March 23, 1989

1. “Nuclear Reactions in Micro/Nano-Scale Metal Particles”Yeong E. KimDepartment of Physics, Purdue UniversityWest Lafayette, Indiana 47907, USAAugust 22, 2011BACKGROUD • The first invited talk on the subject was presented at the First APFB1999 conference, Tokyo, Japan, August 23 – 28, 1999, organized by Professor Shinsho Oryu et al. : • Y. E Kim and A. L. Zubarev, “Effective Linear Two-Body Method for Many-Body Problems In Atomic and Nuclear Physics”, Few-Body Systems Supplement 12, edited by S. Oryu, M. Kamimura, and S. Ishikawa, pages 7-14 (2000). • Since 1999, there have been 9 refereed publications and 7 papers in conference proceedings.

2. March 23, 1989 • Pons and Fleischmann announced that electrochemical cells with heavy water are producing more heat than can be accounted for by chemical means and speculated that nuclear reactions must be occurring. • Thousands of scientists worldwide attempted experiments—most failed Initial Claim: Radiationless fusion reaction (Electrolysis Exp.) D + D → 4He + 23.8 MeV (heat) (no gamma rays) According to the conventional nuclear theory in free space, the above fusion reaction is not expected to be observable at room temperature, due to (1) the DD Coulomb repulsion(Gamow factor), and (2) the violation of the momentum conservation in free space.

3. The three well known “hot” dd fusion reactions Reaction [1] Reaction [2] For Elab < 100 keV, the fit is made with σ(E) = Conventional DD Fusion Reactions in Free-Space [1] D + D→ p + T + 4.033 MeV [2] D + D→ n + 3He + 3.270 MeV [3] D + D→ 4He + γ(E2) + 23.847 MeV Measured branching ratios: (σ [1], σ[2], σ[3]) ≈ (0.5, 0.5, 3.4x10-7) In free space it is all about the coulomb barrier!

4. SRI Labyrinth(L and M) Calorimeterand Cell Over 50,000 hours of calorimetry to investigate the Fleishmann–Pons effect have been performed to date, most of it in calorimeters identical or very similar to this.

5. SRI FPE Replication Ic =250mA/cm2 • Current threshold Ic = 250mA/cm2 and linear slope. • Loading threshold • D/Pd > 0.88 D/Pd = 0.88

6. The conditions required for positive electrolysis results:(1) Loading ratio D/Pd > 0.88 and (2) Current density Ic > 250 mA/cm2 In no single experiment did following samples of NULL results simultaneously have the required D/Pd ratio (D/Pd > 0.88) and critical current density (Ic > 250 mA/cm2 ) ! • Caltech (1989/90): N.S. Lewis, et al., Nature 340, 525(1989) • Harwell (1989): Williams et al., Nature 342, 375 (1989) • MIT (1989/90): D. Albagli, et al., J. Fusion Energy 9, 133 (1990) • Bell Labs (1989/90): J. W. Fleming et al., J. Fusion Energy 9, 517 (1990) • GE (1992): Wilson, et al. J. Electroanal. Chem. 332, 1 (1992)

7. SEM images from Dardik, et al., Proceedings of ICCF-14 , 2008 Micro-craters in palladium, possibly following extreme heat release, when loaded with heavy hydrogen in electrolysis experiments. No micro-craters were observed with hydrogen. There have been many other reports of observing the micro-craters from electrolysis experiments with heavy water.

8. A. Kitamura et al./ Physics Letters A 373 (2009) 3109-3112 8

9. (c) Mixed oxides of PdZr Fig. 3(c): A. Kitamura et al., Physics Letters A, 373 (2009) 3109-3112. 10.7-nmφPd 1MPa = 9.87 Atm • Output power of 0.15 W corresponds to Rt ≈ 1 x 109 DD fusions/sec for • D+D → 4He + 23.8 MeV 9

10. Theory of Bose-Einstein Condensation Nuclear Fusion (BECNF) in Metal  In metal, hydrogen (deuterium) atom is ionized and becomesmobile as proton (deuteron) in metal, as proven experimentally by Coehn 1929! This implies that we can achive a very high density (~1022/cm3 !) of deutron-electron plasma in a metal !!  For BECNF theory, assume one single basic concept that deuterons form Bose-Einstein condensates in metal (“nuclear” BEC), and  Develope a consistent physical theory which will • (1) be capable of explaining experimental observations, and • (2) have predictive powers, capable of making theoretical predictions, which can be tested experimentally

11. Boson-Einstein Condensation (BEC) Mechanism N-body Schroedinger equation for the system is (1) (2) where m is the rest mass of the nucleus. [The electron degrees of freedom can be incorporated by using the electron-screened Coulomb potential (Debye screening)]. Equivalent Linear Two-Body (ELTB) Method[Kim and Zubarev, J. Phys. B: At. Mol. Opt. Phys. 33, 55 (2000); Phys. Rev. A 66, 053602 (2002)] (3) Use of a variational principle with leads to (4) Eq. (4) can be solved analytically to obtain the solution for (). 11

12. Optical Theorem Formulation of Nuclear Reactions [Y. E. Kim, A. L. Zubarev, J.-H. Yoon, Y. J. Kim, Phys. Rev. C 55, 801 (1997)] The total elastic nucleus-nucleus amplitude (two potential formula): (5) where is the Coulomb amplitude. (6) where , is the l-th partial wave S-matrix, and is the Coulomb phase shift. The Optical Theorem: (rigorous) (7) (valid for low energies) where is the partial wave reaction cross-section. The elastic scattering amplitude, : (8) where is the Coulomb wave function. For the s-wave, Eqs. (7) and (8) yield (9) 12 12

13. Parameterization of the Short-Range Nuclear Force and Fusion Rates From the previous slide (9) The reaction cross-section is conventionally parameterized as (10) S is the astrophysical S-factor and is the Gamow factor. For the nuclear force , we use the Fermi pseudo-potential to write (11) where is determined from Eqs. (9) and (10) . For our case of N-particles, we obtain the reaction rate from Eq. (9) after replacing by the solution of the N-body Schroedinger Eq. (1): (12) 13 13

14. Fusion Rates for N=2 Case From the previous slide, (12) where is given by the Fermi potential , For N = 2 case, Eq. (13) reduces to where is the solution of the Schroedinger Eq. (1) with N=2. Near is the two-body Coulomb wave function, c(r). From Eq. (13), we have The reaction rate for N = 2 case is proportional to the Gamow factor, , and hence is consistent with the conventional formula for fusion rate for the N=2 case ! (13) (14) 14 14

15. Reaction Rates for Large N (12) (15) (16) where S is the S-factor in units of keV-barn, B = 2ħ / (π me2) = 1.4 x 10-18 cm3/sec x (keV-barn)-1, Dtrap is the average diameter of the trap, ND is the total number of deuterons, N is the number of deuterons in a trap, and nD is the deuteron density. S and  are only two unkown parameters ! Alternative Derivation of R t , Eq. (16): Use of , obtained from solution of the mean-field equation, in Eq. (12) yields Eq. (16) within a factor of 2 ! [Y.E. Kim and A.L. Zubarev, Italian Physical Society Conference Proceeding, Vol. 70, 375 (May 2000)] 15

16. Significances of Theoretical Results • Nuclear fusion rate R for large N does not depend on the Gamow factor in contrast to the reaction rate for nuclear fusion in free space ! • This could provide explanations for overcoming the Coulomb barrier. • This is consistent with Dirac’s conjecture*that boson creation and annihilation operators can be treated simply as numbers when the ground state occupation number is large. This implies that for large N each charged boson behaves as an independent particle in a common average background potential and the Coulomb interaction between two charged bosons is suppressed. *Paul A. M. Dirac, “The Principles of Quantum Mechanics” (second edition), Oxford 1935, Chapter IX, Section 63, p. 235 • There is a similar classical analogy of uniform charge distribution in a sphere.  the electric field is zero at the center. 16

17. BECNF theory can explain the following experimental observations either qualitatively or quantitatively. Experimental Observations from both electrolysis and gas loading experiments (as of 2010, not complete) (over several hundreds publications !): [1] The Coulomb barrier between two deuterons is suppressed [2] Excess heat production (the amount of exess heat indicates its nuclear origin) [3] 4He production comensurate with excess heat production, no 23.8 MeV gamma ray [4] More tritium is produced than neutron R(T) >> R(n) [5] Production of nuclear ashes with anomalous rates: R{4} <<R {6} and R {5} <<R{6} i. e. R(T) << R(4He) and R(n) << R(4He) [6] Production of hot spots and micro-scale crators on metal surface [7] Detection of radiations [8] “Heat-after-death” [9] Requirement of deuteron mobility (D/Pd > 0.9, electric current, pressure gradient, etc.) [10] Requirement of deuterium purity (H/D << 1) 17

18. Proposed Experimental Tests • Experimental tests of the concept of BEC of deuterons in metals (this concept is new) • Experiment 1: Measure the velocity distribution of deuterons by low-energy neutron scattering • Experiment 2: Measure the diffusion rate of deuterons to establish possible superfluidity II. Experimental tests of theoretical predictions • Experiment 3: Temperature dependence of the reaction rate mini-ignitionat extremely low temperatures

19. Fraction of Deuterons in the BEC State in Metal at Various Temperatures • For BOSE-Einstein distribution, a fraction F(T) of deuterons below the temperature T or Ec satisfying can be calculated as where • For T = 300o K with F (300o K) = 0.084 (8.4%)  F(77.3o K) = ~ 0.44 (~44%) ! (Liquid NitrogenTemp.) • F(20.3o K) = ~ 0.94 (~94 %) !! (Liquid Hydrogen Temp.) • F(4.2o K) = ~0.99 (~99 %) !!! (Liquid He-4 Temp.) 19 19

20. ~ 400 nK ~ 200 nK ~ 50 nK In 1995, measurement of the velocity distribution was used to establish the existence of the BEC of atoms in a magnetic trap at extremely low temperatures, for which the Nobel prize was awarded in 2000 to C. Wieman, E. Cornell, and W. Ketterle. • Experiment 1: Measure the velocity distribution of deuterons by low-energy neutron scattering • Experiment 2: Measure the diffusion rates of deuterons to establish possible superfluidity of deuterons in metal • Explore a number of experimental methods for observing the superfluidity • In 1996, the Nobel prize was awarded for discovery of superfluidity of 3He to D. Lee, D. Osheroff, and R. Richardson.

21. Experiment 3: Temperature dependence of the reaction rate - mini-ignition at extremely low temperatures Proposed Experiment 3: D-Pd targets for BECNF D-T targets at National Ignition facility Radiograph of a high-density carbon capsule with a smooth, frozen layer of D-T inside. For BECNF, use 1-cm diameter container filled with micro/nano- scale metal particles pre-loaded with deuterons Left: A 2-mm-diameter polished beryllium ICF capsule with a 10-micron fill tube attached. Right: 2-mm polished high-density carbon ablator capsules with the silicon mandrel inside.

22. Ignition target inserter cyrostat Proposed Experiment 3: Adopt the NIF’s the cryogenic target system for BECNF Cryogenic Target System (NIF) A NIF target is suspended at the end of its cryogenic cooling system via a copper support beam. Precise temperature control is achieved by subcooling the target to below requirements and then using small electric heaters to precisely raise the temperature to the exact level required.

23. Proposed Experiment 3: Use the NIF’s target chamber or a newly built ignition chamber for BECNF Technicians on a specially-designed target chamber service system lift make adjustments to the target alignment sensor and positioner. Target Chamber at National Ignition Facility Cyrogenic Target Positioner (cyroTARPOS) The cryoTARPOS was tested off-site in preparation for installation in the NIF target bay.

24. S. Piantelli, et al. , Department of Physics, University of Siena, Italy S. Focardi, E. Campari, et al. , Department of Physics, University of Bologna, Italy Observations of exess heat (2 ~ 4 x input energy) and some gamma rays with nickel metal plate/cylinder in a reactor pressurized with hydrogen gas Observation of Hydrogen-Nickel Nuclear Reactions Publications: 1. F. Piantelli, Atti Acad. Fis. Series XV, Tomo XII, pp 89-96 (1993) 2. S. Focardi, R. Habel, and F. Piantelli, Nuovo Cimento A, 107, 163 (1994) 3. S. Focardi, et al., Nuovo Cimento A, 111, 1233 (1998); 4. E. Campari, S. Focardi, F. Piantelli, et al., 5th Asti Workshop, Asti, Italy (2004) and ~ six other publications Patent Application: Silvia Piantelli, “METHOD FOR PRODUCING ENERGY AND APPARATUS THEREFOR”, Internatioanl Application (Pub. No.:WO 2010/058288 A1, Pub. Date:May 27, 2010)

25. Spatial distribution of Ni and Cu on the sample surface E. Campari, S. Focardi, F. Piantelli, et al., Proceedingd of ICCF 11, Marseilles, France (2006) Experimental cell for hydrogen loading with Ni cylinder (red)

26. “Experimental test of a mini-Rossi device at the Leonardocorp, Bologna 29 March 2011” • reported by Hanno Essen* and Sven Kullander** , 3 April 2011 • *Associate Professor of Theoretical Physics, Swedish Royal Institute of Technology, Stockholm, Sweden • ** Professor of Physics Emeritus, University of Upssala, Chair of Energy Committee, Royal Swedish Academy of Sciences • Micro/nano scale Ni particles/powers with hydrogen gas at 25 bars • Electric input power of 0.3 kW (resistance heating) and output power of 4.69 kW as estimated from vaporization of input water (18o C ) at a constant flow rate, during a period of 5 hour 45 minutes  exsess heat generation of ~ 14 x input energy. 2-cm Pb shielding

27. Generalized BECNF Theory for Hydrogen-Nickel System Hydrogen-Nickel Reactions Assume (1) mobile Ni nuclei and (2) mobile composite bosons consisting of two protons with spins coulpled anti-parallel forming singlet states (S=0) This allows us to use the generalized BECNF theory for two species of bosons. Predictions are possibilities of reacations (i) ANi(2p(S=0), p)A+1Cu, with even A = 58, 60, 62, and 64, and (ii) ANi(2p(S=0), p)A-2Ni, with even A = 58, 60, 62, and 64 For (i), 59Cu(81.5 seconds) and 61Cu(3.333 hrs) are radioactive, both decay to unstable Ni nuclei by the electron capture, both of which subsequently decay to stable Ni isotopes by emitting characteristic gamma-rays.  use as experimental tests For (ii), all of Ni isotopes produced are stable except 56Ni. However, its production reaction rate is expected be substantially lower than those of Ni isotopes.

28. 58Ni(2p(S=0), p)59Cu 60Ni(2p(S=0), p)61Cu

29. Conclusions and Summary ●BECNF theory is based on one single physical assumption of the new basic concept of BEC of deuterons in metals. ●BECNF theory provides consistent theoretical explanations for experimental observations. ● Experimental tests are proposed for the basic concept of “nuclear” BEC of deuterons in metals. ●Experimental tests are also proposed for BECNF mini-ignition at extremely low temperatures. If successful, it can be used in the target chamber at the National Ignition Facility, or in a newly built ignition chamber. ● Recently, generalized BECNF theory is used to make theoretical predictions for BECNF processes in hydrogen-nickel systems. Theoretical predictions will be compared with experimental data, when more accurate data become available in the near future ! 29

30. Backup Slides 30

32. “Experimental test of a mini-Rossi device at the Leonardocorp, Bologna 29 March 2011” • reported by Hanno Essen* and Sven Kullander** , 3 April 2011 • *Associate Professor of Theoretical Physics, Swedish Royal Institute of Technology, Stockholm, Sweden • ** Professor of Physics Emeritus, University of Upssala, Chair of Energy Committee, Royal Swedish Academy of Sciences • Micro/nano scale Ni particles/powers with hydrogen gas at 25 bars • Electric input power of 0.3 kW (resistance heating) and output power of 4.69 kW as estimated from vaporization of input water (18o C ) at a constant flow rate, during a period of 5 hour 45 minutes  exsess heat generation of ~ 14 x input energy.

34. E-Cat Hyperion (5 ~ 30 kW) being manufactured by Defkalion Green Technologies (DGT) in Xanthi, Greece http://www.defkalion-enrgy.com A: Reactor(s) container, thermally insulated and lead shielded B: Hydrogen tank C: Electronic control unit CP: Pump for heat transport (closed circuit) Dimension: 22 x 18 x 14 inchesPin < 0.5 kW is used to ignite and to sustain reactions for generating Pout = 5 ~ 30 kW P Demo for a larger unit (1.15 ~ 3.45 MW) is scheduled in late October 2011. It will contain ~300 units of Hyperion (5 – 30 kW) in parallel configuration, and will fit in a truck container (20 feet long).

35. Andrea Rossi’s Energy Catalyzer (“E-Cat”) • Observations of exess heat (10 ~ 60 x input energy !) with micro/nano-scale nickel metal particles in a reactor pressurized with hydrogen gas • 2007: His new discovery of the excess heat effect using micro/nano-scale Ni particles with pressuraized hydrogen gas. • 2008: Applications for Italian and international patents. • 2009: The technology licensed to a new start-up company, Defkalion Green Technologies (DGT) in Greece with capitalization of ~200M Euros ! • 2011: Two positive demonstrations of the E-Cat in January and March, 2011; • 2011: In July, Greek Government issued DGT a commercial license for marketing in Greece, after extensive tests and evaluations of the E-Cat. Application of BECNF to Hydrogen-Nickel System

36. Rossi’s Energy-Catalyzer (E-Cat) Demo on March 29, 2011

37. Target Chamber at National Ignition Facility Exterior of the NIF target chamber under construction. The square openings are for the quads of beamlines; the round openings will accommodate nearly 100 pieces of diagnostic equipment. Technicians on a specially-designed target chamber service system lift make adjustments to the target alignment sensor and positioner.

38. Possible Scenarios for Creation of Micro-Craters Exp. Obs. [6] • Explosion time Observation [6]: Production of hot spots and micro-craters.  Episodes of “Melt Down” reported by Fleischmann, and others. Example of 10 nm diameter PdD particles 38

39. Is BECNF process scalable for practical applications ? We need further theoretical and experimental research. Total Fusion Rate for D(m) + D(m)  4He(m) + 23.85 MeV For 1 cm3Palladium containing 6.8 x 1022 deuterons, Rt= ~ 1029/sec with=1 and S= 55 KeV-barn, under optimal conditions

40. P13/14Simultaneous Series Operation of Light & Heavy Water Cells; Excess Power & Current Density vs. Time PIn = 10 W 200mA/cm2

41. Coulomb potential and nuclear square well potential V(r) B U = Escreening (Electron Screening Energy) E (E+U) U r rb R ra Gamow Factor – WKB approximation for Transmission Coefficient ≈ ≈ -V0

42. Equivalent Linear Two-Body (ELTB) Method(Kim and Zubarev, Physical Review A 66, 053602 (2002)) For the ground-state wave function , we use the following approximation (3) where It has been shown that approximation (3) yields good results for the case of large N(Kim and Zubarev, J. Phys. B: At. Mol. Opt. Phys. 33, 55 (2000)) By requiring that must satisfy a variational principle with a subsidiary condition , we obtain the following Schrödinger equation for the ground state wave function () (4) where (5) 42 42

43. Optical Theorem Formulation of Nuclear Fusion Reactions (Kim, et al. Physical Review C 55, 801 (1997)) In order to parameterize the short-range nuclear force, we use the optical theorem formulation of nuclear fusion reactions. The total elastic nucleus-nucleus amplitude can be written as (6) where is the Coulomb amplitude, and can be expanded in partial waves (7) In Eq. (7), is the Coulomb phase shift, , and is the l-th partial wave S-matrix for the nuclear part. For low energy, we can write (optical theorem) (8) where is the partial wave reaction cross section. In terms of the partial wave t-matrix, the elastic scattering amplitude, can be written as (9) where is the Coulomb wave function. 43 43

44. Parameterization of the Short-Range Nuclear Force For the dominant contribution of only s-wave, we have (10) (11) and Where is conventionally parameterized as (12) , is the “Gamow” factor, and S is the S- factor for the nuclear fusion reaction between two nuclei. From the above relations, Eqs. (10), (11), and (12), we have (13) For the case of N Bose nuclei, to account for a short range nuclear force between two nuclei, we introduce the following Fermi pseudo-potential (14) where the short-range nuclear-force constant A is determined from Eqs. (12) and (13) to be . For deuteron-deuteron (DD) fusion via reactions D(d,p)T and D(d,n)3He, the S-factor is S = 110 KeV-barn. 44 44

45. Derivation of Fusion Probability and Rates For N identical Bose nuclei confined in an ion trap, the nucleus-nucleus fusion rate is determined from the trapped ground state wave function  as (15) where is given by the Fermi potential Eq. (14), . From Eq. (15), we obtain for a single trap (16) where  is the probability of the ground state occupation, is Bose nuclei density in a trap, and with For the case of multiple ion traps (atomic clusters or bubbles), the total ion-trap nuclear fusion rate R per unit time and per unit volume, can be written as (17) where nt is a trap number density (number of traps per unit volume) and N is the average number of Bose nuclei in a trap. 45 45

49. Possible Scenarios for Creation of Micro-Craters Exp. Obs. [6] • Explosion time Observation [6]: Production of hot spots and micro-craters.  Episodes of “Melt Down” reported by Fleischmann, and others. Example of 10 nm diameter PdD particles 49

50. Requirement for Bose-Einstein Condensation (BEC): λDB > d where d is the average distance between neighboring two Bosons. 50 50