NEWTON CP FOA DE-FOA-0003418.pdf

Questions about this FOA? Check the Frequently Asked Questions available at http://arpa-e.energy.gov/faq. For questions that have not already been answered, email ARPA-E-CO@hq.doe.gov (with FOA name and number in subject line); see FOA Sec. VII.A.

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AR-311-03.24

FINANCIAL ASSISTANCE

FUNDING OPPORTUNITY ANNOUNCEMENT

ADVANCED RESEARCH PROJECTS AGENCY – ENERGY (ARPA-E)

U.S. DEPARTMENT OF ENERGY

NUCLEAR ENERGY WASTE TRANSMUTATION OPTIMIZED NOW

(NEWTON)

Announcement Type: Initial Announcement Funding Opportunity No. DE-FOA-0003418

CFDA Number 81.135

Funding Opportunity Announcement (FOA) Issue Date: July 16, 2024

First Deadline for Questions to ARPA-E-CO@hq.doe.gov: 5 PM ET, August 6, 2024

Submission Deadline for Concept Papers: 9:30 AM ET, August 16, 2024

Second Deadline for Questions to ARPA-E-CO@hq.doe.gov: 5 PM ET, TBD

Submission Deadline for Full Applications: 9:30 AM ET, TBD

Submission Deadline for Replies to Reviewer Comments: 5 PM ET, TBD

Expected Date for Selection Notifications: January 2025

Total Amount to Be Awarded Approximately $40 million, subject to the availability of appropriated funds to be shared between FOAs DE-FOA- 0003418 and DE-FOA-0003419.

Anticipated Awards ARPA-E may issue one, multiple, or no awards under this FOA. The Federal share of awards may vary between $1 million and $10 million.

• For eligibility criteria, see Section III.A of the FOA.

• For cost share requirements under this FOA, see Section III.B of the FOA.

• To apply to this FOA, Applicants must register with and submit application materials through ARPA-E eXCHANGE (https://arpa-e-foa.energy.gov/Registration.aspx). For detailed guidance on using ARPA-E eXCHANGE, see Section IV.H.1 of the FOA.

• Applicants are responsible for meeting each submission deadline. Applicants are strongly encouraged to submit their applications at least 48 hours in advance of the submission deadline.

• For detailed guidance on compliance and responsiveness criteria, see Sections III.C.1 through III.C.4 of the FOA.

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Questions about this FOA? Check the Frequently Asked Questions available at http://arpa-e.energy.gov/faq. For questions that have not already been answered, email ARPA-E-CO@hq.doe.gov (with FOA name and number in subject line); see FOA Sec. VII.A.

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TABLE OF CONTENTS

REQUIRED DOCUMENTS CHECKLIST ................................................................................................................... - 1 -

I. FUNDING OPPORTUNITY DESCRIPTION ..................................................................................................... - 2 -

A. AGENCY OVERVIEW ........................................................................................................................................... - 2 - B. PROGRAM OVERVIEW........................................................................................................................................ - 3 - C. PROGRAM OBJECTIVES ....................................................................................................................................... - 8 - D. TECHNICAL CATEGORIES OF INTEREST ................................................................................................................... - 9 - E. TECHNICAL PERFORMANCE OBJECTIVES .............................................................................................................. - 11 -

II. AWARD INFORMATION ........................................................................................................................... - 14 -

A. AWARD OVERVIEW ......................................................................................................................................... - 14 - B. RENEWAL AWARDS ......................................................................................................................................... - 14 - C. ARPA-E FUNDING AGREEMENTS .................................................................................................................. - 15 -

1. COOPERATIVE AGREEMENTS........................................................................................................................ - 15 -

2. FUNDING AGREEMENTS WITH FFRDCS/DOE LABS, GOGOS, AND FEDERAL INSTRUMENTALITIES .......................... - 15 -

3. OTHER TRANSACTIONS AUTHORITY .............................................................................................................. - 16 -

D. STATEMENT OF SUBSTANTIAL INVOLVEMENT ................................................................................................... - 17 -

III. ELIGIBILITY INFORMATION .................................................................................................................. - 18 -

A. ELIGIBLE APPLICANTS ....................................................................................................................................... - 18 -

1. INDIVIDUALS ............................................................................................................................................. - 18 -

2. DOMESTIC ENTITIES ................................................................................................................................... - 18 -

3. FOREIGN ENTITIES ..................................................................................................................................... - 18 -

4. CONSORTIUM ENTITIES ............................................................................................................................... - 19 -

B. COST SHARING ............................................................................................................................................... - 19 -

1. BASE COST SHARE REQUIREMENT ................................................................................................................ - 19 -

2. INCREASED COST SHARE REQUIREMENT ........................................................................................................ - 20 -

3. REDUCED COST SHARE REQUIREMENT .......................................................................................................... - 20 -

4. LEGAL RESPONSIBILITY ............................................................................................................................... - 21 -

5. COST SHARE ALLOCATION ........................................................................................................................... - 21 -

6. COST SHARE TYPES AND ALLOWABILITY ........................................................................................................ - 21 -

7. COST SHARE CONTRIBUTIONS BY FFRDCS AND GOGOS .................................................................................. - 22 -

8. COST SHARE VERIFICATION ......................................................................................................................... - 23 -

C. OTHER ...................................................................................................................................................... - 23 -

1. COMPLIANT CRITERIA ................................................................................................................................. - 23 -

2. RESPONSIVENESS CRITERIA.......................................................................................................................... - 24 -

3. SUBMISSIONS SPECIFICALLY NOT OF INTEREST ................................................................................................. - 25 -

4. LIMITATION ON NUMBER OF SUBMISSIONS .................................................................................................... - 25 -

IV. APPLICATION AND SUBMISSION INFORMATION ................................................................................. - 26 -

A. APPLICATION PROCESS OVERVIEW ..................................................................................................................... - 26 -

1. REGISTRATION IN ARPA-E eXCHANGE....................................................................................................... - 26 -

2. CONCEPT PAPERS ...................................................................................................................................... - 26 -

3. FULL APPLICATIONS ................................................................................................................................... - 26 -

4. REPLY TO REVIEWER COMMENTS ................................................................................................................. - 27 -http://arpa-e.energy.gov/faq mailto:ExchangeHelp@hq.doe.gov

Questions about this FOA? Check the Frequently Asked Questions available at http://arpa-e.energy.gov/faq. For questions that have not already been answered, email ARPA-E-CO@hq.doe.gov (with FOA name and number in subject line); see FOA Sec. VII.A.

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5. PRE-SELECTION CLARIFICATIONS AND “DOWN-SELECT” PROCESS ...................................................................... - 27 -

6. SELECTION FOR AWARD NEGOTIATIONS ........................................................................................................ - 27 -

B. APPLICATION FORMS ....................................................................................................................................... - 28 - C. CONTENT AND FORM OF CONCEPT PAPERS ..................................................................................................... - 28 -

1. CONCEPT PAPER ........................................................................................................................................ - 29 - A. CONCEPT SUMMARY .................................................................................................................................. - 29 - B. INNOVATION AND IMPACT .......................................................................................................................... - 29 - C. PROPOSED WORK ..................................................................................................................................... - 29 - D. TEAM ORGANIZATION AND CAPABILITIES ...................................................................................................... - 30 -

D. CONTENT AND FORM OF FULL APPLICATIONS .................................................................................................. - 30 - E. INTERGOVERNMENTAL REVIEW ......................................................................................................................... - 30 - F. FUNDING RESTRICTIONS ................................................................................................................................... - 30 -

1. ALLOWABLE COSTS .................................................................................................................................... - 30 -

2. PRE-AWARD COSTS ................................................................................................................................... - 30 -

3. PATENT COSTS .......................................................................................................................................... - 31 -

4. CONSTRUCTION ......................................................................................................................................... - 31 -

5. FOREIGN TRAVEL ....................................................................................................................................... - 31 -

6. PERFORMANCE OF WORK IN THE UNITED STATES............................................................................................ - 31 -

7. PURCHASE OF NEW EQUIPMENT .................................................................................................................. - 32 -

8. TECHNOLOGY TRANSFER AND OUTREACH ...................................................................................................... - 32 -

9. LOBBYING ................................................................................................................................................ - 33 -

10. CONFERENCE SPENDING ............................................................................................................................. - 33 -

11. INDEPENDENT RESEARCH AND DEVELOPMENT COSTS....................................................................................... - 33 -

12. PROHIBITION ON CERTAIN TELECOMMUNICATIONS AND VIDEO SURVEILLANCE SERVICES OR EQUIPMENT ................. - 34 -

13. BUY AMERICA REQUIREMENT FOR PUBLIC INFRASTRUCTURE PROJECTS .............................................................. - 34 -

14. REQUIREMENT FOR FINANCIAL PERSONNEL .................................................................................................... - 35 -

G. OTHER SUBMISSION REQUIREMENTS ............................................................................................................. - 35 -

1. USE OF ARPA-E eXCHANGE .................................................................................................................... - 35 -

V. APPLICATION REVIEW INFORMATION ..................................................................................................... - 37 -

A. CRITERIA ....................................................................................................................................................... - 37 -

1. CRITERIA FOR CONCEPT PAPERS ................................................................................................................... - 37 -

2. CRITERIA FOR FULL APPLICATIONS ................................................................................................................ - 38 -

3. CRITERIA FOR REPLIES TO REVIEWER COMMENTS ............................................................................................ - 38 -

B. REVIEW AND SELECTION PROCESS ...................................................................................................................... - 38 -

1. PROGRAM POLICY FACTORS ........................................................................................................................ - 38 -

2. ARPA-E REVIEWERS ................................................................................................................................. - 39 -

3. ARPA-E SUPPORT CONTRACTORS ............................................................................................................... - 39 -

C. ANTICIPATED ANNOUNCEMENT AND AWARD DATES ........................................................................................ - 40 -

VI. AWARD ADMINISTRATION INFORMATION ......................................................................................... - 41 -

A. AWARD NOTICES ............................................................................................................................................ - 41 -

1. REJECTED SUBMISSIONS ............................................................................................................................. - 41 -

2. CONCEPT PAPER NOTIFICATIONS .................................................................................................................. - 41 -

3. FULL APPLICATION NOTIFICATIONS ............................................................................................................... - 41 -

B. ADMINISTRATIVE AND NATIONAL POLICY REQUIREMENTS ..................................................................................... - 41 -http://arpa-e.energy.gov/faq

Questions about this FOA? Check the Frequently Asked Questions available at http://arpa-e.energy.gov/faq. For questions that have not already been answered, email ARPA-E-CO@hq.doe.gov (with FOA name and number in subject line); see FOA Sec. VII.A.

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1. UNIQUE ENTITY IDENTIFIER AND SAM, FSRS, AND FEDCONNECT REGISTRATIONS ............................................... - 42 -

2. NATIONAL POLICY ASSURANCES ................................................................................................................... - 43 -

3. PROOF OF COST SHARE COMMITMENT AND ALLOWABILITY .............................................................................. - 43 -

4. COST SHARE PAYMENTS ............................................................................................................................. - 43 -

5. ENVIRONMENTAL IMPACT QUESTIONNAIRE ................................................................................................... - 44 -

6. TECHNOLOGY-TO-MARKET PLAN ................................................................................................................. - 44 -

7. INTELLECTUAL PROPERTY AND DATA MANAGEMENT PLANS ............................................................................. - 44 -

8. U.S. COMPETITIVENESS .............................................................................................................................. - 45 -

9. CORPORATE FELONY CONVICTIONS AND FEDERAL TAX LIABILITY ........................................................................ - 46 -

10. APPLICANT RISK ANALYSIS .......................................................................................................................... - 47 -

11. RECIPIENT INTEGRITY AND PERFORMANCE MATTERS ....................................................................................... - 47 -

12. NONDISCLOSURE AND CONFIDENTIALITY AGREEMENTS REPRESENTATIONS .......................................................... - 48 -

13. INTERIM CONFLICT OF INTEREST POLICY FOR FINANCIAL ASSISTANCE .................................................................. - 49 -

14. COMMERCIALIZATION PLAN AND SOFTWARE REPORTING ................................................................................. - 49 -

15. FRAUD, WASTE, AND ABUSE ....................................................................................................................... - 49 -

C. REPORTING................................................................................................................................................ - 50 -

VII. AGENCY CONTACTS ............................................................................................................................. - 51 -

A. COMMUNICATIONS WITH ARPA-E .................................................................................................................... - 51 - B. DEBRIEFINGS .................................................................................................................................................. - 52 -

VIII. OTHER INFORMATION ......................................................................................................................... - 53 -

A. TITLE TO SUBJECT INVENTIONS .......................................................................................................................... - 53 - B. GOVERNMENT RIGHTS IN SUBJECT INVENTIONS.................................................................................................... - 53 -

1. GOVERNMENT USE LICENSE ........................................................................................................................ - 54 -

2. MARCH-IN RIGHTS .................................................................................................................................... - 54 -

C. RIGHTS IN TECHNICAL DATA ......................................................................................................................... - 54 - D. PROTECTED PERSONALLY IDENTIFIABLE INFORMATION ...................................................................................... - 55 - E. FOAS AND FOA MODIFICATIONS ...................................................................................................................... - 55 - F. OBLIGATION OF PUBLIC FUNDS.......................................................................................................................... - 56 - G. REQUIREMENT FOR FULL AND COMPLETE DISCLOSURE ...................................................................................... - 56 - H. RETENTION OF SUBMISSIONS ........................................................................................................................ - 56 - I. MARKING OF CONFIDENTIAL INFORMATION ........................................................................................................ - 56 - J. EXPORT CONTROL INFORMATION ...................................................................................................................... - 57 - K. COMPLIANCE AUDIT REQUIREMENT ................................................................................................................... - 57 -

IX. GLOSSARY ........................................................................................................................................... - 58 -http://arpa-e.energy.gov/faq

Questions about this FOA? Check the Frequently Asked Questions available at http://arpa-e.energy.gov/faq. For questions that have not already been answered, email ARPA-E-CO@hq.doe.gov (with FOA name and number in subject line); see FOA Sec. VII.A.

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- 1 -

REQUIRED DOCUMENTS CHECKLIST

For an overview of the application process, see Section IV.A of the FOA.

For guidance regarding requisite application forms, see Section IV.B of the FOA.

For guidance regarding the content and form of Concept Papers, Full Applications, and Replies to Reviewer Comments, see Sections IV.C, IV.D, and IV.E of the FOA.

SUBMISSION COMPONENTS

OPTIONAL/

MANDATORY

FOA

SECTION

DEADLINE

Concept Paper

• Each Applicant must submit a Concept Paper in Adobe PDF format by the stated deadline. The Concept Paper must not exceed 4 pages in length including graphics, figures, and/or tables, and must include the following:

o Concept Summary o Innovation and Impact o Proposed Work o Team Organization and Capabilities

Mandatory IV.C

9:30 AM ET,

August 16, Full Application

[TO BE INSERTED BY FOA MODIFICATION IN OCTOBER

2024]

Mandatory IV.D

9:30 AM ET,

TBD

Reply to Reviewer Comments

[TO BE INSERTED BY FOA MODIFICATION IN OCTOBER

2024] Optional IV.E 5 PM ET, TBD http://arpa-e.energy.gov/faq mailto:ARPA-E-OpenFOA@hq.doe.gov

Questions about this FOA? Check the Frequently Asked Questions available at http://arpa-e.energy.gov/faq. For questions that have not already been answered, email ARPA-E-CO@hq.doe.gov (with FOA name and number in subject line); see FOA Sec. VII.A.

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- 2 -

I. FUNDING OPPORTUNITY DESCRIPTION

A. AGENCY OVERVIEW

The Advanced Research Projects Agency – Energy (ARPA-E), an organization within the Department of Energy (DOE), is chartered by Congress in the America COMPETES Act of 2007 (P.L. 110-69), as amended by the America COMPETES Reauthorization Act of 2010 (P.L. 111- 358), as further amended by the Energy Act of 2020 (P.L. 116-260):

“(A) to enhance the economic and energy security of the United States through the development of energy technologies that—

(i) reduce imports of energy from foreign sources;

(ii) reduce energy-related emissions, including greenhouse gases;

(iii) improve the energy efficiency of all economic sectors;

(iv) provide transformative solutions to improve the management, clean-up, and disposal of radioactive waste and spent nuclear fuel; and

(v) improve the resilience, reliability, and security of infrastructure to produce, deliver, and store energy; and

(B) to ensure that the United States maintains a technological lead in developing and deploying advanced energy technologies.”

ARPA-E issues this Funding Opportunity Announcement (FOA) under its authorizing statute codified at 42 U.S.C. § 16538. The FOA and any cooperative agreements or grants made under this FOA are subject to 2 C.F.R. Part 200 as supplemented by 2 C.F.R. Part 910.

ARPA-E funds research on, and the development of, transformative science and technology solutions to address the energy and environmental missions of the Department. The agency focuses on technologies that can be meaningfully advanced with a modest investment over a defined period of time in order to catalyze the translation from scientific discovery to early-stage technology. For the latest news and information about ARPA-E, its programs and the research projects currently supported, see: http://arpa-e.energy.gov/.

ARPA-E funds transformational research. Existing energy technologies generally progress on established “learning curves” where refinements to a technology and the economies of scale that accrue as manufacturing and distribution develop drive improvements to the cost/performance metric in a gradual fashion. This continual improvement of a technology is important to its increased commercial deployment and is appropriately the focus of the private sector or the applied technology offices within DOE. In contrast, ARPA-E supports transformative research that has the potential to create fundamentally new learning curves.

ARPA-E technology projects typically start with cost/performance estimates well above the level of an incumbent technology. Given the high risk inherent in these projects, many will fail to progress, but some may succeed in generating a new learning curve with a projected cost/performance metric that is significantly better than that of the incumbent technology.

http://arpa-e.energy.gov/faq mailto:ARPA-E-OpenFOA@hq.doe.gov http://arpa-e.energy.gov/

Questions about this FOA? Check the Frequently Asked Questions available at http://arpa-e.energy.gov/faq. For questions that have not already been answered, email ARPA-E-CO@hq.doe.gov (with FOA name and number in subject line); see FOA Sec. VII.A.

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- 3 -

ARPA-E funds technology with the potential to be disruptive in the marketplace. The mere creation of a new learning curve does not ensure market penetration. Rather, the ultimate value of a technology is determined by the marketplace, and impactful technologies ultimately become disruptive – that is, they are widely adopted and displace existing technologies from the marketplace or create entirely new markets. ARPA-E understands that definitive proof of market disruption takes time, particularly for energy technologies. Therefore, ARPA-E funds the development of technologies that, if technically successful, have clear disruptive potential, e.g., by demonstrating capability for manufacturing at competitive cost and deployment at scale.

ARPA-E funds applied research and development. The Office of Management and Budget defines “applied research” as an “original investigation undertaken in order to acquire new knowledge…directed primarily towards a specific practical aim or objective” and defines “experimental development” as “creative and systematic work, drawing on knowledge gained from research and practical experience, which is directed at producing new products or processes or improving existing products or processes.”1 Applicants interested in receiving financial assistance for basic research (defined by the Office of Management and Budget as “experimental or theoretical work undertaken primarily to acquire new knowledge of the underlying foundations of phenomena and observable facts”)1 should contact the DOE’s Office of Science (http://science.energy.gov/). Office of Science national scientific user facilities (http://science.energy.gov/user-facilities/) are open to all researchers, including ARPA-E Applicants and awardees. These facilities provide advanced tools of modern science including accelerators, colliders, supercomputers, light sources and neutron sources, as well as facilities for studying the nanoworld, the environment, and the atmosphere. Projects focused on early-stage R&D for the improvement of technology along defined roadmaps may be more appropriate for support through the DOE applied energy offices including: the Office of Energy Efficiency and Renewable Energy (http://www.eere.energy.gov/), the Office of Fossil Energy and Carbon Management (https://www.energy.gov/fecm/office-fossil-energy-and-carbon-management), the Office of Nuclear Energy (http://www.energy.gov/ne/office-nuclear-energy), and the Office of Electricity (https://www.energy.gov/oe/office-electricity).

B. PROGRAM OVERVIEW

The Nuclear Energy Waste Transmutation Optimized Now (NEWTON) program will support the research and development of technologies that enable the transmutation of used nuclear fuel (UNF) to alleviate the impact of storage in permanent disposal facilities. This program seeks to fund the development of novel technologies that increase the overall capacity factor, power output, and efficiency of particle generation systems (including but not limited to proton, neutron, and/or photon), by reducing beam trip magnitude and duration (referred to as loss of beam). Additional technologies will focus on increasing the throughput of transmutation by developing target materials that maximize transmutation rates and are easily processible to remove the transmuted material.

1 OMB Circular A-11 (https://www.whitehouse.gov/wp-content/uploads/2018/06/a11_web_toc.pdf), Section 84, pg. 3.

mailto:ARPA-E-OpenFOA@hq.doe.gov mailto:ExchangeHelp@hq.doe.gov http://science.energy.gov/ http://science.energy.gov/user-facilities/ http://www.eere.energy.gov/ https://www.energy.gov/fecm/office-fossil-energy-and-carbon-management https://www.energy.gov/fecm/office-fossil-energy-and-carbon-management http://www.energy.gov/ne/office-nuclear-energy https://www.energy.gov/oe/office-electricity

Questions about this FOA? Check the Frequently Asked Questions available at http://arpa-e.energy.gov/faq. For questions that have not already been answered, email ARPA-E-CO@hq.doe.gov (with FOA name and number in subject line); see FOA Sec. VII.A.

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- 4 -

The United States does not currently have an active facility for the permanent disposal of used nuclear fuel derived from the civilian nuclear sector. Used nuclear fuel comprises several classes of isotopes that could be processed in different ways due to their economic value.

Firstly, uranium (U), which comprises greater than 95% of the mass of UNF, can be reprocessed and converted back into fuel for light-water reactors through the addition of small amounts of uranium-235 (U-235). Secondly, plutonium (Pu) and minor actinides (MAs), such as neptunium (Np), americium (Am), and curium (Cm), which together comprise roughly 1.5% of UNF by mass, are produced from nuclear fission. Many of these isotopes are fissionable and could be incorporated into fuels designed for advanced reactor concepts.2 Intermediate-lived fission products (ILFPs) including strontium-90 (Sr-90) and caesium-137 (Cs-137) have relatively short half-lives of roughly 30 years and have applications in radioisotope thermoelectric generators for space applications. However, ILFPs are largely destined for permanent disposal in a deep geological repository.3 The major long-lived fission products (LLFPs) have half-lives exceeding 200,000 years and have few commercial applications. LLFPS include selenium-79 (Se-79), technetium-99 (Tc-99), tin-126 (Sn-126), iodine-129 (I-129), and caesium-135 (Cs-135). The last class of isotopes are the stable isotopes produced from nuclear fission and resulting decay.

These isotopes could be extracted from UNF, but no commercial processing of these have been undertaken.

A deep geological disposal facility for the disposition of UNF in the U.S. has been estimated to cost $96.18 billion over the 150-year lifetime, after which the facility would cease to accept new waste.4 This facility would be able to store 70,000 metric tons (MT) of unprocessed UNF, which is insufficient for the existing volume of civilian waste. Densification of the waste can be accomplished through removal of the plutonium, minor actinides, and ILFP components of the UNF. Removal of 99.9% of these components would allow a densification factor of 225, based on current disposal requirements, thus allowing a single repository to store upwards of approximately 16 million MT of UNF.5 The LLFPs are responsible for many of the engineered barriers that are required to be built in the repository due to their long half-lives and environmental mobility.6 Removal of these LLFPs could decrease the capital expenditure of a permanent geological repository while also improving safety.

Transmutation is a process in which an isotope is converted to another isotope or element through a nuclear reaction. It is one possible strategy for removal of these isotopes that are problematic for long-term waste disposal strategies. The fission process through which this waste was generated is one example of transmutation, where U-235 absorbs a neutron, 2 Status and Advanced in MOX Fuel Technology. IAEA Technical Report Series No. 415. 2003.

https://www.iaea.org/publications/6562/status-and-advances-in-mox-fuel-technology.

3 Dustin, J.S.; Borrelli, R.A. Assessment of Alternative Radionuclides for use in a Radioisotope Thermoelectric Generator. Nuclear Engineering and Design. 2021, 385, 111475. https://doi.org/10.1016/j.nucengdes.2021.111475.

4 U.S. Department of Energy. Analysis of the Total System Life Cycle Cost of the Civilian Radioactive Waste Management program, Fiscal Year 2007. July 2008. https://www.energy.gov/gc/articles/fy-2007-total-system-life-cycle-cost-pub-2008 5 Wigeland, R.A.; Bauer, T.H.; Fanning, T.H.; Mooris, E.E. Separations and Transmutation Criteria to Improve Utilization of a Geologic Repository. Nuclear Technology. 2006. 151 (1), 95-106. https://doi.org/10.13182/NT06-3.

6 Yang, W.S.; Kim, Y.; Hill, R.N.; Taiwo, T.A.; Khalil, H.S. Long-Lived Fission Product Transmutation Studies. Nuclear Science and Engineering. 2004. 146(3), 291-318. https://doi.org/10.13182/NSE04-A2411.

http://arpa-e.energy.gov/faq

Questions about this FOA? Check the Frequently Asked Questions available at http://arpa-e.energy.gov/faq. For questions that have not already been answered, email ARPA-E-CO@hq.doe.gov (with FOA name and number in subject line); see FOA Sec. VII.A.

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- 5 -converts to uranium-236 (U-236), which then produces two smaller nuclei and emits several high energy neutrons. Radioactive decay (α, β, or γ) is another form of transmutation.

Transmutation can also be initiated through the bombardment of a nucleus with one of many different particles. These particles include alpha particles,7 deuterons,8 neutrons,9 photons,10 and protons.11 The transmutation process can directly generate a stable nucleus or result in a stable nucleus through successive decay events. Transmutation can also generate nuclei with longer half-lives than the original target nucleus.

Direct transmutation with protons was first proposed in 1981.11 Proton beams are generated through accelerators and directly irradiated on the transmutation material. Proton nuclear interactions typically result in (p, xn) or (p, xp) reactions, where the incident proton is absorbed by the nucleus and one or more neutrons is ejected from the nucleus. This results in a steady or decreased atomic mass (A) and variable atomic number (Z). Proton transmutation usually results in low conversion rates due to the low penetration depth of particles.

Accelerator produced proton beams can also be used to initiate spallation reactions. In spallation, incident protons interact with the target nuclei and result in the ejection of several neutrons, creating multiplicity. For good, high Z spallation targets, one incident particle can generate upwards of twenty neutrons.12 Each of these produced neutrons are capable of transmuting material surrounding the spallation target. Neutron reactions include (n, xn), (n, xp), and (n, γ) which produce neutrons, protons, and photons, respectively.

Photon transmutation has been proposed for nuclear waste transmutation through (γ, xn) reactions. These reactions can be driven by high-intensity pulsed terawatt and petawatt lasers which can produce gamma rays. Gamma rays with sufficient energy (comparable to the neutron binding energy in a nucleus) can be absorbed through the giant dipole resonance, which results in the emission of a neutron.13 Sn-126, I-129, and Cs-137 all have very favorable (γ, xn)

7 Pollard, E.; Brasefield, C.J. The Transmutation of Potassium, Chlorine and Phosphorus by Th C’ Alpha-Particles. Phys. Rev. 1936.

50, 890. https://doi.org/10.1103/PhysRev.50.890.

8 Kapur, P.L. A Transmutation Function for Deuterons. Proceedings of the Royal Society A. 1937. 163 (915).

https://doi.org/10.1098/rspa.1937.0244.

9 Taube, M.; Ligou, J.; Bucher, K.H. The Transmutation of Fission Products (Cs-137, Sr-90) in a Liquid Fuelled Fast Fission Reactor with Thermal Column. 1975. EIR Report No. 270. https://moltensalt.org/references/static/downloads/pdf/EIR-270.pdf.

10 Hayakawa, T.; Miyamoto, S.; Hajima, R.; Shizuma, T.; Amano, S.; Hashimoto, S.; Misawa, T. Proposal for Selective Isotope Transmutation of Long-lived Fission Products using Quasi-monochromatic γ-ray Beams. Journal of Nuclear Science and Technology. 2016. 53 (12), 2064-2071. https://doi.org/10.1080/00223131.2016.1194776.

11 Krenciglowa, E.M.; Harms, A.A. An Assessment of Nuclear Waste Transmutation with Proton Accelerators. Nuclear Instrumentation and Methods in Physics Research. 1981. 185 (1-3), 393-400. https://doi.org/10.1016/0029-554X(81)91236-2.

12 Iwamoto, H.; Meigo, S-I. Estimation of uncertainty in lead spallation particle multiplicity and its propagation to a neutron energy spectrum. Journal of Nuclear Science and Technology. 2020. 57 (3), 276-290.

https://doi.org/10.1080/00223131.2019.1671912.

13 Irani, E.; Sadighi, K.; Zare, S.; Sadighi-Bonabi, R. Laser-induced photo transmutation of 126Sn – A Hazardous Nuclear Waste Product – Into Short-lived Nuclear Medicine of 125Sn. Energy Conversion and Management. 2012. 64, 466-472.

https://doi.org/10.1016/j.enconman.2012.05.024.

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- 6 -reactions which can result in the reduction of the half-lives of these isotopes from hundreds of thousands of years to hours or days.14,15

Figure 1 shows the contribution of some major isotopes of UNF to the overall decay heat as a function of time. Unprocessed UNF will reach the radiotoxicity of natural uranium ore after approximately 100,000 years of cooling. Partitioning and recycling of the U, Pu, and MA content of the UNF can dramatically reduce this number to around 300 years.

ARPA-E seeks to make a truly transformative decrease to this time frame, seeking to enable the transmutation of the entirety of the U.S. commercial UNF stockpile within 30 years. This shifts the issue of UNF disposal from an intergenerational issue to an intragenerational one. One accelerator-driven system (ADS) design indicated that with a 25 megawatt (MW), 1 giga-electron volt (GeV) proton beam impinging on a lead spallation target, five subcritical assemblies would be capable of processing all of the MA and Pu content of the U.S. UNF stockpile in 35 full power years.16

Figure 1. Dominant decay heat contributors in spent pressurized water reactor (PWR) fuel irradiated to 50 gigawatt-days per metric ton of heavy metal (GWd/MTHM).5

14 Ledingham, K.W.D.; Magill, J.; McKenna, P.; Yang, J.; Galy, J.; Schenkel. R. Laser-driven Photo-transmutation of 129-I a Long- Lived Nuclear Waste Product. J. Phys. D: Applied Physics. 2003. 36, 79. https://iopscience.iop.org/article/10.1088/0022- 3727/36/18/L01.

15 Sadighi-Bonabi, R.; Kokabee, O. Evaluation of transmutation of 137Cs (γ, n) 136Cs using Ultraintense Lasers. Chin. Phys. Lett.

2006. 23, 061434. https://iopscience.iop.org/article/10.1088/0256-307X/23/6/021/meta.

16 Gohar, Y.; Cao, Y.; Kraus, A.R. ADS Design Concept for disposing of the U.S. Spent Nuclear Fuel Inventory. Annals of Nuclear Energy. 2021. 160, 108385. https://doi.org/10.1016/j.anucene.2021.108385.

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More detailed charts indicating the major isotopic contributors to both decay heat and activity are given in Figures 2 and 3. Note that yttrium-90 (Y-90) and barium-137m (Ba-137m) are decay products of Sr-90 and Cs-137, respectively. Transmutation of Sr-90 and Cs-137 will also eliminate the contribution of their progeny to both decay heat and activity. Transmutation of all Sr-90 and Cs-137 will result in significant (greater than 50%) reductions in both decay heat and activity of the resulting waste streams.

Figure 2. Major decay heat (Watts/MTU) contributors for a PWR-2 assembly after 5 years of cooling.17

Figure 3. Major activity (curies [Ci]/MTU) contributors from a PWR-2 assembly after 5 years of cooling.17

17 Created with data from Hu, J.; Bowman, S.M.; Gauld, I.C.; Peterson, J. US Commercial Spent Nuclear Fuel Assembly Characteristics: 1968-2013. US NRC. https://www.ornl.gov/content/us-commercial-spent-nuclear-fuel-assembly-characteristics- 1968-2013.

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Specific isotopes of interest to this program and their categorization (ILFP, LLFP, Pu, MAs) are given in Table 1. Rhodium-106 (Rh-106), a major contributor to decay heat, is omitted from this table due to its short half-life (roughly 30 seconds). Given the difficulty in isotopic separations from UNF waste streams, both elemental and isotopic transmutation concepts will be considered.

Table 1. Isotopes of interest to the NEWTON program organized by half-life and isotope class.

ILFP LLFP Pu and MAs Isotope Half-life (y) Isotope Half-life (y) Isotope Half-life (y)

Sr-90 28.9 C-14 5.70x103 Ac-227 21.772

Cs-134 2.06 Cl-36 3.01x105 Np-237 2.14x106

Cs-137 30.17 Ni-59 7.6x104 Pu-238 87.7

Pb-210 22.2 Se-79 3.27x105 Pu-239 2.41x104

Zr-93 1.53x106 Pu-240 6560

Nb-94 2.04x104 Pu-241 14.3

Tc-99 2.11x105 Pu-242 3.75x105

Pd-107 6.5x106 Pu-244 8.13x107

Sn-126 2.3x105 Am-241 432

I-129 1.6x107 Am-243 7350

Cs-135 2.3x106 Cm-242 0.446

Sm-147 1.07x1011 Cm-244 18.1

Ra-226 1599 Cm-245 8250

Combined, these targets are envisioned to support a commercially viable transmutation facility that would result in net destruction of minor actinide, intermediate-lived, and long-lived fission product components of UNF, while providing valuable products in the form of medical radioisotopes, isotopic or elemental resources, industrial heat, or electricity. NEWTON is part of a nearly $125 million investment by ARPA-E to manage and reduce the nation’s high-level waste inventory and is designed to complement both the ARPA-E Converting UNF Radioisotopes Into Energy (CURIE) (https://arpa-e.energy.gov/technologies/programs/curie) and Optimizing Nuclear Waste and Advanced Reactor Disposal Systems (ONWARDS) (https://arpa-e.energy.gov/technologies/programs/onwards) programs.

C. PROGRAM OBJECTIVES

The NEWTON program seeks to enable the economic viability of transmutation at a scale that will significantly reduce the mass, volume, activity, and effective half-life of the existing stockpile of commercial UNF to be disposed of in a geological repository. This will be achieved by supporting the research and development of technologies that enable reliable, high-availability particle generation; that speed up the processing cycle of the U.S. UNF stockpile;

that process LLFP and/or ILFP (or couple that with Pu and/or MA transmutation); and that perform these objectives at a cost comparable to permanent disposal in a deep geological repository.

mailto:ExchangeHelp@hq.doe.gov https://arpa-e.energy.gov/technologies/programs/curie https://arpa-e.energy.gov/technologies/programs/onwards

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Specifically, technologies developed under this program must have the potential to enable one or more of the following overarching program objectives:

• Transmutation throughput such that the MAs, ILFPs, and LLFPs in the existing stockpile of UNF in the U.S. could be processed within 30 years;

• Facility availability of ≥ 90%;

• Reduction in the number of long- and short-duration beam trip by an order of magnitude compared to state-of-the-art;

• Reduction of ≥ 60% of the activity of UNF after transmutation and 5-year cooling period;

• Reduction of ≥ 90% of the decay heat generated by UNF after transmutation and 5-year cooling period; and

• Processing technologies that do not produce pure plutonium streams.

In addition to these program objectives, technical category-specific objectives are stated in Section I.E.

D. TECHNICAL CATEGORIES OF INTEREST

The NEWTON program is comprised of three technical categories to support its objectives.

Category A includes technologies related to the generation and acceleration of particle beams that can initiate transmutation reactions. Development of artificial intelligence (AI) and machine learning (ML) algorithms to predict and recover from beam trip events is also within scope. Category B includes modelling, designing, and fabricating target materials for the enhancement of transmutation of UNF component elements or isotopes, technologies on incorporation methods for transmutable materials into a target, and technologies for processing the transmuted material for waste packaging or isolation of valuable products.

Category C will integrate the technologies developed in Categories A and B into a techno-economic analysis (TEA) of a transmutation facility, improving the performance of the entire system. Category C teams will also maintain a materials and components database for transmutation facilities, which will include nuclear data sets.

Applicants can apply to Category A only, Category B only, a combination of Categories A and B, or Category C only, based on their expertise. Category C capabilities teams will perform TEA and life-cycle assessment (LCA) of a transmutation facility that incorporates the breakthrough technologies developed in Categories A and B. Applicants on Category A and B teams will be required to share performance data with Category C teams to inform the construction of the materials database, TEA and LCA, and facility co-design. Performance data will include the following information: power consumption, power output, frequency, wall plug efficiency, radiation tolerance, physical stability, throughput, etc. Category C capabilities teams will support analysis and facilitate communication between Category A and B teams and government and commercial partners. Any of the above sharing of data shall be subject to the requirements set forth below under Section I.D.3 that apply to such data sharing.

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1. CATEGORY A – IMPROVED EFFICIENCY AND RELIABILITY OF PARTICLE

GENERATION AND ACCELERATION

Applicants to this category will develop and fabricate proof-of-concept design of components for particle generation systems that improve reliability and energy efficiency and reduce capital costs. These components include but are not limited to klystrons, radio frequency (RF) power sources, superconducting RF cavities, cryosystems, and beam port windows. Validation of component performance under normal and off-normal conditions is required under this category. Experimental validation of component performance is preferred; however, computer modeling is also acceptable. The development of AI/ML algorithms to apply to accelerator facilities to reduce loss of beam is also within the scope of Category A technologies. Particle generation systems include, but are not limited to, linear accelerators (LINAC), cyclotrons, and laser-Compton scattering sources.

Transmutation technologies…