations will use smaller and more energy- efficient embedded sensor technologies, enhanced communications, advanced data analytics, and more sophisticated actuators to collect and aggregate information and enable intelligent systems that understand context, track and manage complex interactions, and anticipate requirements. IoT is expected to become ubiquitous, with implementations in the smart home - management of energy use, control of appliances, monitoring of food and other consumables; consumer applications - health and fitness monitoring, condition diagnosis; manufacturing and industrial settings - supply chain management, robotic manufacturing, quality control, health and safety compliance; utility grids and other critical infrastructure - grid optimization, automated fault diagnosis, automated cyber security monitoring and response; and automotive/transportation - optimization for driving conditions, assessing driver alertness, collision/accident avoidance, managing vehicle health. Proposals are encouraged that address key challenges across the full range of IoT applications.

IoT1. IoT Sensors and Actuators IoT is on track to connect 50 billion "smart" things by 2020, and one trillion sensors soon after. This subtopic includes (but is not limited to) innovations in device and materials technology to enable new sensor functionality, further sensor miniaturization, improved sensor performance or more efficient energy use; actuator technologies to enable new IoT functionalities; and device packaging innovations that enable further sensor or actuator miniaturization and embedding in a greater range of smart objects and devices. IoT2. IoT Energy and Power Systems Many of the components that enable IoT will have to operate in severely power constrained network edge environments, requiring improvements in energy efficiency in simple, low-cost systems. In many cases, the devices will not have a consistent power supply, and local energy harvesting will therefore be required. This subtopic includes (but is not limited to) novel power management integrated circuits aimed at miniaturizing devices and increasing energy efficiency; power management systems for energy harvesting to enable mobile or remote IoT devices and systems; and smart power protocols for IoT devices. This subtopic can also include broader categories of energy-efficient technologies to enable mobile IoT applications, such as displays, power efficient IC's, and innovative mobile battery solutions. IoT3. IoT Communications Enabling ubiquitous connectivity and the aggregation of IoT data presents key data processing and communications challenges as the industry tries to simplify and define how "smart" things interact. A wide variety of communication solutions, both wired and wireless, will likely emerge. This subtopic includes (but is not limited to) innovations that will substantially improve the underlying technical performance, or extend the functionality, of IoT communication systems. Particular emphasis is placed on low-power and data-efficient communications schemes, as these are required to enable IoT in resource-constrained environments. Examples of relevant technical fields include (but are not limited to): short range and long distance transmission technologies - optical, RF, microwave or ultrasonic; communication signal sources and detectors - optical (lasers, LEDs, photodetectors), RF, microwave or ultrasonic; and electronic or optoelectronic signal processing technologies to facilitate efficient low-power data transmission or reception.

IoT4. IoT Integrated Systems Many of the benefits of IoT require the full integration of complex systems to enable developers to build innovative service delivery platforms. This subtopic includes (but is not limited to) new design and development platforms that facilitate widespread adoption of IoT; IoT systems with the flexibility to allow rapid development and deployment of new use cases and functionalities; and shared platforms designed for lean, power-constrained environments that enable the easy integration of sensors and actuators, communication technologies, and data processing to create new business models for IoT. IoT IT. Cloud, Big Data and Security and Privacy (see IT portfolio topics) Data is rapidly emerging as the most important currency driving IoT. Offloading computation to the cloud, providing overall system security, and guaranteeing the privacy of users remain key challenges in IoT. Companies developing innovations in these spaces should refer to the IT topics of this SBIR/STTR solicitation.

Information Technologies (IT) Introduction Information technology is increasingly impacting almost every aspect of our lives, from communicating with friends and family to manufacturing of the products we use, the efficient supply of food and provision of healthcare services, and the performance of financial markets and our nation's economy. The past decade has seen explosive growth in the generation of data and the creation of usable information from that data. This is expected to accelerate into the foreseeable future, fueled in part by the increasing interconnectedness of the products and services that we use. This topic encourages the submission of proposals that present ground-breaking innovations in the generation, analysis, or use of information, where such innovations offer the potential for substantial commercial returns and a positive impact on society and the world in which we live. The subtopics below provide specific examples of technologies and applications, although given the enormous range of information technology applications, these examples are inevitably incomplete. Proposals are encouraged under any of the specific subtopics IT1 to IT9. Proposals that do not fit these subtopics can be submitted under the subtopic "IT10: Other".

IT1. Big Data; Advanced Data Analytics This subtopic focuses on information technology innovations in the fields of big data and advanced data analytics. These fields cover a wide range of technical sub-specialties and applications, and the examples provided are indicative only. Examples of relevant technical fields include (but are not limited to): predictive analytics; simulation; optimization; data visualization; network visualization; visual data analytics and optimization (image and video); data fusion and integration. Applications are many and varied - examples include (but are not limited to): predicting buying patterns and trends, insurance claims, mortality rates, tax fraud, traffic patterns and delays, equipment failure, election outcomes, criminal/terrorist activities, and the spread of disease; improving healthcare outcomes; optimization of equipment performance and maintenance scheduling; optimization of manufacturing processes; predicting and optimizing traffic flow (internet traffic, road traffic, etc.); internet search; business informatics; logistics management; supply chain management; visualization of utility networks; climate modelling; geographic information systems (GIS); crowdsourcing; detecting and preventing cyber-attacks.

IT2. Cloud Computing; High-Performance Computing; Cloud-based IT Services This subtopic focuses on information technology innovations in computing capabilities that are aimed at enabling or enhancing the analysis of complex science, engineering, medical, business or social issues. A specific focus is technologies related to internet-based networked computing resources. Examples of relevant technical fields include (but are not limited to): infrastructure as a service; platform as a service; software as a service; virtualization; cloud-based storage; distributed computing; computer cluster architectures; in-memory processing; device⇔cloud architecture; data integrity and availability; data security and confidentiality in distributed computing networks. Applications include (but are not limited to): stock market analysis and prediction; cryptanalysis; weather forecasting; fluid dynamic modelling, acoustic modelling and other computationally intensive engineering modelling; advanced speech processing; video analysis and processing.

IT3. Artificial Intelligence, Machine Learning, Natural Language Processing (NLP) This subtopic focuses on information technology innovations in the field of artificial intelligence(AI), which refers to intelligence exhibited by machines or software. AI is usually limited or targeted in nature, with general machine-based intelligence remaining an elusive long-term goal. There are many technical approaches to AI, and an even greater diversity of potential applications. Current fields of use include (but are not limited to): intrusion detection - in software systems, communications networks, and sensor systems; the finance industry - optimizing operations and stock investments; medicine - clinical decision support, computer-aided interpretation of medical images; industry - robotics and automation, process management, quality control; and online/telephone customer service - automated assistants.

This subtopic includes a particular focus on machine learning and natural language processing (NLP), both of which are disciplines within the broader field of artificial intelligence. Machine learning refers to processes in which an automated system can learn from data, rather than following a pre-specified set of rules, and in many cases can predict outcomes relating to the learned process. NLP uses machine learning to extract information or derive meaning from human language (written or spoken) or to generate human language. Examples of relevant technical fields within machine learning include (but are not limited to): supervised machine learning; semi-supervised machine learning; unsupervised machine learning; neural networks; machine learning algorithms - e.g. decision tree learning; robot learning; pattern recognition; image recognition. Examples of technical fields within NLP include (but are not limited to): parsing; named entity recognition; data extraction from text; natural language understanding; natural language generation; automatic summarization; machine translation; analysis of structured or unstructured text; speech recognition; speech analysis; speech processing. Applications across both technical fields include (but are not limited to): improvements in human-computer interaction - e.g. computers anticipating users' needs; automated manufacturing; machine vision; robotic control systems; cyber-physical control systems; sentiment analysis; analysis of online commentary; automated medical diagnosis; stock market analysis; translation services (including speech-to-speech translation).

IT4. Networking Technology This subtopic focuses on information technology innovations that will enhance the performance, functionality and monitoring of information networks, with particular emphasis on the internet and Internet of Things (IoT) networks. Examples of relevant technical fields include (but are not limited to): software defined infrastructure - including software defined networking and software defined storage; software defined data centers; analytics to optimize network performance; network visualization; network protocols; technologies to reduce network congestion and improve network resiliency; data management and processing technologies for resource-constrained environments such as in Internet of Things (IoT) applications; machine-to-machine networks; network-based data storage and retrieval technologies; data distribution - e.g. video distribution; anywhere/anytime access to data and services.

IT5. Mobile Computing and Internet of Things IT This subtopic focuses on information technology innovations that will improve the performance or functionality of mobile devices and devices that operate in resource-constrained environments - such as in Internet of Things (IoT) applications. While there is some overlap with other subtopics, proposals submitted to this subtopic should be focused on innovations specifically intended for these platforms. Examples of relevant technical fields include (but are not limited to): location technology; image recognition and processing; video processing; speech recognition and generation; translation services; gesture and expression recognition and processing; biosignal processing; crowdsourced storage; crowdsourced processing; peer-to-peer device networking; user/device collaboration (e.g. device anticipating and addressing a user's needs); device - cloud architecture; data analytics and data processing to facilitate the Internet of Things (IoT)s; mobile commerce; vehicle-based computing platforms.

IT6. Image/Video Processing This subtopic focuses on information technology innovations that enhance the storage, transmission, processing or use of image and video data. Examples of relevant technical fields include (but are not limited to): image recognition and tagging; facial recognition; automated video categorization; video summarization; 3D image capture and processing; video compression; video analysis; video enhancement; storage and transmission of video data; video curation.

IT7. Social Media /Collaborative Networking This subtopic focuses on information technology innovations that will add value to social, professional, business, or technical interactions over the internet. Examples of relevant technical fields and applications include (but are not limited to): collaborative healthcare; the sharing economy; professional networks; B2B networking; image and video centric

networks; micro video; social media advertising and marketing; social networking tools; visual content optimization (image and video) for social media; video sharing.

IT8. Cyber Security and Privacy This subtopic focuses on information technology innovations that protect networks and devices against cyber-attack, or protect data and user information against compromise. Examples of relevant technical fields include (but are not limited to): big data security; data/network analytics to detect cyber vulnerabilities and cyber-attacks; human factors analytics - to assess people risk; mobile device security; deviceïƒ³cloud security infrastructure; cloud computing security; security/privacy policy compliance; security for BYOD (bring-your-own device) and BYOC (bring-your-own-cloud); security for the Internet of Things (IoT), from industrial IoT settings to smart homes to wearable devices; data loss prevention; information assurance; data integrity; encryption; key generation, key management and key distribution; access authorization; identity management; personal authentication - biometrics, multi-factor authentication.

IT9. Software This subtopic focuses on information technology innovations that are embodied in software and provide important new capabilities. Usually these will be generalized capabilities, not directed to a specific use case. Examples of such features or benefits include (but are not limited to): enhanced computational speed or efficiency; new or improved functionality; improved or extended performance; increased ease of use and accessibility. The range of possible innovations under this subtopic is far too broad to attempt to describe here. Past examples of significant software innovations cover a broad range of technical approaches and resulting new capabilities, and include (but are obviously not limited to): Object-Oriented Programming; the GUI; HTTP; HTML; TCP/IP; SQL; internet search engine(s); the spreadsheet; word processing; MapReduce; virtualization.

IT10. Other This general subtopic is intended to capture any information technology innovations that are not covered in the preceding subtopics, and that have the potential to generate substantial commercial returns and to lead to a positive societal impact.

Semiconductors (S) and Photonic (PH) Devices and Materials Photonics (PH) The Photonics topic addresses the research and development of new materials, devices, components, and systems that have the potential for revolutionary change in the optics and photonics industries. Proposals should be motivated by market opportunity, a compelling value proposition, clearly identified end users and customers of the proposed technology, and a viable pathway to commercialization.

PH1. Lighting and Displays Subtopic includes (but is not limited to) solid state lighting and smart lighting systems and controls, energy efficient display technologies, light emitting diodes (inorganic or organic), display backplane technology, and transparent conductors.

PH2. Communications, Information, and Data Storage Subtopic includes (but is not limited to) optical communication and networking infrastructure and components, photonic integrated circuits, new materials and systems for data storage, novel components for network applications, and multifunctional and other novel optical fibers implementations.

PH3. Energy Subtopic includes (but is not limited to) photovoltaic materials and devices, systems for smart glass applications, breakthrough thermophotovoltaics, metamaterials, and materials and systems for solar thermal applications.

PH4. Advanced Metrology and Sensors Subtopic includes (but is not limited to) sources and detectors for advanced IR systems, advanced remote sensing systems, sources and detectors for advanced microscopy, novel camera systems for 3D metrology, and advanced imaging systems.

PH5. Advanced Optical Components and Systems Subtopic includes (but is not limited to) the building blocks for next generation optical components and systems, such as new photonic materials, breakthrough process technologies, nanophotonics, biophotonics, plasmonics, photonic integrated circuits, and manufacturing techniques to enable low-cost breakthroughs for advanced photonic components. Proposals in this area should take special care to clearly highlight real market opportunity and a compelling value proposition for the technology.

Semiconductors (S) The Semiconductors topic addresses the research and development of new designs, materials, devices, and manufacturing systems that have the potential for impactful change in the semiconductor industry. Proposals should be motivated by market opportunity, a compelling value proposition, clearly identified end users and customers of the proposed technology, and a viable pathway to commercialization. The program encourages cooperation with the semiconductor industry to address current challenges as well as new frontiers.

S1. Electronic Materials Subtopic includes (but is not limited to) novel semiconductor materials, magnetic materials, advanced thermal management materials for device integration, materials for advanced lithography, and materials for high-temperature, high-power, or high-frequency applications.

S2. Electronic Devices Subtopic includes (but is not limited to) advanced semiconductor devices, bioelectronics and biomagnetics, quantum devices, magnetic and multiferrous and spintronics devices, memory devices, power electronics, flexible electronics, and nanoelectronic devices.

S3. Processing and Metrology Technology Subtopic includes (but is not limited to) processing and metrology technologies that enable low cost, high performance or novel, advanced semiconductor devices.

S4. Integrated Circuit Design Subtopic includes (but is not limited to) low power circuits and architecture, novel chip architectures, and the integration of nano- to micro-scale devices on circuits.

Advanced Materials and Instrumentation (MI) Introduction The Advanced Materials and Instrumentation (MI) topic addresses the development of new and improved materials and instruments for a wide variety of commercial and industrial applications. Proposals in Advanced Materials may focus on the creation of innovative material systems and/or on critical fabrication, processing, or manufacturing challenges involved in the successful commercialization of materials. Proposals in Instrumentation may focus on new instruments for use in scientific, industrial, engineering, or manufacturing environments, among others. Types of instruments that will be considered include systems and tools designed for the purposes of detection, characterization, measurement, processing, control, and/or monitoring. A wide variety of applications areas will be considered as part of this topic.

MI1. Metals and Ceramics Material innovations to improve the performance of and/or allow new functions in metallic and ceramic materials. This topic includes bulk materials (e.g. superalloys, ceramics, and composites) and coatings (e.g. thermal and environmental barrier coatings, and tribological coatings), as well as other morphologies (e.g. foams). This subtopic also includes composites of metallic and ceramic materials (metal-matrix and ceramic-matrix composites).

MI2. Structural and Infrastructural Materials Material and process innovations to improve the performance of materials in structural applications. Includes (but is not limited to) materials for civil infrastructure (e.g. cement, concrete, structural panels, etc.) and polymer composites for various applications. Structural materials that are metallic or ceramic should be submitted under topic MI1.

MI3. Coatings and Surface Modifications Material and process innovations in surface modifications and coatings. Includes (but is not limited to) coatings for improved corrosion and wear resistance, anti-microbial and anti-fouling coatings, surface modifications for specialized applications such as superhydrophobic or biologically/chemically active surfaces, and techniques to improve manufacturability and reduce cost. Refer to the MI1 topic for proposals related to inorganic coatings.

MI4. Multiferroics and Specialized Functional Materials Innovations related to multiferroics or other functional materials for specialized applications. Includes (but is not limited to) piezoelectrics, ferroelectrics, thermoelectrics, magnetostrictives, or electrochromics, shape memory alloys, ferrofluids, materials for high or low thermal conductivity applications, novel materials for active device or energy harvesting applications, functional thin films, and novel materials for sensing or instrumentation.

MI5. Materials for Sustainability Material innovations designed for improved sustainability, mitigating adverse environmental impacts, and/or improved public health. Includes (but is not limited to) new processes and techniques that allow for new or increased use of recycled, renewable, non-toxic and/or environmentally-benign materials. Proposals are also encouraged for new innovations that reduce overall energy consumption or waste, or that increase recyclability or reusability at end-of-life.

MI6. Other Materials New innovations in materials that do not fit into any of the above five materials topics but that nevertheless meet the intellectual merit and broader/commercial impact criteria of the NSF SBIR/STTR program.

MI7. Instrumentation for Characterization and Imaging New innovations in instrumentation whose primary purpose is measurement, characterization, or imaging. Includes (but is not limited to) optical and electron microscopy, scanning probe methods, magnetic imaging (NMR, MRI, etc.), spectroscopic and chemical methods, and other scientific instrumentation.

MI8. Instrumentation for Detection, Actuation, Control, and Manipulation New innovations in instrumentation whose primary function is detection, control, or manipulation. Includes

(but is not limited to) new instruments for use in industrial processes, manufacturing, research, engineering, military, and/or consumer applications.

MI9. Other Instrumentation New innovations in instrumentation that do not fit into either of the above two instrumentation topics but that nevertheless meet the intellectual merit and broader/commercial impact criteria of the NSF SBIR/STTR program. Refer to the BT topic for bioinstrumentation.

Advanced Manufacturing & Nanotechnology (MN) Advanced Manufacturing (M) The Advanced Manufacturing (MN) subtopic aims to support all current and emerging aspects of manufacturing innovations that have the potential to rejuvenate the nation's manufacturing sector and also improve its efficiency, competitiveness, and sustainability. Proposals should be driven by societal/market needs and opportunities, and should identify both the end users of the proposed technology and the proposed pathway to commercialization. Proposals that are responsive to strong societal needs while meeting commercial sustainability thresholds are also encouraged.

M1. Personalized Manufacturing Proposals centered on innovative, new-to-the-world manufacturing methods and machines leading to mass customization are invited. The applications may include (but are not limited to) clothing, footwear, furniture, ear buds, headbands, hearing aids etc. The resultant products may need to be cost competitive with the relevant mass manufactured products. Technologies focused on rapid and lower cost production of personalized biomedical implants, and human assistive products that support the unique needs of individuals with disabilities are also encouraged. Proposals may include development of software-as-a-service or workflow-as-a-service tools to assist young personalized manufacturing businesses. M2. Maker Manufacturing Makers represent a wellspring of innovation, creating new products and eventually manufacturing them. Proposals having roots in such activities, involving innovations in one or more stages of design, engineering, and manufacturing and having significant commercialization potential are solicited. Commercially sustainable ideas that seek to address significant local, national, or global societal problems (e.g., energy/water/ resource conservation, youth unemployment), or enable spreading of citizen science through such innovations are especially encouraged. M3. Additive Manufacturing Innovations in processes or machines that permit manufacturing through a layering process, including 3D printing, to achieve fabrication of a range of products including near net shape products. Proposals by young companies to develop sustainable businesses based on 3D printing are especially encouraged. Proposals are also encouraged that permit the manufacturing of complex multi-scale and/or multi-functional products for superior performance and productivity. M4. Manufacturing for Emerging Markets Transformative technological innovations that enable the manufacturing of ultra-low-cost products designed to tap into the vast commercial potential of global underserved markets. The proposals must aim to produce products that are affordable and that have significant societal impact in the intended markets such as enhancing accessibility, reducing environmental impact, improving health etc. M5. Modeling & Simulation Innovations in the modeling and simulation of enterprise operations, manufacturing processes for intermediate or finished products, machines and equipment, predictive modeling of tooling and machine performance and discrete event simulation of manufacturing systems. Innovative approaches that bring the benefits of cloud computing and/or big data analytics to the manufacturing sector are especially encouraged. Virtual manufacturing software products that allow designers to create a three-dimensional (3-D) model of a product and then virtually test the efficiency of its performance are also relevant. Technologies enabling real-time prediction or optimization are also encouraged. M6. Sustainable Manufacturing Technology Proposals may cover technologies that present new process and system design paradigms, employ internet-of-things to dynamically optimize complex industrial manufacturing processes, enhance environmental sustainability with reductions in carbon footprint and/or water usage, and promote the sourcing, use, and recycle of materials and energy streams; technologies that take a systems approach to green engineering for industrial, residential, and commercial infrastructure, industrial manufacturing infrastructure design innovations; novel tools for the real-time analysis of system performance and the dynamic global

optimization of system performance; innovations in technologies for the improved efficiency, control; new technologies (involving materials, sensors, devices, and control systems) that support smart infrastructures to ensure efficient and sustainable energy transmission, distribution, monitoring, and management. M7. Manufacturing Processes Innovative technologies for the processing of a variety of materials, including metals, alloys, ceramics, polymers, and novel composites using processes such as casting, forming, machining, and joining. Proposals that lead to significantly improved efficiency (in terms of materials, energy, time, or money) and sustainability are encouraged. The topic also includes on-line detection and/or control of defects in those processes. M8. Rare Earths and Critical Materials Processing Technology Proposals of interest would involve production technologies enabling the development of new sources for rare earths, metals, and critical materials of strategic national importance; improving the economics of existing sources; accelerating the development and deployment of alternatives to rare earths and critical materials currently in use; technologies and processes for more efficient use in manufacturing; recycling and reuse; new processes for critical and strategic metals and minerals extraction; novel purification processes; recycle and recovery by separation of rare earths and strategic materials from waste; novel ways to reduce the amount of critical materials currently utilized in current and emerging technology products.

M9. Transportation Technologies Proposed projects might include (but are not limited to) the reduction of engine emissions; the reduction of greenhouse gases resulting from combustion; vehicle weight reduction; vehicle components; improved engine and fuel efficiency; reduction of SOx, NOx, and particulates resulting from combustion; reduction in wear and environmental pollutants. Projects may include technologies of commercial importance for low-temperature combustion, flexible fuel and fuel blends for automotive applications, improved atomizers and ignition characteristics, low heat-loss (coatings, materials, etc.) engines, on-board energy harvesting (e.g., thermoelectric generators), energy conversion and storage, improved catalyst systems, and other alternative technologies to improve fuel efficiency, reduce energy loss, and reduce environmental emissions; advanced batteries for transportation, including radically new battery systems or breakthroughs based on existing systems with a focus on high-energy density and high-power density batteries suitable for transportation applications. M10. Manufacturing Technologies involving Chemical Transformations New process technologies for the production of novel materials include (but not limited to) high-performance bio-materials, inorganic and composite materials, alloys, novel materials with optimized design at an atomic scale, nano- and micro-scale metallic materials, and nano-materials and metallurgical products of commercial relevance. M11. Machines and Equipment Innovative machines and equipment in a range of operations for making nano-, micro-, and macro-scale products in all industries, from biomedical engineering and flexible electronics, to manufacturing, mineral processing, agriculture, construction, and recycling. Innovative equipment modification or retrofitting to enable manufacturing of completely new products is encouraged.

Nanotechnology (N) The Nanotechnology subtopic addresses the creation and manipulation of functional materials, devices, and systems with novel properties and functions that are achieved through the control of matter at a submicroscopic scale (from a fraction of nanometer to about 100 nanometers). Proposals should be driven by market needs and demand and should identify both the end users of the proposed technology and the pathway to commercialization. N1. Nanomaterials Proposals may include material innovations in scalable synthesis, purification, and processing techniques for hierarchical nanostructures, nanolayered structures, nanowires, nanotubes, quantum dots, nanoparticles, nanofibers, and other nanomaterials. N2. Nanomanufacturing Proposals that seek to develop innovative processes, including self-assembly, nanolithography, nano-patterning, nano-texturing, nano-3D printing etc., techniques, and equipment for the low-cost, large-area or continuous manufacturing of nano-to micro-scale structures and their assembly/integration into higher order

systems are encouraged. N3. Nano-enabled Commercial Solutions to Global Problems Proposals focusing on global problems through innovative nano-enabled processes are solicited. Examples of such problems include desalination of seawater to solve the emerging water crisis, solar energy collection, storage, and conversion for contributing to energy solutions for the future, and solid-state refrigeration for reducing global greenhouse emissions.

8.0 RESEARCH TOPIC DESCRIPTIONS AND INSTRUCTIONS Applicants are encouraged to submit applications that address the research priorities stated for each topic area described in this Program Solicitation (see topic areas 8.1 through 8.13 below). They are further encouraged to submit applications related to agriculturally–related manufacturing technology, energy efficiency and alternative and renewable energy or one or more of the National Challenge Areas; see section 1.6. Applicants should pay attention to specific instructions located within each of the topic area descriptions when developing their proposal. Each topic area description provides background information, FY 2016 research priorities and other key information. Although applicants should apply to the topic area they deem most appropriate, USDA reserves the right to shift applications between topic areas when necessary to achieve the most effective review. Questions regarding the suitability of research for a specific topic area should be directed to the appropriate NPL. 8.1 Forests and Related Resources

Contact Dr. Charles Cleland, NPL for SBIR Forests and Related Resources at [email protected] or (202) 401-6852 regarding questions about the topic area or to arrange a telephone consultation.

Background

The Forests and Related Resources topic area aims to address the health, diversity and productivity of the Nation’s forests and grasslands to meet the needs of present and future generations through the development of environmentally sound approaches to increase productivity of forest lands, improve sustainability of forest resources, and develop value-added materials derived from woody resources. New technologies are needed to enhance the protection of the Nation’s forested lands and forest resources and help to ensure the continued existence of healthy and productive forest ecosystems. Proposals focused on sustainable bioenergy and development of value-added biofuels from woody biomass, and on the influence of climate change on forest health and productivity are strongly encouraged. Proposals that utilize nanotechnology in their approach to developing new wood-based products or that utilize wood-based nano-materials are also encouraged.

To meet the identified needs in forestry and wood utilization, the program’s long-term goals (10 years) are to achieve increased utilization of woody resources for value-added products from wood; healthy and sustainable forest ecosystems that are more resilient to wildfires and the impact of pathogens and insects; improved environmental and economic methods of sustainable harvesting; and improved growth and yield of forest species that will lead to more efficient use of forested lands.

FY 2016 Research Priorities:

Examples of appropriate subtopics for research applications from small businesses include, but are not limited to the following:

1. Growth and Yield – Improving growing stock, tissue culture, genetic manipulation or

vegetative reproduction of forest trees, and other means of increasing the regenerative abilities of forests; developing systems to increase the survival of newly planted trees through mechanical, physical or chemical means that are environmentally safe and through improved nutrient/water utilization; reducing the adverse impact of pathogens and insects by developing better methods to monitor infestations and improved control strategies for combating insects and pathogens that attack important woody species.

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NEW! 2016 USDA Topics

2. Increasing the Utility of Forest-Grown Material – Research to improve the yield of lumber,

pulp fiber and specialty chemicals from trees; utilizing a greater percentage of the tree through improved techniques of production, for the creation of new or improved reconstituted products; developing better methods for manufacturing wood-based products and testing products for performance and durability; and developing improved methods for the production of paper.

3. Reducing Ecological Damage by Forest Operations – Research to reduce soil erosion, compaction, water degradation or other alterations caused by harvesting and/or other forest operations, provisions for the economic recovery of resources from forests while raising potential productivity and reducing impacts to the ecological structure of the area of operation.

4. Urban Forestry – Research to promote the growth of forested land in urban areas, such as greenways, parks, and strategically planted urban trees, to address problems of forest fragmentation, the introduction of invasive species, and the impact of urban forested land on air and water quality and quality of life improvements.

5. Climate Change – Research to address the issue of ecosystem adaptation to climate change, ways to enhance carbon sequestration and reduction in greenhouse gas emissions, development of decision support tools for forest managers and markets for forest ecosystem services.

6. Developing Technology that Facilitates the Management of Wildfires on Forest Lands –

Research that provides systems for detecting and managing wildfires; systems for reducing fuel loads in forests; tools and equipment for improving the efficacy and safety of fire fighters on the ground and in the air; and communication and navigation systems for improving the coordination of fire management activities.

7. Sustainable Bioenergy and Development of Value-Added Products From Forest Resources

– Research for development of improved methods for the conversion of forest biomass into cellulosic biofuels (e.g. ethanol, biobutanol, jet aviation) and biobased products, including intermediate chemicals; development of new wood-based composite materials; development of local scale energy conversion projects that generate electricity and/or useful heat; and development of technologies that will mitigate carbon release from combustion.

Other Key Information

• All Phase I applications should give the reviewing community a brief vision of where the PD

expects the project to be at the end of Phase II (entering Phase III commercialization).

• The applicants are strongly encouraged to contact the NPL regarding the suitability of research topics.

• Applications that deal with the development of biofuels derived from non-woody agricultural

crops should be submitted under topic area 8.8 Biofuels and Biobased Products.

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8.2 Plant Production and Protection - Biology

Investigators are encouraged to contact Dr. Robert Nowierski, National Program Leader for Plant Production and Protection - Biology may be contacted at [email protected] or 202-401-4900 regarding questions about the suitability of research topics or to arrange a telephone consultation.

Background

The objective of this topic area is to examine means of enhancing crop production by applying biological approaches to reduce the impact of harmful agents, develop new methods for plant improvement, and apply traditional plant breeding methods and new technologies to develop new food and non-food crop plants, as well as new genotypes of existing crop plants with characteristics that allow their use in new commercial applications. This topic area supports the following National Challenge Areas: Food Security; Climate Variability and Change; Bioenergy; and Food Safety.


Examples of appropriate subtopics for research applications from small businesses include, but are not limited to the following:

1. Plant improvement – Improved crop production using traditional plant breeding and

biotechnology, including but not limited to, molecular biology, and mutagenesis, genomics, tissue culture, and/or embryogenesis to produce crops with new or improved quality, yield, agronomic, horticultural, value- added, and/or economic traits. Topics may include, but not limited to:

a. Improvement of commercial floriculture production - Biological and/or technological

approaches to improve the competitiveness of U.S. production of flowering potted plants, bedding plants, seasonal crops, annuals, perennials, and cut flowers.

b. Development of new crops – Development of new crop plants as sources of food, non-food industrial or ornamental products.

2. Pollinators and crop production - Projects that address the health and success of domesticated

and natural pollinators of economically important crops.

3. Plant protection against abiotic and/or biotic stresses – Reduced the impact of plant pathogens, insect pests, and abiotic stress on crop plants; and increasing plant resistance to plant pathogens, insect pests, and abiotic stress. Topics may include, but not limited to:

a. Improved plant disease diagnostics (accurate, rapid, and cost-effective identification of causal agents in specialty crop plants at the earliest possible time relative to manifestation of disease).

b. Bio-Based approaches to protect organically-grown crops from insect and nematode pests and diseases, including the development of decision aid systems that are information extensive and time sensitive.

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• All Phase I applications should give the reviewing community a brief vision of where the PD expects the project to be at the end of Phase II (entering Phase III commercialization).

• Phase I applications involving the development of transgenic crops would benefit by the inclusion

of a brief description of the proposed path to commercialization, including an understanding of what will be needed to clear regulatory consideration. Phase II applications involving the development of transgenic crops should have an expanded section on how regulatory considerations will be met and market entry attained.

• Applications that deal with non-biological engineering technologies should be sent to topic area

8.13 Plant Production and Protection-Engineering.

• Applications that deal with the genetic improvement and production of woody biomass feedstock crops should be submitted to the 8.1 Forest and Related Resources topic area.

• Applications that deal with the genetic improvement and production of algae should be submitted

to the 8.7 Aquaculture topic area.

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8.3 Animal Production and Protection

Contact Dr. Robert Smith, NPL for SBIR Animal Production and Protection at [email protected] or (202) 401-4892 regarding questions about the topic area or to arrange a telephone consultation.

Background

The Food and Agriculture Organization (FAO) of the United Nations predicts that feeding the world’s growing population will require a doubling of global food production by 2050. Fulfilling this need will require new technologies to improve both productivity and efficiency of food animals. The Animal Production and Protection topic area aims to develop innovative, marketable technologies that will provide significant benefit to the production and protection of agricultural animals. New technologies for rapid detection, treatment and prevention of disease are needed to improve productivity and enhance the biosecurity of our herds and flocks. Better technologies are also needed to trace animals as they move through the food supply chain and to ensure that food products derived from animals do not contribute to food-borne illnesses. To meet increasing consumer demand for value-added animal products, innovative technologies are needed to address the challenges presented by non-conventional management systems and strategies. And there is an urgent need for technologies that decrease the impact of animal agriculture on the environment and optimize use of our natural resources. Technological advances in animal production and protection will not only enhance the safety of the Nation’s food supply and contribute to environmental stewardship, they will also allow American producers to remain competitive in the global marketplace and contribute to global food security.


Development of marketable technologies designed for use in agriculturally important animals that will:

1. Improve production efficiency. Areas of interest include improved fertility; increased

feed efficiency; and translation of genomic information into practical use and benefit.

2. Improve the safety and/or quality of end products derived from animals. These technologies must be applicable in the pre-harvest environment.

3. Improve animal health and well-being. Examples of these technologies include new diagnostics,

therapeutics, vaccines and other immunization methods, biosecurity management tools, traceability methods, and animal handling methods.

4. Improve the productivity of animals in modified conventional or alternative animal production

systems. Examples include non-confinement housing, pasture-based feeding systems, and organic systems.

5. Mitigate the impacts of animal agriculture on the natural environment. Areas of interest

include technologies that decrease greenhouse gas emissions or reduce the excretion of phosphorus and nitrogen.


• Applications that deal with post-harvest technologies for products derived from animals will not be

accepted for review under this program area. Applications that deal with post-harvest technologies

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for foods derived from animals may be submitted under topic area 8.5 Food Science and Nutrition. • Applications should explain how the proposed work will contribute to the National Challenge

Areas (Food Security, Climate Variability and Change, Food Safety). • All Phase I applications should give the reviewers a brief vision of where the PD expects the project

to be at the end of Phase II (entering Phase III commercialization). • Applications dealing with aquacultured species should be submitted under topic area 8.7

Aquaculture.

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8.4 Air, Water and Soils

Contact Dr. Charles Cleland, NPL for SBIR Forests and Related Resources at [email protected] or (202) 401-6852 regarding questions about the topic area or to arrange a telephone consultation.

Background

The Air, Water and Soils topic area aims to develop technologies for conserving and protecting air, water and soil resources while sustaining optimal farm and forest productivity. Climate variability and food security are major focal points of this topic area. Efforts are needed to reduce the production of greenhouse gases that result from agricultural activities and to increase carbon sequestration in soils. Climate change is likely to alter temperature and precipitation patterns and new technologies are needed that will better enable plant and animal production systems to adapt to changing climatic conditions. As population continues to increase food security will be critical as efforts for food production to keep pace will increasingly become a challenge. Soil and water are critical resources that impact food production. New technologies are needed that will improve water quality and conservation and use water more efficiently. We also need new technologies that will improve soil quality and fertility and reduce soil erosion.

To meet these identified needs of agriculture, the program’s long-term goals (10 years) are to achieve improved air quality and improved utilization of water resources that are better able to sustain production agriculture; better use of limited water resources for agriculture through improved irrigation technologies; a more sustained soil resource through reduced soil erosion and thereby lead to more productive agriculture; and improved soil quality that will permit a more sustainable and productive agriculture.


Examples of appropriate subtopics for research applications from small businesses include, but are not limited to, the following:

1. Water Quality and Conservation – Develop new and improved technologies to optimize water

management conservation at both the farm level and at a watershed scale, monitor the quality of surface water and groundwater resources for biotic and abiotic pollutants, including animal manure and pharmaceuticals, develop improved methods for the reuse of waste water, including the remediation and restoration of water resources that impact agriculture and forestry operations, and promote watershed restoration.

2. Irrigation – Develop improved irrigation technologies for both farming and landscaping

applications that will provide more efficient and cost-effective delivery of water and chemicals. Develop new irrigation methods that allow for more efficient use of water including accurate delivery of water to where it is needed.

3. Soil Erosion – Develop better methods for preventing soil erosion by wind and surface water

runoff and for monitoring wind erosion and sediment transport.

4. Soil Quality – Develop new technologies for measuring soil properties, soil nutrient content, and the physical and chemical nature of soil. Research new technologies that enhance soil properties

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while restricting adverse environmental impact and develop improved methods to remediate degraded soils.

5. Air Resources – Develop new and improved technologies to monitor air quality and reduce air

pollution stemming from agricultural enterprises, including manures from livestock and poultry production systems.





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8.5 Food Science and Nutrition

Contact Dr. Jodi Williams, NPL for SBIR Food Science and Nutrition at [email protected] or (202) 720-6145 regarding questions about the topic area or to arrange a telephone consultation.

Background

The Food Science and Nutrition topic area aims to fund projects that support research focusing on developing new and improved processes, technologies, or services that address emerging food safety, food processing and nutrition issues.. The program will fund projects: 1) Increase the understanding of the physical, chemical, and biological characteristics of food; 2) Improve methods for the processing and packaging of food products to improve the quality and nutritional value of foods; and 3) Develop programs or products that increase the consumption of healthy foods and reduce childhood obesity. The outcome of a successful project is a proof of concept for a marketable item or patented process.

The long term goals (10 years) of the program are to commercialize the production of useful new food products, processes, materials, and systems that reduce food-borne illness, obesity and enhance the nutritional quality and value of foods.



1. Food Safety: Developing technologies for the rapid detection of food borne hazards

(microorganisms, chemicals, toxins) during pre- and post-harvest processing and distribution.

2. Food- Quality-Engineering: Developing innovative food processing and packaging technologies and materials that reduce post-harvest losses in produce while maintaining safety and quality.

3. Food Quality- Science: Understanding the physical, biological, and chemical interactions

and functionality of food in order to develop affordable food ingredients and/or food formulations that contribute to the development of high quality foods.

4. Nutrition – Education: Developing and implementing interactive programs for nutrition

educators and teachers to increase nutrition awareness and improve health to address obesity among children.

5. Nutrition- Science: Improve functionality and efficacy of foods, nutrients and/or dietary

bioactive components in promoting health.



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• Improvements of current commercial methods should address high false positive and high false

negative rates associated with PCR based methods for detection of food borne bacteria in produce and high false negative rates associated with immunoassays for detection of Salmonella.

• New rapid detect tests should be designed to detect at least 1 cfu/25g of food using approaches that

reduce or eliminate enrichment and should be designed to allow for sampling of large volumes of food.

• Projects that promote value-added products and processes are encouraged.

• Projects that address functional foods to promote health are encouraged.

• Projects on novel screening methods for threat agents need strong letters of support from the

appropriate Federal agency that will be the end user of the technology.

• Projects that focus on technologies for improving cost benefit and model-based analyses, including distribution, warehousing, and retailing systems as they relate to the economy are acceptable.

• Applicants who have received previous SBIR funding should address outcomes for those projects.

Projects should include appropriate collaborations with experts in the field of investigation i.e. a Food Scientist or Nutritionist as a part of the development team for the project.

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8.6 Rural and Community Development

Mr. Brent Elrod, National Program Leader for SBIR Rural Development may be contacted at [email protected] or (202) 690-3468 6145 regarding questions about the topic area or to arrange a telephone consultation.

Background

During the last 30 years, dramatic social, economic and technological changes have occurred in many rural areas in the United States. Although farming continues to be an important source of income, most of rural America is moving from an agrarian to a post-agrarian economy. The results of this transformation have been uneven across the rural landscape. Some communities are facing economic decline and rural exodus, while in other communities, especially those in areas near large urban centers or rich in natural amenities, economic and population growth have accelerated. Even in rural communities where economic growth and population have grown, some have become more vulnerable to disasters caused by human action and/or climate changes. Many other communities are plagued by limited access to good schools, food, and health services. As a result, despite decades of intervention and billions of dollars in public investment, many rural residents are unable to utilize important government services and new scientific information that can help improve their quality of life; have higher food insecurity and childhood obesity rates; lack the required entrepreneurship and workforce skills to take advantage of emerging economic opportunities (e.g., climate change mitigation, safe food processing and marketing, etc.); and are hampered by insufficient modern infrastructure to rapidly benefit from growing public and private sector investment.

Applications may be submitted for the development of new technology, or for the utilization of existing technology, that address important economic and social development issues or challenges in rural America. The applications need not be centered on agriculture, but may be focused on any area that has the potential to provide significant benefits to rural Americans. All applications should explicitly discuss the specific rural problem or opportunity that will be examined and how this technology will successfully address the problem or opportunity. Applications submitted must include an objective to assess the impacts of the proposed project on the environment or the socio-economic development of rural areas.

To meet these identified problems and opportunities of rural development, the long-term (10 year) goal for this program is to develop and commercialize new technology, products, processes and services that will: (i) enhance the efficiency and equity of public and private investment in rural communities; (ii) build a diversified workforce to meet present and future needs; (iii) enhance resilience to both natural and human disasters; and (iv) enhance economic vitality of rural communities and, in turn, reduce rural poverty.



1. Development of services and information and managerial systems that improve the

efficiency and effectiveness of Local Governments and Public and Private Institutions. Topics may include educational programs, including gaming, which address the specific needs of people in rural areas (e.g., development of entrepreneurship and workforce skills); new housing designs; improved health care delivery; appropriate educational, transportation and communication technologies and services; and marketing of new information and technologies.

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2. Development of technologies and services that protect or enhance the environment while promoting economic development. Topics may include technologies and services that protect the ecosystem, conserve energy, develop alternative energy sources such as wind and solar energy (excluding biofuels), etc.

3. Reducing the vulnerabilities of rural communities from hazards (excluding intentional

acts such as terrorism). Procedures are needed to make rural communities more sustainable to natural or unintentional hazards such as food-borne illnesses, food contamination, droughts, hurricanes, etc., through better preparation, forecast and warning, response and rebuilding phases of hazard mitigation, including communication.

4. Development of technologies and services that specifically address the needs of youth, the

elderly, military veterans, and the low-income sector of the rural population. Efforts are needed that will enhance human capital development, build earnings capacity, promote food security, including issues of access to adequate amounts and quality of foods, increase labor force participation and/or promote job creation to the most vulnerable populations in rural communities.

5. Increasing opportunities for employment and income generation in rural communities.

Topics may include rural tourism, agri-tourism, off-farm value-added agricultural development, etc.





• If funded, projects are expected to enhance the environmental and economic vitality of

rural communities. Therefore, applications must contain an objective to assess the impacts of the proposed project on the environment or the socio-economic development of rural areas.

• Applications dealing with on-farm production agriculture research should be submitted to topic

area 8.12 Small and Medium Sized Farms.

• Applications dealing with the development of biofuels and biobased products should be submitted to topic area 8.8 Biofuels and Biobased Products.

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8.7 Aquaculture

Investigators with questions regarding questions about the topic area may contact Dr. Gene Kim, NPL for SBIR Aquaculture at [email protected], (202) 401-1108.

Background

The Aquaculture topic area aims to develop new technologies that will enhance the knowledge and technology base necessary for the expansion of the domestic aquaculture industry as a form of production agriculture. Seafood production from the wild is under increased pressure due to overfishing and pollution and therefore aquaculture is increasingly an important source of farmed seafood and an important contributor to improve food security. In this context new technologies are needed to protect aquaculture species against disease and to improve production efficiency. Emphasis is placed on research leading to improved production efficiency and increased competitiveness of private sector aquaculture in the United States. Studies on commercially important, or potentially important, species of fish, shellfish and plants from both freshwater and marine environments are included. Food Safety is another important priority in Aquaculture. Technologies are needed to ensure the safety of aquaculture species from heavy metals and other hazardous materials and from human pathogens.

To meet these identified needs in aquaculture, the program’s long-term goals (10 years) are to achieve improved aquaculture production resulting from improved reproductive efficiency in fish and shellfish; improved aquaculture production resulting from genetic improvement in fish and shellfish; improved aquaculture production resulting from improved animal health; improved aquaculture production with reduced water usage and improved production efficiencies; and cost-effective production of microalgae for use as aquaculture feed and as a source of valuable human food supplements.



1. Reproductive Efficiency – Novel or innovative approaches to improve reproductive efficiency

in aquaculture species including: greater control of maturation, ovulation and fertilization; improved gamete and embryo storage; improved larval rearing techniques; enhanced reproductive performance of broodstock; improved methods for cryopreservation of sperm and embryos; and methods to control sex determination.

2. Genetic Improvement – Novel or innovative approaches to improve production efficiency

through genetic improvement of aquacultural stocks including: genetic mechanisms of sex determination; genetic basis for inheritance of commercially important traits, such as growth, cold tolerance, and pathogen susceptibility; identification of major genes affecting performance; application of molecular biology and genomics and the integration of this technology into breeding programs; and performance evaluation of aquacultural stocks and utilization of crossbreeding and hybridization.

3. Integrated Aquatic Animal Health Management – Novel or innovative approaches to reducing

acute and chronic losses related to aquatic animal health in aquaculture production systems through an integrated holistic approach including: physiological stress related to the quality of the

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aquatic production system; genetic, environmental, and nutritional components of aquatic health management; control of predation in aquaculture production systems; development of new vaccines or immunization procedures to enhance resistance to infectious diseases and parasites; development of diagnostic tests for specific diseases that pose a health hazard; and development of improved treatment methods for acute or chronic health problems caused by specific infectious or non- infectious agents, parasites, injuries and chemical and toxic agents.

4. Improved Production Systems and Management Strategies – Novel or innovative approaches

to improve existing or alternative production system design and management strategies including: development of biological, engineering and economic design criteria and models; enhancement of water quality in existing production systems through aeration, flow patterns, etc.; characterization, handling and treatment of effluent from aquacultural production systems; improved harvesting methods and strategies; and improved operating efficiencies for recirculation systems.

5. Plant Production Systems – Novel or innovative approaches to improve the efficiency of algal

production systems including: identification of new species with improved nutritional profile for use in feeding to other aquacultural species or as a source of valuable human food supplements; development of improved bioreactor technology; and development of better methods for harvesting algal biomass.




• The applicants are strongly encouraged to contact either NPL regarding the suitability of research topics.

• Applications that deal with the development of new food products derived from aquaculture

species should be submitted under topic area 8.5 Food Science and Nutrition.

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8.8 Biofuels and Biobased Products

Investigators are encouraged to contact Dr. William Goldner, National Program Leader for SBIR Biofuels and Biobased Products at [email protected] regarding questions about the suitability of research topics or to arrange a telephone consultation.

Background

The objective of this topic area is to promote the use of biofuels and non-food biobased products by developing new or improved technologies that will lead to increased production of biofuels, industrial chemicals, and other value-added products from agricultural materials. This research will lead to new opportunities to diversify agriculture and enhance agriculture’s role as a reliable supplier of raw materials to industry. This topic area supports the Bioenergy National Challenge Area and the Climate Variability and Change National Challenge Area. Historically, appropriate research areas have included: development of procedures for enhanced recovery of critical raw materials from agricultural commodities; development of improved technology for converting agriculturally derived raw materials into useful industrial products; development of new products from new industrial crops; and development of industrial products derived from agricultural materials to make them more effective and/or more cost competitive with non-agriculturally derived industrial products. In order to enhance the impact of the program, acceptance of applications will be limited to selected Research Priority Areas. FY2016 Priority Research Areas Acceptance of applications for the FY2016 solicitation will be strictly limited to:

1. Advanced “Drop-in” Biofuels – New and improved technology for the economical and environmentally sustainable production and conversion of agricultural biomass material energy crops and residues into non-ethanol biofuels (e. g. biobutanol, green gasoline, green diesel, aviation fuel), fuel additives, and other products to be used as fuel; development of improved biocatalysts and thermochemical processes for advanced biofuel production, and byproducts from the advanced biofuel production stream that will optimize the economic feasibility of the production of biofuels. This solicitation seeks to support innovative technologies that will minimize adverse environmental impacts during conversion (for example: reduction of energy use and water use during conversion; reduction of harmful byproducts from conversion) and have carbon reduction benefits. Applications developing technology for ethanol production (grain or cellulosic) or co-products from ethanol production will not be accepted in this topic area, but may be submitted to other topic areas if appropriate (see Other Key Information below). Applications not addressing economic and environmental sustainability may be returned to the applicant without review.

2. Advanced biofuels and biobased products from animal manure or carcass waste.

3. New Non-food Biobased Products from New Industrial Crops – Identification of markets and

development of new biobased products and processes for making products from new industrial crops (including algae). These products should be economically competitive and have carbon reduction benefits.

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4. New processes for the manufacture of biobased plastics, lubricants, coatings, paints, and packaging. New processes that develop biobased industrial chemicals that will be competitive with equivalent petroleum-based products as to cost and performance. Other Key Information ALL ATTACHMENTS MUST BE SUBMITTED IN THE PORTABLE DOCUMENT FORMAT (PDF). All Phase I applications should give the reviewing community a brief vision of where the PD expects the project to be at the end of Phase II (entering Phase III commercialization). Applications that deal with developing value-added biofuels (including ethanol) and biobased products from forest biomass should be sent to the 8.1 Forest and Related Resources topic area. Applications that deal with developing biofuels (including ethanol) and bioenergy that will improve the sustainability of small and mid-size farms should be sent to the 8.12 Small and Mid-Size Farms topic area. Applications that deal with the genetic improvement or production of biomass feedstock crops except for woody biomass and algae should be submitted to the 8.2 Plant Production and Protection – Biology topic area. Applications that deal with the genetic improvement, production, or feedstock logistics of woody biomass feedstock crops should be submitted to the 8.1 Forest and Related Resources topic area. Applications that deal with the genetic improvement, production, or feedstock logistics of algae for biofuel production should be submitted to the 8.7 Aquaculture topic area. Applications that deal with the engineering aspects of the planting, production or post-harvest handling of biomass feedstock crops should be submitted to the 8.13 Plant Production and Protection – Engineering topic area. Applications submitted to this topic area that do not specifically address the FY2016 Priority Research Areas will not be reviewed. Applications exceeding the budget limitation or exceeding the page limit or not meeting the formatting requirements will be excluded from NIFA review.

8.9 through 8.11 Reserved.

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8.12 Small and Mid-Size Farms

Dr. Denis Ebodaghe, National Program Leader for SBIR Small and Mid-Size Farms may be contacted at [email protected] or (202) 401-4385 regarding questions about the topic area or to arrange a telephone consultation.

Background

The Small and Mid-Size Farms topic area aims to promote and improve the sustainability and profitability of small and mid-size farms and ranches (where annual sales of agricultural products are less than $250,000 for small farms and $500,000 for mid-size farms - hereafter referred to as small farms). The vast majority of farms in this country are small and they play an important role in the agricultural sector. The viability and sustainability of small farms is important to the Nation’s economy and to the stewardship of our biological and natural resources. While some small farms are located in urban areas, most small farms are located in rural areas, and these farms are critical to sustaining and strengthening the leadership and social fabric of rural communities. Applicants are strongly encouraged to emphasize how their project would contribute to the well-being of rural communities and institutions. In particular, applicants should emphasize how the results of their project would be disseminated to other small farmers and provide benefit to the small farm community.

Food safety, climate change, food security and sustainable bioenergy diversification of agricultural production systems and increased efficiency of farm operations and economies of scale are all important program priorities in this topic area. Proposals are encouraged that focus on one or more of these priorities and are appropriately scaled so as to apply to the needs and capabilities of small farmers.

To meet these identified needs in the small and mid-size farm sector, the program’s long-term goals (10 years) are to achieve improvements in sustainability and profitability of small farms with increased production of specialty crops and specialty animals; improved farm management skills in small farmers that leads to more sustainable and profitable small farms; better stewardship of natural resources through adoption of more sustainable farming practices; enhanced utilization of renewable energy sources and more focus on energy efficiency and energy conservation; and better educated small farmers who are better able to operate their farms on a sustainable and profitable basis.



1. New Agricultural Enterprises – Efforts are needed to develop new agricultural enterprises that

are small scale and focused on specialty farm products, both plant and animal, and on innovative ways to market these farm products through direct marketing, such as farmer’s markets or cooperatives where the financial return to the farmer is optimized or through specialty market outlets that offer a higher financial return. Emphasis is encouraged for organic and natural foods, specialty animal products, such as free-range poultry or natural beef, non-food specialty crops, such as medicinal herbs and value-added food, and non-food products.

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2. Development of New Marketing Strategies – Efforts are needed to develop appropriate new strategies for marketing agricultural, forestry and aquacultural commodities and value-added products produced by small farms in local, regional, national and international markets, including the assessment of consumer demand; identification of desired product characteristics, including packaging and processing methods; development of new and innovative utilization of existing production and processing technologies; and the promotion of efficient assembling, packing, processing, advertising and shipping methods.

3. Farm Management – Efforts are needed to develop tools and skills that are appropriate for small

farms that will enhance the efficiency and profitability of small farms. New tools are also needed that will enhance farm safety. Development of new risk management tools to facilitate better planning is needed. Development of improved farm level life-cycle assessment tools that help small to mid-sized farms 1) improve operations through resource efficiency and 2) quantify ecosystem services provided is needed. Innovative ways to promote agro-tourism as a way to enhance farm profitability is encouraged.

4. Natural Resources and Renewable Energy – Efforts are needed to develop farming methods

scaled appropriately for small farms that are directed at more efficient use of natural resources. Particular emphasis is needed to develop better ways to utilize renewable energy sources, such as wind, solar, and geothermal energy, and to promote improved energy efficiency and conservation in farming operations.

5. Educational Outreach – Efforts are needed to develop new tools to ensure that the next

generation of small farmers has access to the information and resources they need to operate their small farms on a sustainable and profitable basis.

6. Urban Farming – In recent years there has been increasing interest in the establishment of

small farms in urban areas on roof tops, in abandoned building and in vacant lots. Efforts are needed to explore ways to make urban farming more energy efficient, environmentally sustainable and profitable. The most appropriate crops for urban farms needs to be determined. Procedures that would increase the establishment of new urban farms need to be developed.




• The applicants are strongly encouraged to contact the NPL regarding the suitability of research topic.

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8.13 Plant Production and Protection - Engineering

Investigators are encouraged to contact Dr. Kitty Cardwell, National Program Leader for SBIR Plant Production and Protection Engineering may be contacted at [email protected] or 202-401-1790 regarding questions about the suitability of research topics or to arrange a telephone consultation.

Background

The objective of this topic area is to enhance crop production by creating and commercializing engineering technologies that enhance system efficiency and profitability and that protect crops from pests and pathogens in economically and environmentally sound ways. Projects that promote energy conservation or efficiency are strongly encouraged. Engineering projects will describe the system need; design specifications, functionality and reliability; and cost of change analysis. Where feasible, describe the testing metrics, experimental design, materials and methods to collect and analyze data on the metrics. Examples of appropriate subtopics for research applications from small businesses include, but are not limited to, the following:

1. Improved crop production methods or strategies – Enhance the efficiency of crop production

by utilizing innovative methods and equipment for planting, growing and harvesting crop plants, including optimization of inputs and reduction of operation costs by implementing the use of precision farming technology, robotics, sensors, information technology, and remote sensing, etc.

2. Plant protection – Reduce the impact of plant pathogens, insect pests and competing

vegetation on crop plants by developing efficient and environmentally safe pesticide and herbicide application equipment, and by developing needed technologies to monitor and manage plant disease, insect pests, or abiotic stress at the earliest stages of their manifestations.

3. Energy conservation – Develop crop management systems, farm and greenhouse structures,

and waste utilization strategies that promote energy conservation and efficiency, including the development of technology for the economic use of alternative/renewable energy resources.

Special Priority Research Areas for FY 2016: SBIR is strongly encouraging the submission of applications focusing on the following problem areas. Additional consideration will be given to applications addressing the development of products, processes, and services for US production of specialty crops (fruits, nuts, vegetables, nursery, and greenhouse crops):

1. Improved chemical application technology that increases product efficacy, worker safety,

and reduces off-target drift of applied chemicals. Pollinator Health is a Presidential priority area, so systems and technologies to avoid risk of pesticide exposure to bees are sought.

2. High resolution spatial and temporal monitoring of specialty crops using sensors and

sensor networks (for example, temperature, humidity, drought stress, pest damage, and disease). Description of the sensor and the anticipated data interrogator system will be elaborated.

3. Post-harvest handling (including transportation and storage ) of specialty crops,

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including handling to maintain quality and reduce food safety issues, reducing waste streams from post- harvest handling, selection for quality and consumer preference.

4. Reduction of manual labor in specialty crop production, harvesting, and post-harvest

handling through technology to improve the competitiveness of US specialty crop production.

5. Technologies that enhance commercial horticulture production to improve the

competitiveness of U.S. flowering potted plant, bedding plant, and cut flower production, seasonal crops, annuals, and perennials.

6. Planting, production, harvesting, and post-harvest handling technology targeting the

sustainable production of the following biomass feedstock crop groups: perennial grasses, energycane, sorghum, and oil seed crops (not including algae, see Other Key Information below).

7. Engineering technology to enhance the competitiveness of U.S. organic agriculture and

horticulture.



• Applications that deal with irrigation and related technology should be sent to the 8.4 Soil and

Water Resources topic area.

• Applications that deal with the feedstock logistics of woody biomass (including short rotation crops like willow and poplar) should be submitted to the 8.1 Forest and Related Resources topic area.

• Applications that deal with the production of algae for biofuel production should be submitted to

the 8.7 Aquaculture topic area.

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•

Aeronautics Research PDF

• + Expand Air Vehicle Technology Topic

Topic A1 Air Vehicle Technology PDF

The Air Vehicle Technology topic solicits cutting-edge research in aeronautics to overcome technology barriers and challenges in developing safe, new vehicles that will fly faster, cleaner, and quieter, and use fuel far more efficiently. The primary objective is the development of knowledge, technologies, tools, innovative concepts and capabilities needed as the Nation continues to experience growth in both domestic and international air transportation while needing to protect and preserve the environment.

This topic solicits tools, technologies and capabilities to facilitate assessment of new vehicle designs and their potential performance characteristics. These tools, technologies and capabilities will enable:

o The best design solutions to meet performance and environmental requirements and challenges.

o Technology innovations of future air vehicles.

It also solicits research in revolutionary aircraft concepts; lightweight high strength structures and materials; more efficient propulsion systems; low emissions propulsion concepts; measurement techniques, and advanced concepts for high lift and low drag aircraft that meet the performance, efficiency and environmental requirements of future aircraft, and the goals of the NextGen.

This topic covers aircraft technologies covered by the former Fundamental Aeronautics Program as well as ground test technologies formerly covered by the Ground and Flight Test Techniques and Measurement topic under the Aeronautics Test Program, which are now under the Advanced Air Vehicles Program (AAVP). The re-structuring will emphasize development of tools, technologies, test techniques, and knowledge to meet metrics derived from a definitive set of Technical Challenges responsive to the goals of the National Aeronautics Research and Development (R&D) Policy and Plan, the National Aeronautics R&D Test and Evaluation (T&E) Infrastructure Plan (2011), and the NASA Aeronautics Strategic Implementation Plan (2013). AAVP consists of five projects, three that target a specific vehicle class/type, and two crosscutting projects

http://sbir.gsfc.nasa.gov/solicit/54564/detail?data=ch9&s=54494

http://sbir.gsfc.nasa.gov/printpdf/solicit/54564/detail?data=ch9&s=54494&txnmy=829


http://sbir.gsfc.nasa.gov/printpdf/54806

Karen

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NASA

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focused on commonly encountered challenges associated with composite materials and capabilities necessary to enable advanced technology development:

o Advanced Air Transport Technologies (AATT) Project explores and develops technologies and concepts for improved energy efficiency and environmental compatibility of fixed wing, subsonic transports.

o Revolutionary Vertical Lift Technologies (RVLT) Project develops and validates tools, technologies, and concepts to overcome key barriers for rotary wing vehicles.

o Commercial Supersonics Technology (CST) Project enables tools and technologies and validation capabilities necessary to overcome environmental and performance barriers to practical civil supersonic airliners and sustains NASA competence in hypersonic air-breathing propulsion necessary to support the nearer-term Department of Defense (DoD) hypersonic mission.

o Advanced Composites (AC) Project focuses on reducing the timeline for development and certification of innovative composite materials and structures.

o Aeronautics Evaluation & Test Capabilities (AETC) Project sustains and enhances those specific research and test capabilities necessary to address and achieve the future air vehicles and operations as described above.

o A1.01Structural Efficiency-Hybrid Nanocomposites PDF

Lead Center: LaRC

Two of the primary goals of the Advanced Air Vehicles program are safety and efficiency, which can be achieved simultaneously through designer materials tailored for future aircraft structures. The SOA for lightweight structures are carbon fiber reinforced polymeric composites which make up… Read more>>

o A1.02Aerodynamic Efficiency Drag Reduction Technology PDF

Lead Center: LaRC

The challenge of energy-efficient flight has at its foundation aerodynamic efficiency, and at the foundation of aerodynamic efficiency is low drag. Drag can be broadly decomposed into four components: viscous or skin friction drag, lift-induced drag, wave or compressibility drag, and excrescence… Read more>>

o A1.03Low Emissions Propulsion and Power PDF

Lead Center: GRC






Participating Center(s): AFRC, ARC, LaRC

Proposals are sought which support electric propulsion of transport aircraft, including turboelectric propulsion (turbine prime mover with electric distribution of power to propulsors) and various hybrid electric concepts, such as gas turbine engine and battery combinations. Turboelectric propulsion… Read more>>

o A1.04Quiet Performance PDF

Lead Center: LaRC

Participating Center(s): GRC

Innovative technologies and methods are necessary for the design and development of efficient, environmentally acceptable aircraft. In support of the Advanced Air Vehicles, Integrated Aviation Systems and Transformative Aero Concepts Programs, improvements in noise prediction, acoustic and relevant… Read more>>

o A1.05Physics-Based Conceptual Aeronautics Design Tools PDF

Lead Center: GRC

Participating Center(s): LaRC

NASA continues to investigate the potential of advanced, innovative propulsion and aircraft concepts to improve fuel efficiency and reduce the environmental footprint of future generations of commercial transports across the breadth of the flight speed regimes. Propulsion systems, such as open… Read more>>

o A1.06Vertical Lift PDF

Lead Center: ARC

Participating Center(s): GRC, LaRC

The Vertical Lift subtopic is primarily interested in the following two areas: The use of small vertical lift UAVs has increased in recent times with many civilian missions being proposed, including autonomous surveillance, mapping, etc. Much of the current research associated with these vehicles… Read more>>

o A1.07Efficient Propulsion and Power PDF









Lead Center: GRC

For 2014, this sub-topic will focus on propulsion controls and dynamics. Propulsion controls and dynamics research is being done under various projects in the Fundamental Aeronautics Program (FAP) and Aviation Safety Program (ASP). For turbine engines, work on Distributed Engine Control (DEC) and… Read more>>

o A1.08Ground Testing and Measurement Technologies PDF

Lead Center: LaRC


This subtopic supports the experimental modeling and simulation requirements of NASA's Aeronautics Research Mission Directorate, as well as the testing requirements of other government and commercial entities. The subject facilities are managed by the Aeronautics Evaluation and Test Capability… Read more>>

• + Expand Integrated Flight Systems Topic

Topic A2 Integrated Flight Systems PDF

One of the greatest issues that NASA faces in transitioning advanced technologies into future aeronautics systems is the gap caused by the difference between the maturity level of technologies developed through fundamental research and the maturity required for technologies to be infused into future air vehicles and operational systems. Integrated Aviation Systems Program’s (IASP) goal is to demonstrate integrated concepts and technologies to a maturity level sufficient to reduce risk of implementation for stakeholders in the aviation community. IASP conducts integrated system-level research on those promising concepts and technologies to explore, assess, and demonstrate the benefits in an operationally relevant environment. IASP matures and integrates technologies for accelerated transition to practical application, and supports the flight research needs across the ARMD strategic thrusts, the Programs, and all research phases of technology development. IASP consists of three projects, the Environmentally Responsible Aviation (ERA) Project, the UAS Integration in the National Airspace System (NAS) Project and the Flight Demonstrations and Capabilities Project (FDC).

The FDC Project consists of an integrated set of flight test capabilities and demonstrations. The flight test capabilities include the Dryden Aeronautical Test Range, and the aircraft required to support research flight tests and mission demands. The project capabilities also include the Armstrong Flight Research Center (AFRC) Simulation and Flight Loads Laboratories, which include a suite of ground-based laboratories that






support flight research and mission operations. These facilities and assets are able to perform tests covering the flight envelope from subsonic through hypersonic speeds and include unique capabilities ranging from simulating icing environments to modeling extreme dynamic situations

NASA will demonstrate the feasibility and maturity of new technologies through flight tests, utilizing collaborative partnerships from across the aeronautical industry, and including international partners as appropriate. These activities support research within all six aeronautics strategic thrust areas.

o A2.01Flight Test and Measurements Technologies PDF

Lead Center: AFRC


NASA continues to see flight research as a critical element in the maturation of technology. This includes developing test techniques that improve the control of in-flight test conditions, expanding measurement and analysis methodologies, and improving test data acquisition and management with… Read more>>

o A2.02Unmanned Aircraft Systems Technology PDF

Lead Center: AFRC


Unmanned Aircraft Systems (UAS) offer advantages over manned aircraft for applications which are dangerous to humans, long in duration, require great precision, and require quick reaction. Examples of such applications include remote sensing, disaster response, delivery of goods, agricultural… Read more>>

• + Expand Airspace Operations and Safety Topic

Topic A3 Airspace Operations and Safety PDF

The Airspace Operations and Safety Program (AOSP) seeks innovative and feasible concepts and technologies to enable significant increases in the capacity and efficiency of the Next Generation Air Transportation System (NextGen) while maintaining or improving safety and environmental acceptability. AOSP activities and projects will target system-wide operational benefits of high impact for NextGen both in the arenas of airspace operations and safety management. Projects will be formulated with near-term







end dates or deliberative evaluation points consistent with the accomplishment of program-defined Technical Challenges. AOSP aligns with the ARMD Strategic Thrusts of Safe and Efficient Growth in Global Aviation, Enable Real-Time System-Wide Safety Assurance, and Enable Assured Machine Autonomy for Aviation. Distribution of work area across the AOSP project structure is described below.

AOSP is comprised of three projects: Airspace Technology Demonstrations (ATD), Shadow Mode Assessment Using Realistic Technologies for the National Airspace System (SMART-NAS) Test-Bed for Safe Trajectory-Based Operations, and Safe Autonomous Systems Operations (SASO). The three projects are formulated to make major contributions to operational needs of the future through the development and research of foundational concepts and technologies and their analysis, integration, and maturation in relevant, system-level environments. Each of the projects are, much like the airspace system itself, highly integrated and require attention to critical system integration and transition interfaces with the NAS. The Airspace Technology Demonstrations (ATD) Project will accelerate the maturation of concepts and technologies to higher levels of maturity for transition to stakeholders, including research supporting the existing ATD-1:

o Interval Management - Terminal Area Precision Scheduling and Spacing effort. o Integrated Arrivals/Departures/ Surface Operations. o Applied Traffic Flow Management. o Technologies for Assuring Safe Aircraft Energy and Attitude State (TASEAS).

The SMART-NAS Testbed for Safe Trajectory Based Operations Project will deliver an evaluation capability, critical to the ATM community, allowing full NextGen and beyond-NextGen concepts to be assessed and developed. This simulation and modeling capability will include the ability to assess multiple parallel universes, accepts data feeds, allows for live/virtual/constructive- distributed environment, and enable integrated examinations of concepts, algorithms, technologies, and NAS architectures. The Safe Autonomous System Operations (SASO) Project will develop autonomous system concepts and technologies; conduct demonstrations, and transfer application specific matured technologies to increase affordability, efficiency, mobility of goods and passengers, safety, and scalability and mix of airspace operations.

Proposals for this topic will develop innovative feasible concepts and technologies to enable significant increases in the capacity, efficiency, scalability and cost effectiveness of the Next Generation Air Transportation System (NextGen) while maintaining or improving safety and environmental acceptability.

o A3.01Advanced Air Traffic Management Systems Concepts PDF

Lead Center: ARC


This subtopic addresses user needs and performance capabilities, trajectory-based operations, and the optimal assignment of humans and automation to air transportation system functions, gate-to-gate concepts and technologies to increase capacity and throughput of the National Airspace System (NAS),… Read more>>

o A3.02Autonomy of the National Airspace System (NAS) PDF

Lead Center: ARC


Develop concepts or technologies focused on increasing the efficiency of the air transportation system within the mid-term operational paradigm (2025-2035 time frame), in areas that would culminate in autonomy products to improve mobility, scalability, efficiency, safety, and cost-competitiveness.… Read more>>

o A3.03Future Aviation Systems Safety PDF

Lead Center: ARC


The Aeronautics Research Mission Directorate (ARMD) will be concluding the successful Aviation Safety Program (AvSP). The newly expanded Airspace Operations and Safety Program (AOSP) will be succeeding AvSP’s significant achievements and stepping up to lead the ARMD research in the area of… Read more>>

• + Expand Human Exploration and Operations Mission Directorate

Human Exploration and Operations PDF












• + Expand In-Situ Resource Utilization Topic

Topic H1 In-Situ Resource Utilization PDF

The purpose of In-Situ Resource Utilization (ISRU) is to harness and utilize resources (both natural and discarded material) at the site of exploration to create products and services which can enable new approaches for exploration and significantly reduce the mass, cost, and risk of near-term and long-term space exploration. The ability to make propellants, life support consumables, fuel cell reagents, and radiation shielding can provide significant benefits for sustained human activities beyond Earth very early in exploration architectures. Since ISRU can be performed wherever resources may exist, ISRU systems will need to operate in a variety of environments and gravities and need to consider a wide variety of potential resource physical and mineral characteristics. Also, because ISRU systems and operations have never been demonstrated before in missions, it is important that ISRU concepts and technologies be evaluated under relevant conditions (gravity, environment, and vacuum) as well as anchored through modeling to regolith/soil, atmosphere, and environmental conditions. While the discipline of ISRU can encompass a large variety of different concept areas, resources, and products, the ISRU Topic will focus on technologies and capabilities associated with acquiring and processing regolith/soil resources for mission consumable production and construction.

o H1.01Regolith ISRU for Mission Consumable Production PDF

Lead Center: JSC

Participating Center(s): GRC, JPL, KSC, MSFC

In-Situ Resource Utilization (ISRU) involves collecting and converting local resources into products that can reduce mission mass, cost, and/or risk of human exploration. The primary destinations of interest for human exploration, the Moon, Mars and it’s moons, and Near Earth Asteroids, all… Read more>>

• + Expand Space Transportation Topic

Topic H2 Space Transportation PDF

Achieving space flight remains a challenging enterprise. It is an undertaking of great complexity, requiring numerous technological and engineering disciplines and a high level of organizational skill. Human Exploration requires advances in operations, testing, and propulsion for transport to the earth orbit, the moon, Mars, and beyond. NASA is interested in making space transportation systems more capable and less expensive. NASA is interested in technologies for advanced in-space propulsion systems to support exploration, reduce travel time, reduce acquisition costs, and reduce operational costs. The goal is a breakthrough in cost and reliability for a wide range of payload sizes and types (including passenger transportation) supporting future orbital flight vehicles. Lower







cost and reliable space access will provide significant benefits to civil space (human and robotic exploration beyond Earth as well as Earth science), to commercial industry, to educational institutions, for support to the International Space Station National Laboratory, and to national security. While other strategies can support frequent, low-cost and reliable space access, this topic focuses on the technologies that dramatically alter acquisition, reusability, reliability, and operability of space transportation systems.

o H2.01In-Space Chemical Propulsion PDF

Lead Center: GRC

Participating Center(s): JSC, MSFC

The goal of this subtopic is to examine a range of key technology options associated with space engines that use methane as the propellant. Successful proposals are sought for focused investments on key technologies and design concepts that may transform the path for future exploration of Mars.… Read more>>

o H2.02Nuclear Thermal Propulsion (NTP) PDF

Lead Center: MSFC

Participating Center(s): GRC, SSC

Solid core NTP has been identified as an advanced propulsion concept which could provide the fastest trip times with fewer SLS launches than other propulsion concepts for human missions to Mars over a variety of mission years. The current NASA Strategic Space Technology Investment Plan states NTP is… Read more>>

o H2.03High Power Electric Propulsion PDF

Lead Center: GRC

Participating Center(s): JPL, MSFC

The goal of this subtopic is to develop innovative technologies that can lead to high-power (100-kW to MW-class) electric propulsion systems. High-power solar or nuclear electric propulsion may enable dramatic mass and cost savings for lunar and Mars cargo missions, including Earth escape and… Read more>>









o H2.04Cryogenic Fluid Management for In-Space Transportation PDF

Lead Center: GRC

Participating Center(s): JSC, MSFC

This subtopic solicits technologies related to cryogenic propellant (such as hydrogen, oxygen, and methane) storage, transfer, and instrumentation to support NASA's exploration goals. This includes a wide range of applications, scales, and environments consistent with future NASA missions.… Read more>>

• + Expand Life Support and Habitation Systems Topic

Topic H3 Life Support and Habitation Systems PDF

Life support and habitation encompasses the process technologies and equipment necessary to provide and maintain a livable environment within the pressurized cabin of crewed spacecraft. Functional areas of interest to this solicitation include atmosphere revitalization, environmental monitoring and fire protection systems, crew accommodations, water recovery systems and thermal control. Technologies must be directed at long duration missions in microgravity, including Earth orbit and planetary transit. Requirements include operation in microgravity and compatibility with cabin atmospheres of up to 34% oxygen by volume and pressures ranging from 1 atmosphere to as low as 7.6 psi (52.4 kPa). Special emphasis is placed on developing technologies that will fill existing gaps, reduce requirements for consumables and other resources including mass, power, volume and crew time, and which will increase safety and reliability with respect to the state-of-the-art. Non-venting processes may be of interest for technologies that have future applicability to planetary protection. Results of a Phase I contract should demonstrate proof of concept and feasibility of the technical approach. A resulting Phase II contract should lead to development, evaluation and delivery of prototype hardware. Specific technologies of interest to this solicitation are addressed in each subtopic.

o H3.01Environmental Monitoring for Spacecraft Cabins PDF

Lead Center: JPL

Participating Center(s): GRC, JSC, KSC

Measurement of Inorganic Species in Water There is limited capability for water quality analysis onboard current spacecraft. Several hardware failures have occurred onboard ISS which demonstrate the need for measurement of inorganic contaminants. Monitoring capability is of interest for… Read more>>

o H3.02Bioregenerative Technologies for Life Support







PDF

Lead Center: KSC

Participating Center(s): ARC, JSC

Food Production Technologies for Space Exploration NASA is interested in food production and related food safety technologies for ISS, transit missions, and eventual surface missions (fractional gravity). Of special interest is the use of photosynthetic organisms such as plants to produce food, and… Read more>>

o H3.03Spacecraft Cabin Atmosphere Quality and Thermal Management PDF

Lead Center: MSFC

Participating Center(s): ARC, GRC, GSFC, JPL, JSC, KSC, LaRC

Advances in spacecraft atmospheric quality management are sought to address cabin ventilation and flow delivery to air scrubbing equipment, suspended particulate matter removal and disposal, and volatile trace chemical contaminant removal. Methods to separate particulate matter from both the cabin… Read more>>

• + Expand Extra-Vehicular Activity and Crew Survival Systems Technology Topic

Topic H4 Extra-Vehicular Activity and Crew Survival Systems Technology PDF

Extra-Vehicular Activity (EVA) and crew survival systems technology advancements are required to enable forecasted microgravity and planetary human exploration mission scenarios and to support potential extension of the International Space Station (ISS) mission beyond 2020. Advanced EVA systems include the space suit pressure garment systems (PGS); the portable life support system (PLSS); the power, avionics and software (PAS) systems including communications, controls, and informative displays; and the common suit system interfaces. More durable, longer-life, higher-reliability technologies for Lunar and Martian environment service are needed. Technologies suitable for working on and around near earth asteroids (NEAs) are needed. Technologies are needed that enable the range and difficulty of tasks beyond state-of-the-art to encompass those anticipated for exploration, with improved comfort, productivity, less fatigue, and lower injury risks. Reductions in commodity and life-limited part consumption rates and the size/weight/power of worn systems are needed. Primary goals for crew survival systems include development of technologies enhancing crew survival in the post-landing environment, significant mass reduction of hardware, and development of space-qualified survival hardware technologies designed to operate after exposure to space vacuum and thermal effects. Launch, Entry, and Abort (LEA) crew survival equipment development is a critical need tied to any future manned Design Reference Mission (DRM), as well as








providing benefit to both Orion/MPCV and Commercial Crew Program engineering efforts. All proposed Phase I research must lead to specific Phase II experimental development that could be integrated into a functional EVA system.

o H4.01Crew Survival Systems for Launch, Entry, Abort PDF

Lead Center: JSC

This subtopic seeks technology innovation supporting the launch, entry, and abort (LEA) crew survival equipment needs for future human exploration beyond low-earth orbit. Primary goals include development of technologies enhancing crew survival in the launch, entry, and abort phases of flight as… Read more>>

o H4.02EVA Space Suit Pressure Garment Systems PDF

Lead Center: JSC

Space suit pressure garments technology developments are focused on providing enabling technologies for long-duration missions inclusive of extensive extra-vehicular activity (EVA). To that end, priority technologies address mass reductions, durability and reliability. Mass reduction for… Read more>>

o H4.03EVA Space Suit Power, Avionics, and Software Systems PDF

Lead Center: JSC


Space suit power, avionics and software (PAS) advancements are needed to extend EVA capability on ISS beyond 2020, as well as future human space exploration missions. NASA is presently developing a space suit system called the Advanced Extravehicular Mobility Unit (AEMU). The AEMU PAS system is… Read more>>

• + Expand Lightweight Spacecraft Materials and Structures Topic

Topic H5 Lightweight Spacecraft Materials and Structures PDF

The SBIR topic area of Lightweight Spacecraft Materials and Structures centers on developing lightweight structures and advanced materials technologies for space exploration vehicles including launch vehicles, crewed vehicles and habitat systems, and in-space transfer vehicles. Lightweight structures and advance materials have been identified as a critical need since the reduction of structural mass translates directly to









additional up and down mass capability that would facilitate additional logistics capacity and increased science return for all missions. The technology drivers for exploration missions are:

o Lower mass. o Improve efficient packaging of launch volume. o Improve performance to reduce risk and extend life. o Improve manufacturing and processing to reduce costs.

Because this topic covers a broad area of interests, subtopics are chosen to enhance and or fill gaps in the exploration technology development programs. These subtopics can include but are not limited to:

o Manufacturing processes for materials. o Material improvements for metals, composites, ceramics, and fabrics. o Innovative lightweight structures. o Deployable structures. o Extreme environment materials and structures. o Multifunctional/multipurpose materials and structures.

This year the lightweight spacecraft materials and structures topic is seeking innovative technology for multifunctional materials and structures, deployable structures, and extreme environment structures. The specific needs and metrics of each of the focus areas of technology chosen for development are described in the subtopic descriptions. Research awarded under this topic should be conducted to demonstrate technical feasibility during Phase I and show a path toward a Phase II hardware demonstration, and when possible, deliver a full-scale demonstration unit for functional and environmental testing at the completion of the Phase II contract.

o H5.01Deployable Structures PDF

Lead Center: LaRC

Participating Center(s): GRC, JSC

This subtopic seeks deployable structures innovations in two areas for proposed deep-space space exploration missions: Large deployable solar arrays for 50+


kW solar electric propulsion (SEP) missions. Lightweight deployable hatches for manned inflatable structures. Design solutions must minimize… Read more>>

o H5.02Extreme Temperature Structures PDF

Lead Center: MSFC


This subtopic seeks to develop innovative low cost and lightweight structures for cryogenic and elevated temperature environments. The storage of cryogenic propellants and the high temperature environment during atmospheric entry require advanced materials to provide low mass, affordable, and… Read more>>

o H5.03Multifunctional Materials and Structures PDF

Lead Center: LaRC

Participating Center(s): GRC, JSC, MSFC

Multifunctional and lightweight are critical attributes and technology themes required by deep space mission architectures. Multifunctional materials and structural systems will provide reductions in mass and volume for next generation vehicles. The NASA Technology Roadmap TA12, “Materials,… Read more>>

• + Expand Autonomous and Robotic Systems Topic

Topic H6 Autonomous and Robotic Systems PDF

NASA invests in the development of autonomous systems, advanced avionics, and robotics technology capabilities for the purpose of enabling complex missions and technology demonstrations supporting the Human Exploration and Operations Mission Directorate (HEOMD). The software, avionics, and robotics elements requested within this topic are critical to enhancing human spaceflight system functionality. These elements increase autonomy and system reliability; reduce system vulnerability to extreme radiation and thermal environments; and support human exploration missions with robotic assistants, precursors and caretaker robots. As key and enabling technology areas, autonomous systems, avionics and robotics are applicable to broad areas of technology use, including heavy lift launch vehicle technologies, robotic precursor platforms, utilization of the International Space Station, and spacecraft technology demonstrations performed to enable complex or long duration space missions. All of these flight applications will require unique advances in autonomy, software, robotic technologies and avionics. The exploration of space requires the best of the nation's technical community to provide the technologies, engineering, and systems to enable








human exploration beyond LEO, to visit Asteroids and the Moon, and to extend our reach to Mars.

o H6.01Human Robotic Systems - Mobility Subsystem, Manipulation Subsystem, and Human System Interaction

PDF

Lead Center: JSC

Participating Center(s): ARC, KSC

The objective of this subtopic is to create human-robotic technologies (hardware and software) to improve the exploration of space. Robots can perform tasks to assist and off-load work from astronauts. Robots may perform this work before, in support of, or after humans. Ground controllers and… Read more>>

• + Expand Entry, Descent, and Landing Technologies Topic

Topic H7 Entry, Descent, and Landing Technologies PDF

In order to explore other planets or return to Earth, NASA requires various technologies to facilitate entry, descent and landing. This topic, at this time, is supported by two subtopics. The first subtopic calls for the modeling, testing, monitoring, and inspection of ablative thermal protection materials and/or systems that will support planetary entry. NASA has been developing new ablative materials, some based on a 3-D woven reinforcement, either dry woven or impregnated, and some based on felt reinforcements. As new materials are developed, improved analytical tools are required to more accurately predict material properties and thermal response in entry conditions. Light weight, low power instrumentation systems for measuring the actual surface heating, in-depth temperatures, surface recession rates during testing and/or flight are required to verify the response of the materials and to monitor the health of flight hardware. Inspection of thermal protection material/aeroshell interfaces is critical to assure quality and is extremely difficult for porous, low density composites.

The second subtopic calls for the development of improved diagnostics for ground test facilities providing hypervelocity flows. As we try to understand the effects of hypersonic flow fields on entry vehicles, ground testing is often used to compare test data to predicted values. Improvements in diagnostic measurements in facilities such as NASA’s high enthalpy facilities, which include the Electric Arc Shock Tube (EAST), Arc Jets, Ballistic Range, Hypersonic Materials Environmental Test System (HyMETS), and 8’ High Temperature Tunnel (HTT) could provide data that will be used to validate and/or calibrate predictive modeling tools which are used to design and margin EDL requirements. This will reduce uncertainty in future mission planning.





o H7.01Ablative Thermal Protection Systems Technologies, Sensors and NDE Methods

PDF

Lead Center: ARC

Participating Center(s): GRC, JPL, JSC, LaRC

The technologies described below support the goal of developing advancements in instrumentation systems, inspection techniques, and analytical modeling for the higher performance Ablative Thermal Protection Systems (TPS) materials currently in development for future Exploration missions. The… Read more>>

o H7.02Diagnostic Tools for High Velocity Testing and Analysis PDF

Lead Center: ARC

The company will develop diagnostics for analyzing ground tests in high enthalpy, high velocity flows used to replicate vehicle entry, descent and landing conditions. Diagnostics developed will be tested in NASA’s high enthalpy facilities, which include the Electric Arc Shock Tube (EAST), Arc… Read more>>

• + Expand High Efficiency Space Power Systems Topic

Topic H8 High Efficiency Space Power Systems PDF

This topic solicits technology for power systems to be used for the human exploration of space. Power system needs consistent with human spaceflight include:

o Fuel cells compatible with methane-fueled landers, and electrolyzers and fuel cells compatible with materials extracted from lunar regolith and/or the Martian soil or atmosphere.

o Nuclear fission systems to power electric spacecraft and/or surface space power systems.

o Photovoltaic technology to power electric spacecraft.

Solid oxide technology is of interest for fuel cells and electrolyzers to enable:








o The operation of fuel cells using hydrocarbon reactants, including methane and fuels generated on-site at the Moon or Mars.

o Electrolysis systems capable of generating oxygen by electrolyzing CO2 (from the Mars atmosphere, trash processing, life support, or volatiles released from soils), and/or water from either extraterrestrial soils, life support systems, or the byproduct of Sabatier processes.

Both component and system level technologies are of interest.

Technologies to enable space-based nuclear fission systems are sought for three power classes:

o Kilowatt-class to support robotic missions as precursors to human exploration. o 10 kWe-class power conversion devices and 400-500K radiators to support large

surface power and 100 kWe-class electric propulsion vehicles. o 100 kWe-class power conversion devices, >500K radiators, and high temperature

fuels, materials, and heat transport to support MW-class electric vehicles.

Photovoltaic (PV) technologies are sought to provide lower-cost power systems with particular emphasis on high power arrays to support solar electric propulsion spacecraft on deep space missions.

o H8.01Space Nuclear Power Systems PDF

Lead Center: GRC

Participating Center(s): JPL, JSC, MSFC

NASA is developing fission power system technology for future space exploration applications using a stepwise approach. Initial small fission systems are envisioned in the 1 to 10 kWe range that utilize cast uranium-metal fuel and heat pipe cooling coupled to static or dynamic power conversion.… Read more>>

o H8.02Solid Oxide Fuel Cells and Electrolyzers PDF

Lead Center: GRC




Participating Center(s): JSC

Technologies are sought that improve the durability, efficiency, and reliability of solid oxide systems. Of particular interest are those technologies that address challenges common to both fuel cells fed by oxygen and hydrocarbon fuels, and electrolyzers fed by carbon dioxide and/or water.… Read more>>

o H8.03Advanced Photovoltaic Systems PDF

Lead Center: GRC


Advanced photovoltaic (PV) power generation and enabling power system technologies are sought for improvements in capability and reliability of PV power generation for space exploration missions. Power levels for PV applications may reach 100s of kWe. System and component technologies are sought… Read more>>

• + Expand Space Communications and Navigation (SCaN) Topic

Topic H9 Space Communications and Navigation (SCaN) PDF

Space Communication and Navigation (SCaN) technologies support all NASA space missions with the development of new capabilities and services that make our missions possible. Communication links are the lifelines that provide the command, telemetry, science data transfers and navigation support to our spacecraft. Advancement in communication and navigation technology will allow future missions to implement new and more capable science instruments, greatly enhance human missions beyond Earth orbit, and enable entirely new mission concepts. NASA's communication and navigation capability is based on the premise that communications shall enable and not constrain missions.

Today our communication and navigation capabilities, using Radio Frequency technology, can support our spacecraft to the fringes of the solar system and beyond. As we move into the future, we are challenged to increase current data rates - 300 Mbps in LEO to about 6 Mbps at Mars - to support the anticipated numerous missions for space science, earth science and exploration of the universe. Technologies such as optical systems, RF systems including ground based Earth stations, surface networks, cognitive and adaptive systems and networks, access links, reprogrammable communications systems, advanced antenna technology, innovative, relevant research in the areas of positioning, navigation, and timing (PNT) and communications in support of launch services are very important to the future of exploration and science activities of NASA.






This year, three major technology areas are being solicited:

o Long Range Optical Telecommunications, seeks innovative technologies for significant improvement in long range (> 0.1 AU) optical telecommunications providing increased data throughput in both directions, and lower spacecraft mass and power, in support of human and robotic space missions.

o Intelligent Communications Systems, seeks advancements of cognitive system capabilities to sense, detect, adapt, and learn from the environment to improve communication and/or navigation capabilities for NASA missions. And

o Flight Dynamics and Navigation Technology for the development of software tools, ground facilities, system concepts and on-board devices to enhance capabilities for providing spacecraft position, attitude, and velocity and for advancements that enable independence from earth supervision. For spacecraft systems, emphasis is placed on size, weight and power improvements to reduce the user spacecraft burden or provide greater capability within NASA’s networks. Innovative solutions centered on operational issues are needed in all of the aforementioned areas. All technologies developed under this topic area to be aligned with the Architecture Definition Document and technical direction as established by the NASA SCaN Office.

For more details: https://www.spacecomm.nasa.gov/spacecomm/

o H9.01Long Range Optical Telecommunications PDF

Lead Center: JPL

Participating Center(s): GRC, GSFC

This subtopic seeks innovative technologies for long range (> 0.1 AU) optical telecommunications supporting the needs of space missions where human and robotic explorers will visit distant bodies within the solar system and beyond. Multi-use technologies that will also benefit high rate optical… Read more>>

o H9.02Intelligent Communication Systems PDF

Lead Center: GRC

Participating Center(s): JPL

https://www.spacecomm.nasa.gov/spacecomm/




NASA seeks novel approaches to improve mission communication and navigation capabilities for science and exploration through advancements in cognitive systems and automation. Over the past 10 years software defined radios and their applications have emerged and demonstrated the potential and… Read more>>

o H9.03Flight Dynamics and Navigation Technology PDF

Lead Center: GSFC


NASA is investing in the development of software tools, systems and devices to enhance its capabilities for providing position, attitude, and velocity estimates of its spacecraft as well as improve navigation, guidance and control functions to these same spacecraft. Interest includes software tools,… Read more>>

• + Expand Ground Processing Topic

Topic H10 Ground Processing PDF

Ground processing technology development prepares the agency to test, process and launch the next generation of rockets and spacecraft in support of NASA’s exploration objectives by developing the necessary ground systems, infrastructure and operational approaches.

This topic seeks innovative concepts and solutions for both addressing long-term ground processing and test complex operational challenges and driving down the cost of government and commercial access to space. Technology infusion and optimization of existing and future operational programs, while concurrently maintaining continued operations, are paramount for cost effectiveness, safety assurance, and supportability.

A key aspect of NASA’s approach to long term sustainability and affordability is to make test, processing and launch infrastructure available to commercial and other government entities, thereby distributing the fixed cost burden among multiple users and reducing the cost of access to space for the United States.

Unlike previous work focusing on a single kind of launch vehicle such as the Saturn V rocket or the Space Shuttle, NASA is preparing common infrastructure to support several different kinds of spacecraft and rockets that are in development. Products and systems






devised at a NASA center could be used at other launch sites on earth and eventually on other planets or moons.

o H10.01Cryogenic Purge Gas Recovery and Reclamation PDF

Lead Center: SSC

Participating Center(s): GRC, KSC

Helium is becoming a major issue for NASA and the country. Helium is used as a purge gas in cryogenic piping systems to reduce the concentration of hydrogen below the flammable threshold at test and launch complexes. Most of the Nation's helium comes from the National Helium Reserve operated by the… Read more>>

• + Expand Radiation Protection Topic

Topic H11 Radiation Protection PDF

The SBIR Topic area of Radiation Protection focuses on the development and testing of mitigation concepts to protect astronaut crews from the harmful effects of space radiation, both in low Earth orbit (LEO) and while conducting long duration missions beyond LEO. All space radiation environments in which humans may travel in the foreseeable future are considered, including geosynchronous orbit (GEO), Moon, Mars, and the Asteroids. Advances are needed in mitigation schema for the next generation of exploration vehicles and structures technologies to protect humans from the hazards of space radiation during NASA missions. As NASA continues to form plans for long duration exploration, it has become clear that the ability to mitigate the risks posed to crews by the space radiation environment is of central importance. Advances in radiation shielding systems technologies are needed to protect humans from all threats of space radiation. All particulate radiations are considered, including electrons, protons, neutrons, alpha particles, light ions, and heavy ions. This topic is particularly interested in mid-TRL (technology readiness level) technologies. Lightweight radiation shielding materials are needed to shield humans in aerospace transportation vehicles, large space structures, space stations, orbiters, landers, rovers, habitats, and spacesuits. The materials emphasis should be on non-parasitic radiation shielding materials, or multifunctional materials, where two of the functions are structural and radiation shielding. Non-materials solutions, such as utilizing food, water, trash, and treated waste already on board as radiation shielding are also sought. Advanced computer codes are needed to model and predict the transport of radiation through materials and subsystems, as well as to predict the effects of radiation on the physiological performance, health, and well-being of humans in space radiation environments. Laboratory and spaceflight data are needed to validate the accuracy of radiation transport codes, as well as to validate the effectiveness of multifunctional radiation shielding materials and subsystems. Also of interest are comprehensive radiation shielding databases and design tools to enable designers to incorporate and optimize radiation shielding into space systems during the initial design





phases. Research under this topic should be conducted to demonstrate technical feasibility during Phase I and show a path forward to Phase II hardware demonstration. When possible, deliver a demonstration unit for functional and radiation testing at the completion of the Phase II contract.

o H11.01Radiation Shielding Technologies PDF

Lead Center: LaRC

Participating Center(s): MSFC

Advances in radiation shielding technologies are needed to protect humans from the hazards of space radiation during NASA missions. All space radiation environments in which humans may travel in the foreseeable future are considered, including low Earth orbit (LEO), geosynchronous orbit (GEO), Moon,… Read more>>

• + Expand Human Research and Health Maintenance Topic

Topic H12 Human Research and Health Maintenance PDF

NASA’s Human Research Program (HRP) investigates and mitigates the highest risks to astronaut health and performance in exploration missions. The goal of the HRP is to provide human health and performance countermeasures, knowledge, technologies, and tools to enable safe, reliable, and productive human space exploration, and to ensure safe and productive human spaceflight. The scope of these goals includes both the successful completion of exploration missions and the preservation of astronaut health over the life of the astronaut. HRP developed an Integrated Research Plan (IRP) to describe the requirements and notional approach to understanding and reducing the human health and performance risks. The IRP describes the Program’s research activities that are intended to address the needs of human space exploration and serve HRP customers. The IRP illustrates the program’s research plan through the timescale of early lunar missions of extended duration. The Human Research Roadmap (http://humanresearchroadmap.nasa.gov) is a web-based version of the IRP that allows users to search HRP risks, gaps, and tasks.

The HRP is organized into Program Elements:

o Human Health Countermeasures. o Behavioral Health & Performance. o Exploration Medical Capability.





http://humanresearchroadmap.nasa.gov/

o Space Human Factors and Habitability. o Space Radiation and ISS Medical Projects.

Each of the HRP Elements address a subset of the risks, with ISS Medical Projects responsible for the implementation of the research on various space and ground analog platforms. With the exception of Space Radiation, HRP subtopics are aligned with the Elements and solicit technologies identified in their respective research plans.

o H12.01Measurements of Net Ocular Blood Flow PDF

Lead Center: GRC


The goal of this SBIR call is the development of rapid and accurate hardware to characterize the net blood flow to and from the eye. Due to limits on instrumentation, most of the literature on ocular blood flow to date has emphasized measurements that only partially characterize the net flow, such… Read more>>

o H12.02Unobtrusive Workload Measurement PDF

Lead Center: JSC

Participating Center(s): ARC

Task design and associated hardware and software impose cognitive and physical demands on an operator and thus, drive the workload associated with a task. This solicitation is looking for technologies and methods to measure, assess, and predict astronaut workload unobtrusively, and to extend these… Read more>>

o H12.03Technology for Monitoring Muscle Protein Synthesis and Breakdown in Spaceflight

PDF

Lead Center: JSC

Post flight decrements in skeletal muscle size and function are well documented, however, the true time course of muscle adaptations during long duration spaceflight have thus far been unaddressed. This information is of importance because it can help to identify: When the most critical stages… Read more>>







• + Expand Non-Destructive Evaluation Topic

Topic H13 Non-Destructive Evaluation PDF

Future manned space missions will require technologies that enable detection and monitoring of the space flight vehicles during deep space missions. Development of these systems will also benefit the safety of current missions such as the International Space Station and Aerospace as a whole. Technologies sought under this SBIR Topic can be defined as advanced sensors, sensor systems, sensor techniques or software that enhance or expand NASA’s Nondestructive Evaluation (NDE) and NDE modeling capabilities beyond the current State of the Art. Sensors and Sensor systems sought under this topic can include but are not limited to techniques that include the development of quantum, meta- and nano sensor technologies for deployment. Technologies enabling the ability to perform inspections on large complex structures will be encouraged. Technologies should provide reliable assessments of the location and extent of damage. Advanced processing and displays are needed to reduce the complexity of operations for astronaut crews who need to make important assessments quickly. Examples of structural components that will require sensor and sensor systems are multi-wall pressure vessels, batteries, thermal tile, thermal blankets, micrometeoroid shielding, International Space Station (ISS) Radiators or aerospace structural components.

Technologies sought under the modeling SBIR include near real-time large scale nondestructive evaluation (NDE) and structural health monitoring (SHM) simulations and automated data reduction/analysis methods for large data sets. Simulation techniques will seek to expand NASA’s use of physics based models to predict inspection coverage for complex aerospace components and structures. Analysis techniques should include optimized automated reduction of NDE/SHM data for enhanced interpretation appropriate for detection/characterization of critical flaws in space flight structures and components. Space flight structures will include light weight structural materials such as composites and thin metals. Future purposes will include application to long duration space vehicles, as well as validation of SHM systems. Techniques sought include advanced material-energy interaction simulation in high-strength lightweight material systems and include energy interaction with realistic damage types in complex 3-D component geometries (such as bonded/built-up structures). Primary material systems can include metals but it is highly desirable to target composite structures. NDE/SHM techniques for simulation can include ultrasonic, laser, micro-wave, terahertz, eddy current, infra-red, backscatter X-Ray, X-ray computed tomography and fiber optic.

o H13.01Advanced NDE Modeling and Analysis PDF

Lead Center: LaRC

Participating Center(s): ARC, JSC




Technologies sought under this SBIR include near real-time large scale nondestructive evaluation (NDE) and structural health monitoring (SHM) simulations and automated data reduction/analysis methods for large data sets. Simulation techniques will seek to expand NASA’s use of physics based models… Read more>>

o H13.02NDE Sensors PDF

Lead Center: LaRC

Participating Center(s): GRC, JSC, KSC

Technologies sought under this SBIR program can be defined as advanced sensors, sensor systems, sensor techniques or software that enhance or expand NASA’s current senor capability. It desirable but not necessary to target structural components of space flight hardware. Examples of space flight… Read more>>

• + Expand International Space Station (ISS) Demonstration and Development of Improved Exploration Technologies and Increased ISS Utilization Topic

Topic H14 International Space Station (ISS) Demonstration and Development of Improved Exploration Technologies and Increased ISS Utilization PDF

The Human Exploration and Operations Mission Directorate (HEOMD) is chartered with the development of the core transportation elements, key systems, and enabling technologies required for beyond-Low Earth Orbit (LEO) human exploration that will provide the foundation for the next half-century of American leadership in space exploration. This new deep space exploration era starts with increasingly challenging test missions in cis-lunar space, including flights to the Lagrange points, followed by human missions to near-Earth asteroids (NEAs), Earth’s moon, the moons of Mars, and Mars itself as part of a sustained journey of exploration in the inner solar system. HEOMD was formed in 2011 by combining the Space Operations Mission Directorate (SOMD) and the Exploration Systems Mission Directorate (ESMD) to optimize the elements, systems, and technologies of the precursor Directorates to the maximum extent possible. HEOMD accomplishes its mission through the following goals:

o Development and use of launch systems and in-space transport capabilities permitting exploration of various regions of space.

o Development of space habitats that permit the processing and operation of physical and life science experiments in the space environment.

o Development of means to return data and explorers to Earth from these in-space operations.







HEOMD encapsulates several key technology areas, including Space Transportation, Space Communications and Navigation, Human Research and Health Maintenance, Radiation Protection, Life Support and Habitation, High Efficiency Space Power Systems, and Ground Processing/ISS Utilization. These areas of focus, along with enabling technologies and capabilities, will continue to evolve synergistically as the directorate guides their development and enhancement to meet future needs. In addition, operational capacity will continue to grow by including these enhancements as other NASA programs develop new mission capabilities and requirements. To generate new capabilities and contribute to the knowledge required for humans to explore in-space destinations, HEOMD is responsible for:

o Conducting technology development and demonstrations to reduce cost and prove required capabilities for future human exploration.

o Developing exploration precursor robotic missions to multiple destinations to cost-effectively scout human exploration targets.

o Increasing investments in Human Operations and research to prepare for long-duration missions in deep space.

o Enabling U.S. commercial human spaceflight capabilities. o Developing communication and navigation technologies. o Maximizing ISS utilization.

HEOMD looks forward to incorporating SBIR-developed technologies into current and future systems to contribute to the expansion of humanity across the solar system while providing continued cost effective space access and operations for its customers, with a high standard of safety, reliability, and affordability.

o H14.01International Space Station (ISS) Utilization PDF

Lead Center: JSC

Participating Center(s): ARC, GRC, JPL, KSC, MSFC

NASA continues to invest in the near- and mid-term development of highly-desirable systems and technologies that provide innovative ways to leverage existing ISS facilities for new scientific payloads and to provide on orbit analysis to enhance capabilities. Utilization of the ISS is limited by… Read more>>

o H14.02International Space Station (ISS) Demonstration of Improved Exploration Technologies



PDF

Lead Center: JSC

NASA is investing in technologies and techniques geared towards advancing the state of the art of spacecraft systems through the utilization of the ISS as a technology test bed. Successful submissions will describe requisite testing on ISS. Proposals that do not require testing at the ISS should… Read more>>

o H14.03Recycling/Reclamation of 3-D Printer Plastic Including Transformation of Launch Package Solutions into 3-D Printed Parts

PDF

Lead Center: MSFC

Participating Center(s): ARC, JSC, KSC

The National Aeronautics and Space Administration (NASA) has a long-term strategy to fabricate components and equipment on-demand for crew exploration missions. The greater the distance from Earth and the longer the mission duration, the more difficult resupply becomes; thus requiring a significant… Read more>>

o H14.04Optical Components, Sensors, and Systems for ISS Utilization PDF

Lead Center: LaRC

The International Space Station (ISS) is an on-orbit research platform that provides a superior environment for human health and exploration, technology testing for enabling future exploration, research in basic life and physical science, and earth and space science as enunciated in the NASA… Read more>>

• + Expand Science Mission Directorate

Science PDF

• + Expand Sensors, Detectors and Instruments Topic

Topic S1 Sensors, Detectors and Instruments PDF

NASA's Science Mission Directorate (SMD) (http://nasascience.nasa.gov/) encompasses research in the areas of Astrophysics, Earth Science, Heliophysics and Planetary Science. The National Academy of Science has provided NASA with recently updated Decadal












http://nasascience.nasa.gov/

surveys that are useful to identify technologies that are of interest to the above science divisions. Those documents are available at the following locations:

o Astrophysics - (http://sites.nationalacademies.org/bpa/BPA_049810 (link is external)).

o Planetary - (http://solarsystem.nasa.gov/2013decadal/index.cfm). o Earth Science - (http://science.nasa.gov/earth-science/decadal-surveys/). o Heliophysics - The 2009 technology roadmap can be downloaded:

(http://science.nasa.gov/heliophysics).

A major objective of SMD instrument development programs is to implement science measurement capabilities with smaller or more affordable spacecraft so development programs can meet multiple mission needs and therefore make the best use of limited resources. The rapid development of small, low-cost remote sensing and in situ instruments is essential to achieving this objective. For Earth Science needs, in particular, the subtopics reflect a focus on instrument development for airborne and Unmanned Aerial Vehicle (UAV) platforms. Astrophysics has a critical need for sensitive detector arrays with imaging, spectroscopy, and polarimetric capabilities, which can be demonstrated on ground, airborne, balloon, or suborbital rocket instruments. Heliophysics, which focuses on measurements of the sun and its interaction with the Earth and the other planets in the solar system, needs a significant reduction in the size, mass, power, and cost for instruments to fly on smaller spacecraft. Planetary Science has a critical need for miniaturized instruments with in situ sensors that can be deployed on surface landers, rovers, and airborne platforms.

For the 2012 program year, we are restructuring the Sensors, Detectors and Instruments Topic, rotating out, combining and retiring some of the subtopics. Please read each subtopic of interest carefully. One new subtopic, S1.09 Surface and Sub-surface Measurement Systems was added this year. This new subtopic solicits proposals that are for ground-based surface vehicles, and submerged systems. Systems that will provide near-term benefit in a ground-based application but that are ultimately intended for flight or mobile platforms are in scope. A key objective of this SBIR topic is to develop and demonstrate instrument component and subsystem technologies that reduce the risk, cost, size, and development time of SMD observing instruments and to enable new measurements. Proposals are sought for development of components, subsystems and systems that can be used in planned missions or a current technology program. Research should be conducted to demonstrate feasibility during Phase I and show a path towards a Phase II prototype demonstration. The following subtopics are concomitant with these objectives and are organized by technology.

o S1.01Lidar Remote Sensing Technologies PDF

http://sites.nationalacademies.org/bpa/BPA_049810

http://sites.nationalacademies.org/bpa/BPA_049810

http://solarsystem.nasa.gov/2013decadal/index.cfm

http://science.nasa.gov/earth-science/decadal-surveys/

http://science.nasa.gov/heliophysics


Lead Center: LaRC

Participating Center(s): GSFC, JPL

NASA recognizes the potential of lidar technology in meeting many of its science objectives by providing new capabilities or offering enhancements over current measurements of atmospheric and topographic parameters from ground, airborne, and space-based platforms. To meet NASAs requirements for… Read more>>

o S1.02Microwave Technologies for Remote Sensing PDF

Lead Center: JPL

Participating Center(s): GSFC

NASA employs active (radar) and passive (radiometer) microwave sensors for a wide range of remote sensing applications (for example, see http://www.nap.edu/catalog/11820.html). These sensors include low frequency (less than 10 MHz) sounders to G-band (160 GHz) radars for measuring precipitation and… Read more>>

o S1.03Sensor and Detector Technology for Visible, IR, Far IR and Submillimeter PDF

Lead Center: JPL

Participating Center(s): ARC, GSFC, KSC, LaRC

NASA is seeking new technologies or improvements to existing technologies to meet the detector needs of future missions, as described in the most recent decadal surveys: Earth science (http://www.nap.edu/catalog/11820.html). Planetary science (http://www.nap.edu/catalog/10432.html). Astronomy and… Read more>>

o S1.04Detector Technologies for UV, X-Ray, Gamma-Ray and Cosmic-Ray Instruments

PDF

Lead Center: GSFC


This subtopic covers detector requirements for a broad range of wavelengths from UV through to gamma ray for applications in Astrophysics, Earth Science, Heliophysics, and Planetary Science. Requirements across the board are for








greater numbers of readout pixels, lower power, faster readout rates,… Read more>>

o S1.05Particles and Field Sensors and Instrument Enabling Technologies PDF

Lead Center: GSFC

Participating Center(s): ARC, JPL, JSC, MSFC

Advanced sensors for the detection of elementary particles (atoms, molecules and their ions) and electric and magnetic fields in space and associated instrument technologies are often critical for enabling transformational science from the study of the sun's outer corona, to the solar wind, to the… Read more>>

o S1.06In Situ Sensors and Sensor Systems for Lunar and Planetary Science PDF

Lead Center: JPL

Participating Center(s): ARC, GRC, GSFC, JSC, KSC, MSFC

This subtopic solicits development of advanced instrument technologies and components suitable for deployment on planetary and lunar missions. These technologies must be capable of withstanding operation in space and planetary environments, including the expected pressures, radiation levels, launch… Read more>>

o S1.07Airborne Measurement Systems PDF

Lead Center: GSFC

Participating Center(s): ARC, GRC, JPL, KSC, LaRC, MSFC, SSC

Measurement system miniaturization and/or increased performance is needed to support for NASA's airborne science missions, particularly those utilizing the Global Hawk, SIERRA-class, Dragon Eye or other unmanned aircraft. The subject airborne instruments are intended as calibration/validation… Read more>>

o S1.08Surface & Sub-surface Measurement Systems PDF

Lead Center: ARC












Participating Center(s): GSFC, JPL, KSC, LaRC, MSFC, SSC

Surface & Sub-surface Measurement Systems are sought with relevance to future space missions such as Active Sensing of CO2 Emissions over Nights, Days, and Seasons (ASCENDS), Orbiting Carbon Observatory - 2 (OCO-2), Global Precipitation Measurement (GPM), Geostationary Coastal and Air Pollution… Read more>>

o S1.09Atomic Interferometry PDF

Lead Center: JPL


Recent developments of laser control and manipulation of atoms have led to new types of precision inertial force and gravity sensors based on atom interferometry. Atom interferometers exploit the quantum mechanical wave nature of atomic particles and quantum gases for sensitive interferometric… Read more>>

o S1.10Cryogenic Systems for Sensors and Detectors PDF

Lead Center: GSFC

Participating Center(s): ARC, JPL, KSC, MSFC

Cryogenic cooling systems often serve as enabling technologies for detectors and sensors flown on scientific instruments as well as advanced telescopes and observatories. As such, technological improvements to cryogenic systems further advance the mission goals of NASA through enabling performance… Read more>>

• + Expand Advanced Telescope Systems Topic

Topic S2 Advanced Telescope Systems PDF

The NASA Science Missions Directorate seeks technology for cost-effective high-performance advanced space telescopes for astrophysics and Earth science. Astrophysics applications require large aperture light-weight highly reflecting mirrors, deployable large structures and innovative metrology, control of unwanted radiation for high-contrast optics, precision formation flying for synthetic aperture telescopes, and cryogenic optics to enable far infrared telescopes. A few of the new astrophysics telescopes and their subsystems will require operation at cryogenic temperatures as cold a 4-degrees Kelvin. This topic will consider technologies necessary to enable future telescopes and observatories collecting electromagnetic bands, ranging from UV to millimeter waves,









and also include gravity waves. The subtopics will consider all technologies associated with the collection and combination of observable signals. Earth science requires modest apertures in the 2 to 4 meter size category that are cost effective. New technologies in innovative mirror materials, such as silicon, silicon carbide and nanolaminates, innovative structures, including nanotechnology, and wavefront sensing and control are needed to build telescopes for Earth science.

o S2.01Proximity Glare Suppression for Astronomical Coronagraphy PDF

Lead Center: JPL

Participating Center(s): ARC, GSFC

This subtopic addresses the unique problem of imaging and spectroscopic characterization of faint astrophysical objects that are located within the obscuring glare of much brighter stellar sources. Examples include planetary systems beyond our own, the detailed inner structure of galaxies with very… Read more>>

o S2.02Precision Deployable Optical Structures and Metrology PDF

Lead Center: JPL

Participating Center(s): GSFC, LaRC

Planned future NASA Missions in astrophysics, such as the Wide-Field Infrared Survey Telescope (WFIRST) and the New Worlds Technology Development Program (coronagraph, external occulter and interferometer technologies) will push the state of the art in current optomechanical technologies. Mission… Read more>>

o S2.03Advanced Optical Systems and Fabrication/Testing/Control Technologies for EUV/Optical and IR Telescope

PDF

Lead Center: MSFC

Participating Center(s): GSFC, JPL

This subtopic solicits solutions in the following areas: Components and Systems for potential EUV, UV/O & IR missions. Technology to fabricate, test and control potential UUV, UV/O & IR telescopes. Proposals should show an understanding of one or more relevant science needs, and present… Read more>>









o S2.04X-Ray Mirror Systems Technology, Coating Technology for X-Ray-UV-OIR, and Free-Form Optics

PDF

Lead Center: GSFC


This subtopic solicits proposals in the following areas: Components, Systems, and Technologies of potential X-Ray missions. Coating technologies for X-Ray, EUV, Visible, and IR telescopes. Free-form Optics surfaces design, fabrication, and metrology. This subtopic focuses on three areas of… Read more>>

• + Expand Spacecraft and Platform Subsystems Topic

Topic S3 Spacecraft and Platform Subsystems PDF

The Science Mission Directorate will carry out the scientific exploration of our Earth, the planets, moons, comets, and asteroids of our solar system and the universe beyond. SMD’s future direction will be moving away from exploratory missions (orbiters and flybys) into more detailed/specific exploration missions that are at or near the surface (landers, rovers, and sample returns) or at more optimal observation points in space. These future destinations will require new vantage points, or would need to integrate or distribute capabilities across multiple assets. Future destinations will also be more challenging to get to, have more extreme environmental conditions and challenges once the spacecraft gets there, and may be a challenge to get a spacecraft or data back from.

A major objective of the NASA science spacecraft and platform subsystems development efforts are to enable science measurement capabilities using smaller and lower cost spacecraft to meet multiple mission requirements thus making the best use of our limited resources. To accomplish this objective, NASA is seeking innovations to significantly improve spacecraft and platform subsystem capabilities while reducing the mass and cost that would in turn enable increased scientific return for future NASA missions.

A spacecraft bus is made up of many subsystems like: propulsion; thermal control; power and power distribution; attitude control; telemetry command and control; transmitters/antenna; computers/on-board processing/software; and structural elements. Science platforms of interest could include unmanned aerial vehicles, sounding rockets, or balloons that carry scientific instruments/payloads, to planetary ascent vehicles or Earth return vehicles that bring samples back to Earth for analysis. This topic area addresses the future needs in many of these sub-system areas, as well as their application to specific spacecraft and platform needs.





Innovations for 2015 are sought in the areas of:

o Command and Data Handling, and Instrument Electronics. o Power Generation and Conversion - Propulsion Systems for Robotic Science

Missions. o Power Electronics and Management, and Energy Storage. o Unmanned Aircraft and Sounding Rocket Technologies. o Thermal Control Systems - Guidance, Navigation and Control. o Terrestrial and Planetary Balloons.

For planetary missions, planetary protection requirements vary by planetary destination, and additional backward contamination requirements apply to hardware with the potential to return to Earth (e.g., as part of a sample return mission). Technologies intended for use at/around Mars, Europa (Jupiter), and Enceladus (Saturn) must be developed so as to ensure compliance with relevant planetary protection requirements. Constraints could include surface cleaning with alcohol or water, and/or sterilization treatments such as dry heat (approved specification in NPR 8020.12; exposure of hours at 115C or higher, non-functioning); penetrating radiation (requirements not yet established); or vapor-phase hydrogen peroxide (specification pending).

The following references discuss some of NASA’s science mission and technology needs:

o The Astrophysics Roadmap- (http://nasascience.nasa.gov/about-us/science-strategy).

o Astrophysics Decadal Survey - “New Worlds, New Horizons: in Astronomy and Astrophysics”: (http://www.nap.edu/catalog.php?record_id=12951 (link is external)).

o The Earth Science Decadal Survey-(http://books.nap.edu/catalog.php?record_id=11820 (link is external)).

o The Heliophysics roadmap - “The Solar and Space Physics of a New Era: Recommended Roadmap for Science and Technology 20092030”: (http://sec.gsfc.nasa.gov/2009_Roadmap.pdf).

o The 2011 Planetary Science Decadal Survey - Released March 2011. This decadal survey is considering technology needs. (http://solarsystem.nasa.gov/multimedia/download-detail.cfm?DL_ID=742).

o S3.01Power Generation and Conversion PDF

Lead Center: GRC

Participating Center(s): ARC, JPL, JSC

http://nasascience.nasa.gov/about-us/science-strategy

http://nasascience.nasa.gov/about-us/science-strategy



http://books.nap.edu/catalog.php?record_id=11820

http://sec.gsfc.nasa.gov/2009_Roadmap.pdf

http://solarsystem.nasa.gov/multimedia/download-detail.cfm?DL_ID=742


Future NASA science missions will employ Earth orbiting spacecraft, planetary spacecraft, balloons, aircraft, surface assets, and marine craft as observation platforms. Proposals are solicited to develop advanced power-generation and conversion technologies to enable or enhance the capabilities of… Read more>>

o S3.02Propulsion Systems for Robotic Science Missions PDF

Lead Center: GRC


The Science Mission Directorate (SMD) needs spacecraft with more demanding propulsive performance and flexibility for more ambitious missions requiring high duty cycles, more challenging environmental conditions, and extended operation. Planetary spacecraft need the ability to rendezvous with, orbit… Read more>>

o S3.03Power Electronics and Management, and Energy Storage PDF

Lead Center: GRC

Participating Center(s): ARC, GSFC, JPL, JSC

NASA’s science vision (http://science.nasa.gov/media/medialibrary/2014/05/02/2014_Science_Plan-0501_tagged.pdf) is to use the vantage point of space to achieve with the science community and our partners a deep scientific understanding of the Sun and its effects on the solar system, our home… Read more>>

o S3.04Unmanned Aircraft and Sounding Rocket Technologies PDF

Lead Center: GSFC

Participating Center(s): AFRC, ARC, GRC, JPL, KSC, LaRC

Breakthrough technologies are sought that will enhance performance and utility of NASA's Airborne Science fleet with expanded use of unmanned aircraft systems (UAS). Novel airborne platforms incorporating tailored sensors and instrumentation suitable for supporting specific NASA Earth science… Read more>>

o S3.05Guidance, Navigation and Control PDF











Lead Center: GSFC

Participating Center(s): ARC, JPL, JSC

NASA seeks innovative, ground breaking, and high impact developments in spacecraft guidance, navigation, and control technologies in support of future science and exploration mission requirements. This subtopic covers the technologies enabling significant performance improvements over the state of… Read more>>

o S3.06Terrestrial and Planetary Balloons PDF

Lead Center: GSFC

Participating Center(s): JPL

Terrestrial Balloons NASAs Scientific Balloons provide practical and cost effective platforms for conducting discovery science, development and testing for future space instruments, as well as training opportunities for future scientists and engineers. Balloons can reach altitudes above 36… Read more>>

o S3.07Thermal Control Systems PDF

Lead Center: GSFC

Participating Center(s): ARC, GRC, JPL, JSC, LaRC, MSFC

Future Spacecraft and instruments for NASA's Science Mission Directorate will require increasingly sophisticated thermal control technology. Innovative proposals for the cross-cutting thermal control discipline are sought in the following areas: Components of advanced small spacecraft such as… Read more>>

o S3.08Slow and Fast Light PDF

Lead Center: MSFC

Steep dispersions in engineered media of a wide variety have opened up a new direction of research in optics. A positive dispersion can be used to slow the propagation of optical pulses to extremely small velocities. Similarly, a negative dispersion can lead to conditions where pulses propagate… Read more>>

o S3.09Command, Data Handling, and Electronics









PDF

Lead Center: GSFC

Participating Center(s): JPL, LaRC

NASA's space based observatories, fly-by spacecraft, orbiters, landers, and robotic and sample return missions, require robust command and control capabilities. Advances in technologies relevant to command and data handling and instrument electronics are sought to support NASA's goals and several… Read more>>

• + Expand Robotic Exploration Technologies Topic

Topic S4 Robotic Exploration Technologies PDF

NASA is pursuing technologies to enable robotic exploration of the Solar System including its planets, their moons, and small bodies. NASA has a development program that includes technologies for the atmospheric entry, descent, and landing, mobility systems, extreme environments technology, sample acquisition and preparation for in situ experiments, and in situ planetary science instruments. Robotic exploration missions that are planned include a Europa Jupiter System mission, Titan Saturn System mission, Venus In-Situ Explorer, sample return from Comet or Asteroid and lunar south polar basin and continued Mars exploration missions launching every 26 months including a network lander mission, an Astrobiology Field Laboratory, a Mars Sample Return mission and other rover missions.

Numerous new technologies will be required to enable such ambitious missions. The solicitation for in situ planetary instruments can be found in the in situ instruments section of this solicitation. See (http://solarsystem.nasa.gov/missions/index.cfm) for mission information. See (http://mars.nasa.gov/programmissions/technology/) for additional information on Mars Exploration technologies.

Planetary protection requirements vary by planetary destination, and additional backward contamination requirements apply to hardware with the potential to return to Earth (e.g., as part of a sample return mission). Technologies intended for use at/around Mars, Europa (Jupiter), and Enceladus (Saturn) must be developed so as to ensure compliance with relevant planetary protection requirements. Constraints could include surface cleaning with alcohol or water, and/or sterilization treatments such as dry heat (approved specification in NPR 8020.12; exposure of hours at 115C or higher, non-functioning); penetrating radiation (requirements not yet established); or vapor-phase hydrogen peroxide (specification pending).





http://solarsystem.nasa.gov/missions/index.cfm

http://mars.nasa.gov/programmissions/technology/

o S4.01Planetary Entry, Descent and Landing and Small Body Proximity Operation Technology

PDF

Lead Center: JPL

Participating Center(s): ARC, JSC, LaRC

NASA seeks innovative sensor technologies to enhance success for entry, descent and landing (EDL) operations on missions to other planetary bodies, including Earth's Moon, Mars, Venus, Titan, Europa, and proximity operations (including sampling and landing) on small bodies such as asteroids and… Read more>>

o S4.02Robotic Mobility, Manipulation and Sampling PDF

Lead Center: JPL

Participating Center(s): ARC, GSFC, JSC

Technologies for robotic mobility, manipulation, and sampling are needed to enable access to sites of interest and acquisition and handling of samples for in-situ analysis or return to Earth from planetary and solar system small bodies including Mars, Venus, comets, asteroids, and planetary moons… Read more>>

o S4.03Spacecraft Technology for Sample Return Missions PDF

Lead Center: JPL


NASA plans to perform sample return missions from a variety of scientifically important targets including Mars, small bodies such as asteroids and comets, and outer planet moons. These types of targets present a variety of spacecraft technology challenges. Some targets, such as Mars and some moons… Read more>>

o S4.04Extreme Environments Technology PDF

Lead Center: JPL

Participating Center(s): ARC, GRC, GSFC, LaRC, MSFC









NASA is interested in expanding its ability to explore the deep atmosphere and surface of giant planets, asteroids, and comets through the use of long-lived (days or weeks) balloons and landers. Survivability in extreme high-temperatures and high-pressures is also required for deep atmospheric… Read more>>

o S4.05Contamination Control and Planetary Protection PDF

Lead Center: JPL

A need to develop technologies to implement Contamination Control and Planetary Protection requirements has emerged in recent years with increased interest in investigating bodies with the potential for life detection such as Europa, Enceladus, Mars, etc. and the potential for sample return from… Read more>>

• + Expand Information Technologies Topic

Topic S5 Information Technologies PDF

NASA Missions and Programs create a wealth of science data and information that are essential to understanding our earth, our solar system and the universe. Advancements in information technology will allow many people within and beyond the Agency to more effectively analyze and apply these data and information to create knowledge. For example, modeling and simulation are being used more pervasively throughout NASA, for both engineering and science pursuits, than ever before. These are tools that allow high fidelity simulations of systems in environments that are difficult or impossible to create on Earth, allow removal of humans from experiments in dangerous situations, provide visualizations of datasets that are extremely large and complicated, and aid in the design of systems and missions. In many of these situations, assimilation of real data into a highly sophisticated physics model is needed. Information technology is also being used to allow better access to science data, more effective and robust tools for analyzing and manipulating data, and better methods for collaboration between scientists or other interested parties. The desired end result is to see that NASA data and science information are used to generate the maximum possible impact to the nation: to advance scientific knowledge and technological capabilities, to inspire and motivate the nation's students and teachers, and to engage and educate the public.

o S5.01Technologies for Large-Scale Numerical Simulation PDF

Lead Center: ARC


NASA scientists and engineers are increasingly turning to large-scale numerical simulation on supercomputers to advance understanding of complex Earth and







astrophysical systems, and to conduct high-fidelity aerospace engineering analyses. The goal of this subtopic is to increase the mission impact… Read more>>

o S5.02Earth Science Applied Research and Decision Support PDF

Lead Center: SSC

Participating Center(s): ARC, GSFC, JPL

The NASA Applied Sciences Program (http://nasascience.nasa.gov/earth-science/applied-sciences) seeks innovative and unique approaches to increase the utilization and extend the benefit of Earth Science research data to better meet societal needs. One area of interest is new decision support tools… Read more>>

o S5.03Algorithms and Tools for Science Data Processing, Discovery and Analysis, in State-of-the-Art Data Environments

PDF

Lead Center: GSFC

Participating Center(s): ARC, JPL, KSC, LaRC, MSFC, SSC

The size of NASA's observational data sets is growing dramatically as new missions come on line. In addition, NASA scientists continue to generate new models that regularly produce data sets of hundreds of terabytes or more. It is growing ever increasingly difficult to manage all of the data through… Read more>>

o S5.04Integrated Science Mission Modeling PDF

Lead Center: JPL


NASA seeks innovative systems modeling methods and tools to: Define, design, develop and execute future science missions, by developing and utilizing advanced methods and tools that empower more comprehensive, broader, and deeper system and subsystem modeling, while enabling these models to be… Read more>>

o S5.05Fault Management Technologies PDF











Lead Center: ARC


As science missions are given increasingly complex goals and have more pressure to reduce operations costs, system autonomy increases. Fault Management (FM) is one of the key components of system autonomy. FM consists of the operational mitigations of spacecraft failures. It is implemented with… Read more>>

• + Expand Space Technology Mission Directorate

Space Technology PDF

• + Expand Advanced Power and Energy Storage Systems for Cross-Cutting Space Applications Topic

Topic Z1 Advanced Power and Energy Storage Systems for Cross-Cutting Space Applications PDF

The Advanced Space Power and Energy Storage Systems topic area will focus on technologies that generate power and/or store energy within the space environment. Functional areas, sub-topics, of interest include:

Solid State Power Generation

Thermoelectric and thermionic component materials will be investigated for the creation of electricity from thermal energy in space applications. There is particular interest in high Z materials and materials with low work functions applicable to thermionic energy conversion. The focus of the topic area will be to generate working devices by the end of an SBIR Phase II. Material performance and testing may be the focus of the Phase I activity as long as explicit discussion of eventual working device is included in the Phase I proposal and the intent of the effort is to use Phase II follow on effort to build and test the working system.

Modeling and Simulation / Modeling and Measurements








Innovative model development to will provide insight into design decisions and trade-offs for advanced propulsion and power systems are sought. The focus is on improving the correlation between experiments and predictions by developing and validating multi-scale physics-based models. The goal is to reduce the development time of future systems needed for space exploration.

o Z1.01Modeling and Measurements for Propulsion and Power PDF

Lead Center: GRC

Participating Center(s): ARC, JPL, MSFC

To reduce the development time of advanced future systems needed for space exploration, physics-based modeling tools are sought for: Electrochemical systems such as batteries, fuel cells and electrolyzers. Nuclear power and nuclear power based propulsion systems. Microfluidic electrospray… Read more>>

o Z1.02Solid-State Thermal-to-Electric Power Generation PDF

Lead Center: JPL

Participating Center(s): GRC, JSC

Future NASA missions require power generation capabilities beyond what can be easily supported using solar arrays or chemical fuel cells. Thermal-to-Electric materials and systems working in conjunction with nuclear systems have the potential to serve this need and to operate at distances from the… Read more>>

• + Expand Lightweight Materials, Structures, and Advanced Manufacturing/Assembly Topic

Topic Z2 Lightweight Materials, Structures, and Advanced Manufacturing/Assembly PDF

The Lightweight Materials, Structures, and Advanced Manufacturing/Assembly SBIR topic area will focus on technologies that will enable mass reduction, improved performance, lower cost and scalability of the material and structural systems that will be critical to NASA’s space exploration and missions. As NASA strives to explore deeper into space than ever before, improvements in all of these areas will be critical. For example, mass reduction is an ever-present goal in the development of space exploration systems. Reductions in structural mass can either enable additional payload to be launched to orbit or reduce the mass of the payload that must be returned to Earth or landed on another planetary surface. Application areas for the material, structural, and manufacturing/assembly technologies developed under this SBIR topic include launch








and crew vehicles, in-space transportation elements, habitation and crew-transfer systems, surface systems, and other systems used for space exploration.

Since this topic area has a broad range of interest, subtopics are selected by the Space Technology Mission Directorate to enhance and/or fill gaps in the exploration technology development programs and to complement other mission directorate topic areas. Advances in composite, metallic, and ceramic material systems are of interest in this topic, as are advances in the associated manufacturing methods for these various material systems. Significant advances can be realized by improvements in material formulation through improvements in the capabilities to manufacture and assemble large-scale structural components. Therefore, subtopics of interest will include but will not be limited to nanomaterial and nanostructures development, advanced metallic materials and processes development, and large-scale polymer matrix composite structures, materials, and manufacturing technologies. Other sub-topic areas may be added as required to address specific agency needs.

The subtopic of interest for FY15 addresses large-scale polymer matrix composite (PMC) structures and materials, and concentrates on developing lightweight structures using advanced materials technologies and new manufacturing processes. Out of autoclave material systems and processing as well as joining technologies to enable 5 – 9 m diameter composite structures will be of interest. The specific needs and metrics of this focus area is described in the subtopic description.

Research awarded under this topic should be conducted to demonstrate technical feasibility (proof of concept) during Phase I and show a path toward a Phase II hardware demonstration, and when possible, deliver a full-scale demonstration unit for functional and environmental testing at the completion of the Phase II contract.

References:

o (http://www.nasa.gov/directorates/spacetech/home/index.html). o Z2.01Large-Scale Polymer Matrix Composite (PMC) Structures, Materials, and

Manufacturing Processes PDF

Lead Center: MSFC


http://www.nasa.gov/directorates/spacetech/home/index.html


The subtopic area for Large-Scale Polymer Matrix Composite (PMC) Structures and Materials concentrates on developing lightweight structures, using advanced materials technologies and new manufacturing processes. The objective of the subtopic is to advance technology readiness levels of PMC materials… Read more>>

• + Expand Entry, Descent, and Landing Topic

Topic Z3 Entry, Descent, and Landing PDF

The Entry, Descent and Landing topic area will focus on technologies that enable EDL for NASA’s challenging future planetary and Earth return missions. Functional areas, or subtopics, of interest include:

o Engineering Instrumentation - Sensors and sensor systems are needed, that will gather engineering data during EDL, for validating models, improving future missions, and generally advancing the state of the art. Sensors of interest include heatshield and backshell heating, pressure, radiometric and spectroscopic instruments, cameras for imaging critical events, and minimally-intrusive techniques such as wireless or acoustic systems. Key characteristics that are sought include: modularity; low mass, power, and volume; and minimal cost for the sensor system, which includes data acquisition, transfer, and storage.

o Guidance and Control Techniques for EDL - Advancements in hardware and software for autonomously guiding entry vehicles to specific landing sites will enable an increase in productive time on a planetary surface, or allow aggregation of surface assets. Achieving virtually pinpoint landings may require modified vehicle shapes, control methods that operate in extreme environments, or other hardware innovations. Accompanying numerical algorithms need to efficiently and robustly manipulate the vehicle system through the hypersonic, supersonic, and subsonic flight regimes.

o Advanced Materials - This subtopic seeks specific materials innovations that are unique to EDL, including thermal protection systems, multifunctional structures, and inflatable and deployable decelerator concepts.

o Modeling and Simulation - Innovative M&S tools that will provide insight into system and subsystem performance, design decisions, and trade-offs are sought. Physics-based models that can facilitate a move towards computational validation, or models grounded in flight data, are particularly of interest. The focus is on the reduction of overall development time and cost for advanced future systems needed for space exploration.

o Z3.01Wireless Cameras for Entry, Descent, and Landing Reconstruction PDF

Lead Center: JPL







This subtopic seeks innovative solutions for the collection of high resolution, high frame rate, and low distortion imagery of key events and hardware during entry, descent, and landing. This would enable the capture of valuable forensic images for spacecraft events such as the deployment and… Read more>>

• + Expand Small Spacecraft Technology Topic

Topic Z4 Small Spacecraft Technology PDF

This topic seeks innovative technologies for components and subsystems for small spacecraft ranging in size from cubesat-scale up to approximately 100 kilograms in mass. These spacecraft are intended for science, exploration, and other missions in Earth orbit and in regions of the inner solar system beyond Earth.

Proposals are sought for projects that can produce, by the end of Phase II, flight-quality hardware or at least proto-flight hardware for the designated components or subsystems that might then be integrated into spacecraft for technology demonstration flights. Several specific technology areas are of interest in this solicitation:

o Solar arrays, energy storage, and integrated power systems for small spacecraft. The primary power requirement is for electric propulsion systems although these spacecraft might also utilize significant electrical power for communications and payload operations.

o Navigation and attitude determination systems for small spacecraft operating beyond low-Earth orbit to provide precise knowledge of the spacecraft state (position, attitude, and rates in all axes) without reliance on the Global Positioning System or similar Earth-orbit references or planetary magnetic fields.

o Structural design concepts for small spacecraft that offer significant advantages over conventional structures in one or more of the following ways:

Reduce mass while maintaining adequate strength. Provide thermal management features for the spacecraft such as enhanced

heat transfer and heat rejection. Provide radiation shielding to other spacecraft components. Enhance the ease of assembly and integration of spacecraft.

o Z4.01Small Spacecraft in Deep Space: Power, Navigation, and Structures PDF

Lead Center: ARC





This subtopic seeks innovative technologies for components and subsystems for small spacecraft ranging in size from cubesat-scale up to spacecraft of approximately 100 kilograms in mass. These spacecraft are intended for science, exploration, and other missions in Earth orbit and, in particular,… Read more>>

• + Expand Assistive Free-Flyers Topic

Topic Z5 Assistive Free-Flyers PDF

The Assistive Free-Flyers (AFF) topic area focuses on technology to enhance the capabilities and performance of small, free-flying robots that assist humans. AFF's can complement astronauts in space by performing tasks that are tedious, highly repetitive, dangerous or long-duration. AFF's can also provide side-by-side assistance to astronauts by carrying tools/materials, providing procedure support, etc.

AFF's can potentially be applied to a wide variety of tasks including in-flight maintenance, spacecraft health-management, environmental monitoring surveys (air quality, radiation, lighting, sound levels, etc.), and automated logistics management (inventory, inspection, etc.).

AFF's can be used when humans are present to off-load routine work, to increase human productivity, and to handle contingencies. AFF's can also be used when humans are not present, such as during "pre-deployment" and quiescent periods, to perform spacecraft caretaking. In particular, AFF's could be used to enable mobile monitoring, maintenance, and repair of spacecraft before, and between, crews.

o Z5.01Payload Technologies for Assistive Free-Flyers PDF

Lead Center: ARC

Participating Center(s): JPL, JSC

The objective of this subtopic is to develop technology that can be integrated as external payloads on assistive free-flyers (AFF). AFFs are small free-flying robots that assist humans in exploration, surveillance, inspection, mapping, and other work Current AFFs include space free-flyers, micro… Read more>>

• + Expand Advanced Metallic Materials and Processes Innovation Topic

Topic Z6 Advanced Metallic Materials and Processes Innovation PDF








NASA is using several manufacturing processes supporting the Space Launch System to create structures with superior mechanical properties and increased reliability. Advancing the state of the art for advanced metallic materials and processes will continue to be a critical technology to build more efficient space vehicles with less expensive materials.

This topic seeks to develop new and innovative materials and manufacturing processes (both additive and subtractive) for lightweight and/or multifunctional metallic components and structures for NASA and related applications. Technologies that can enable joining of new or dissimilar materials, as well as significantly reduce costs, increase production rates, and improve weld quality should be considered.

Technologies should result in components with minimal or no machining; Technologies should provide novel techniques for producing high-strength components and joints that are highly free of defects. Emphasis on reduced structural mass, improves processing lead-time, and minimizes touch labor and final assembly steps, resulting in increased capability, reliability and reduced cost.

o Z6.01Advanced Metallic Materials and Processes Innovation PDF

Lead Center: MSFC

Participating Center(s): JPL, LaRC

This subtopic seeks innovative processes and development of metallic material systems. This subtopic has an emphasis on solid state welding practices including but not limited to: ultrasonic, thermal, and friction stir welding; new concepts for built up structure approaches for lightweight… Read more>>



Joe Migliaccio is MTI’s Director of Business Development and is responsible for identifying early and later-stage companies with innovative technology and to familiarize them with the funding opportunities at MTI. He is familiar with all MTI programs including TechStart Grants, Seed Grants, Development Loans, Equity funding, and SBIR/STTR Phase 0 KickStarter Grants. Book a meeting with Joe to learn how your idea may fit into MTI’s portfolio of opportunities.

Kris Burton is the Director of Technology Commercialization for the Department of Industrial Cooperation at the University of Maine. Kris focuses on transferring knowledge and technology from the university to organizations and companies that can put it to profitable use. Contact Kris if your company has an interest in commercializing university technology, using university facilities, or collaborating with the university to complete a research project.