Volume 2 - LENR-CANR

Proceedings of the 

14th International Conference on 

Condensed Matter Nuclear Science 

and the 

14th International Conference on 

Cold Fusion (ICCF-14) 

10-15 August 2008 

Washington DC 

Volume 2 

General Editors: 

David J. Nagel and Michael E. Melich 

Theory Editors: 

Rodney W. Johnson and Scott R. Chubb 

Copy Editor: 

Jed Rothwell

ISBN: 978-0-578-06694-3 

Rights to the papers herein are reserved by their 

respective authors 

Printing was done by the 

Marriott Library of the University of Utah 

Copies of these proceedings can be purchased on a DVD 

for $20 from: 

New Energy Foundation, Inc. 

P.O. Box 2816 

Concord, NH 03302-2816 

http://www.infinite-energy.com 

Phone: 603-485-4700

Table of Contents 

VOLUME 1 

Preface i 

Table of Contents xiii 

Calorimetry 1 

Twenty Year Review of Isoperibolic Calorimetric Measurements of the Fleischmann- 

Pons Effect............................................................................................................................... 6 

M. H. Miles and M. Fleischmann 

The Method and Results Using Seebeck Calorimetry....................................................... 11 

Edmund Storms 

Construction of a Seebeck Envelope Calorimeter and Reproducibility of Excess Heat 26 

Wu-Shou Zhang, John Dash and Zhong-Liang Zhang 

Mass Flow Calorimetry........................................................................................................ 32 

Michael C. H. McKubre and Francis Tanzella 

MOAC – A High Accuracy Calorimeter for Cold Fusion Studies................................... 47 

Scott R. Little, George A. Luce, Marissa E. Little 

Constant Heat Flow Calorimeter ........................................................................................ 53 

T. V. Lautzenhiser, D. W. Phelps and M. Eisner 

A Simple Calorimetric Method to Avoid Artifacts in a Controversial Field: The Ice 

Calorimeter ........................................................................................................................... 60 

Jacques Dufour, Xavier Dufour, Denis Murat and Jacques Foos 

Heat Measurements 67 

The Enabling Criteria of Electrochemical Heat: Beyond Reasonable Doubt................. 71 

Dennis Cravens and Dennis Letts 

Ultrasonically-Excited Electrolysis Experiments at Energetics Technologies.............. 106 

I. Dardik, T. Zilov, H. Branover, A. El-Boher, E. Greenspan, B. Khachaturov, V. Krakov, 

S. Lesin, A. Shapiro and M. Tsirlin 

Excess Power Gain using High Impedance and Codepositional LANR Devices 

Monitored by Calorimetry, Heat Flow, and Paired Stirling Engines............................ 123 

Mitchell Swartz 

Anomalous Heat Generation during Hydrogenation of Carbon (Phenanthrene)........ 147 

Tadahiko Mizuno and Shigemi Sawada 

i

Electric and Heat Measurements in High Voltage Electrolysis Cell Experiments....... 169 

A. B. Karabut and E. A. Karabut 

Nuclear Reaction Products 176 

Trace Analysis of Elements in a Palladium Matrix......................................................... 180 

David A. Kidwell 

Investigation of Nuclear Transmutation Using Multilayered CaO/X/Pd Samples Under 

Deuterium Permeation ....................................................................................................... 195 

T. Yamaguchi, Y. Sasaki, T. Nohmi, A. Taniike, Y. Furuyama, A. Kitamura and 

A. Takahashi 

Influence of Deuterium Gas Permeation on Surface Elemental Change of 88 Sr Ion- 

Implanted Pd and Pd/CaO Multi-layer System............................................................... 203 

T. Hioki, J. Gao, N. Takahashi, S. Hibi, A. Murase, T. Motohiro and J. Kasagi 

Summary of the Transmutation Workshop Held in Association with ICCF-14 .......... 212 

George H. Miley 

Energetic Particle Measurements 217 

Charged Particle Emission during Electron Beam Excitation of Deuterium Subsystem 

in Pd and Ti- Deuteride Targets........................................................................................ 220 

Andrei Lipson, Ivan Chernov, Alexei Roussetski, Yuri Chardantsev, Boris Lyakhov, 

Eugeny Saunin and Michael Melich 

Reproducible Evidence for the Generation of a Nuclear Reaction During 

Electrolysis........................................................................................................................... 250 

R. A. Oriani 

Detection of Radiation Emitted from LENR.................................................................... 263 

Edmund Storms and Brian Scanlan 

Partial Replication of Storms/Scanlan Glow Discharge Radiation................................ 288 

Rick Cantwell and Matt McConnell 

New Results of Charged Particles Released From Deuterium-Loaded Metal at Low 

Temperature........................................................................................................................ 299 

Songsheng Jiang, Jinghuai Li, Ming He, Shaoyong Wu, Jianqing Wang, Hongtao Zhang, 

Shunhe Yao, Yonggang Zhao and Chen Wang 

Development of New Detector System for Charged Particle Emission ......................... 310 

Yu Toriyabe and Jirohta Kasagi 

Ion Beam Experiments 316 

Screening Potential for Nuclear Reactions in Condensed Matter.................................. 318 

J. Kasagi 

ii

Photon Measurements 326 

Excess Heat Triggering by 532 nm Laser in a D/Pd Gas-Loading System ................... 328 

J. Tian, L. H. Jin, B. J. Shen, Z. K. Weng and X. Lu 

Stimulation of Optical Phonons in Deuterated Palladium.............................................. 333 

Dennis Letts and Peter Hagelstein 

Observation of Optical Phonon in Palladium Hydrides Using Raman Spectroscopy.. 338 

Ken-ichi Tsuchiya, Aya Watanabe, Masao Ozaki and Shigeru Sasabe 

Non-Thermal Near-IR Emission from High Impedance and Codeposition LANR 

Devices ................................................................................................................................. 343 

Mitchell Swartz, Gayle Verner and Alan Weinberg 

Research into Spectra of X-ray Emission from Solid Cathode Medium During and 

After High Current Glow Discharge Operation.............................................................. 362 

A. B. Karabut and E. A. Karabut 

Gas Loading 368 

Cold Fusion by Gas Loading: A Review........................................................................... 370 

Jean-Paul Biberian 

Deuteron Electromigration in Thin Pd Wires Coated With Nano-Particles: Evidence 

for Ultra-Fast Deuterium Loading and Anomalous, Large Thermal Effects ............... 385 

Francesco Celani, P. Marini, V. Di Stefano, A. Spallone, M. Nakamura, E. Purchi, O. M. 

Calamai , V. Andreassi, E. Righi, G. Trenta, A. Marmigi, G. Cappuccio, D. Hampai, 

F. Todarello, U. Mastromatteo, A. Mancini, F. Falcioni, M. Marchesini, P. Di Biagio, 

U. Martini, P. G. Sona, F. Fontana, L. Gamberale and D. Garbelli 

Basic Research on Condensed Matter Nuclear Reaction Using Pd Powders Charged 

With High Density Deuterium........................................................................................... 400 

T. Nohmi, Y. Sasaki, T. Yamaguchi, A. Taniike, A. Kitamura, A. Takahashi, R. Seto and 

Y. Fujita 

VOLUME 2 

Cavitation Experiments 409 

Bubble Driven Fusion......................................................................................................... 411 

Roger Stringham 

Investigation of Radiation Effects at Bubble Cavitation in Running Liquid................ 418 

Alla A. Kornilova, Vladimir I. Vysotskii, Nickolai N. Sysoev and Andrey V. Desyatov 

iii

Materials 425 

Material Science on Pd-D System to Study the Occurrence of Excess Power .............. 429 

V. Violante, F. Sarto, E. Castagna, M. Sansovini, S. Lecci, D. L. Knies, K. S. Grabowski, 

and G. K. Hubler 

Electrode Surface Morphology Characterization by Atomic Force Microscopy ......... 437 

F. Sarto, E. Castagna, M. Sansovini, S. Lecci, V. Violante, D. L. Knies, K. S. Grabowski, 

and G. K. Hubler 

Metallurgical Characterization of Pd Electrodes Employed in Calorimetric 

Experiments Under Electrochemical Deuterium Loading ............................................. 444 

E. Castagna, M. Sansovini, S. Lecci, A. Rufoloni, F. Sarto, V. Violante, D. L. Knies, 

K. S. Grabowski, and G. K. Hubler, M. McKubre and F. Tanzella 

Condensed Matter “Cluster” Reactions in LENRs ......................................................... 451 

George H. Miley, Heinz Hora and Xiaoling Yang 

The Phusor®-type LANR Cathode is a Metamaterial Creating Deuteron Flux for 

Excess Power Gain.............................................................................................................. 458 

Mitchell Swartz and Gayle Verner 

Theory Papers 475 

The Possible Mechanism of Creation of Light Magnetic Monopoles in Strong Magnetic 

Field of a Laboratory System ............................................................................................ 484 

V. Adamenko and V. I. Vysotskii 

Heavy Electrons in Nano-Structure Clusters of Disordered Solids ............................... 490 

Dimiter Alexandrov 

Empirical System Identification (ESID) and Optimal Control of Lattice-Assisted 

Nuclear Reactors................................................................................................................. 497 

Robert W. Bass and Mitchell Swartz 

Can Established Physical Principles Explain Solid-State Fusion?................................. 503 

Ben R. Breed 

Resonant Electromagnetic-Dynamics Explains the Fleischmann-Pons Effect ............. 521 

Scott R. Chubb 

Interface Model of Cold Fusion......................................................................................... 534 

Talbot A. Chubb 

Toward an Explanation of Transmutation Products on Palladium Cathodes ............. 540 

Norman D. Cook 

An Experimental Device to Test the YPCP (“Yukawa Pico Chemistry And Physics”) 

Model: Implications for the CF-LENR Field................................................................... 546 


iv

Investigation of Deuteron-Deuteron Cold Fusion in a Cavity........................................ 553 

Cheng-ming Fou 

“The Coulomb Barrier not Static in QED” A correction to the Theory by Preparata on 

the Phenomenon of Cold Fusion and Theoretical Hypothesis........................................ 556 

Fulvio Frisone 

Quantum Fusion Hypothesis ............................................................................................. 573 

Robert E. Godes 

Excitation Transfer and Energy Exchange Processes for Modeling The Fleischmann- 

Pons Excess Heat Effect ..................................................................................................... 579 

Peter L Hagelstein and Irfan U Chaudhary 

Input to Theory from Experiment in the Fleischmann-Pons Effect .............................. 586 

Peter L. Hagelstein, Michael Melich and Rodney Johnson 

A Theoretical Formulation for Problems in Condensed Matter Nuclear Science........ 596 

Peter Hagelstein, Irfan Chaudhary, Michael Melich and Rodney Johnson 

Theory of Low-Energy Deuterium Fusion in Micro/Nano-Scale Metal Grains and 

Particles ............................................................................................................................... 604 

Yeong E. Kim 

Complexity in the Cold Fusion Phenomenon................................................................... 613 

Hideo Kozima 

Nuclear Transmutations in Polyethylene (XLPE) Films and Water Tree Generation in 

Them .................................................................................................................................... 618 

Hideo Kozima and Hiroshi Date 

Exploring a Self-Sustaining Heater without Strong Nuclear Radiation........................ 623 

Xing Z. Li, Bin Liu, Qing M. Wei, Shu X. Zheng and Dong X. Cao 

A Model for Enhanced Fusion Reaction in a Solid Matrix of Metal Deuterides.......... 633 

K. P. Sinha and A. Meulenberg 

Optimal Operating Point Manifolds in Active, Loaded Palladium Linked to Three 

Distinct Physical Regions ................................................................................................... 639 


Analysis and Confirmation of the “Superwave-as-Transitory–OOP-Peak” 

Hypothesis ........................................................................................................................... 653 

Mitchell R. Swartz and Lawrence P.G. Forsley 

Dynamic Mechanism of TSC Condensation Motion ....................................................... 663 

Akito Takahashi 

v

Challenges and Summary 670 

The Importance of Replication.......................................................................................... 673 

Michael C. H. McKubre 

Electrical Breakeven from LANR Phusor Device Systems: Relative Limitations of 

Thermal Loss in Feedback Loop....................................................................................... 689 


Self-Polarisation of Fusion Diodes: From Excess Energy to Energy............................. 696 

Fabrice David and John Giles 

Weight of Evidence for the Fleischmann-Pons Effect..................................................... 704 

Rodney Johnson and Michael Melich 

Nuclear or Not Nuclear: How to Decide?......................................................................... 723 

Ludwik Kowalski 

Open Source Science Applied to CMNS Research: A Paradigm for Enhancing Cold 

Fusion Prospects and the Public Interest ......................................................................... 729 

Thomas W. Grimshaw 

ICCF-14 Summary ............................................................................................................. 737 

Thomas O. Passell 

Honoring Pioneers 742 

In Honor of Yoshiaki Arata............................................................................................... 743 


Establishment of the “Solid Fusion” Reactor .................................................................. 752 

Yoshiaki Arata and Y-C Zhang 

LENR Research using Co-Deposition............................................................................... 766 

S. Szpak, P. A. Mosier-Boss, F. Gordon, J. Dea, M. Miles, J. Khim and L. Forsley 

SPAWAR Systems Center-Pacific Pd:D Co-Deposition Research: Overview of Refereed 

LENR Publications ............................................................................................................. 772 

S. Szpak, P. A. Mosier-Boss, F. Gordon, J. Dea, J. Khim and L. Forsley 

Preparata Prize Acceptance Speech.................................................................................. 778 

I. Dardik 

Cold Fusion Country History Project 780 

Xing Z. Li, Jean-Paul Biberian, Jacques Dufour, M. Srinivasan, F. Scaramuzzi, J. Kasagi, 

Y. Iwamura, Andrei Lipson, Ivan Chernov and Yu. N. Bazhutov 

Acknowledgements 789 

Author Index 792 

vi

Introduction to Cavitation Experiments 

The Preface described four methods for loading isotopes of hydrogen into materials. They are 

electrochemical loading from a liquid, gas loading, plasma loading and beam loading. Over the 

years, there has been a steady stream of results reporting cavitation loading of solids in LENR 

experiments. So, how does cavitation loading work? Does it fit into one of the four classes of 

loading? 

Cavitation is the process where pressure within water or another liquid is quickly reduced, so 

that the liquid rapidly vaporizes and forms bubbles even at ordinary temperatures. The bubbles 

then collapse, which results in a self-collision in the center of the bubble. That generates both 

high temperatures and high pressures. If the bubble is in the liquid and away from any solids, 

the collapse is symmetric in all three dimensions. The radius of a cavitation bubble varies from 

about 4 micrometers to 40 nanometers during its lifetime of about 100 nanoseconds. It 

collapses at a speed of about Mach 4 and produces a million-fold increase in density over the 

initial vapor density. Light generated at the center of a collapsed cavitation bubble is called 

sonoluminescence. The collapse of cavitation bubbles also induces chemical reactions. 

For LENR cavitation experiments, a thin solid foil is placed into heavy water. An ultrasound 

transducer produces intense sound in the water, leading to formation of transient bubbles. If the 

bubbles are on the surface of the metal foil, the collapse is cylindrically symmetrical around an 

axis normal to the foil surface. As a cavitation bubble on a solid surface collapses, a jet of 

material impacts the surface. This phenomenon is responsible for cavitation erosion of the 

surfaces of materials, such as the propellers of ships, and also for acoustic emissions. However, 

in LENR experiments, the collapse of cavitation bubbles on the surface of a solid effectively 

injects nuclei of the vapor into the foil. These include protons in the case of light water and 

deuterons in the case of heavy water. The chemical state of the vapor, that is, molecules, atoms 

or ions, is an important consideration for understanding the advantages of cavitation loading 

and its energetic efficiency. 

Returning to the questions about the types of loading due to cavitation bubble collapse, we 

have a mixed situation. The collapsing bubble contains gas (the vapor) for most of its motion, 

and then a plasma of increasing temperature, when it is near fully collapsed. And, the jet of 

material is like a beam impacting the surface of the foil. So, cavitation loading spans at least 

two of the major classes of loading, plasma and beam, both of which involve higher energies 

per particle than electrochemical or ordinary gas loading. But, however complex is cavitation 

loading, it is effective. 

The use of cavitation to load materials with H or D in LENR experiments is sometimes called 

sonofusion. That is a correct term only if fusion is the sole resulting nuclear reaction. This 

terminology also has one other disadvantage. In the past several years, another line of 

experiments involving insonification, cavitation and fusion has arisen, and received a lot of 

attention. It is best called “bubble fusion”. Such fusion is not LENR because no solid lattice is 

involved. In the case of bubble fusion, sound is used to produce cavitation in a liquid with a 

409

nearby source of neutrons. The hot plasma produced by the cavitation bubble collapse in heavy 

water is postulated to cause hot fusion. The experimental measurement of such plasmas is 

challenging because of their small size and very transient lifetimes. And, there is a wide range 

of opinions on the reality as well as the characteristics of bubble fusion. However, the field of 

bubble fusion is of no concern to LENR. 

There were two papers on cavitation induced effects presented at ICCF-14. The first was by 

Stringham, who has worked on sonofusion for many years and presented some remarkable 

results at earlier conferences in this series. This time, his paper was a useful review of the 

basics of sonofusion, and a summary of some results. Some of his excess heat data is at 

Stringham’s web site: http://sonofusionjets.com. There he shows excess power data to almost 

40 W. 

The second paper on bubble cavitation was qualitatively different from most experimental 

papers at the conference. There was no lattice involved in these experiments. In this paper, 

Kornilova and her associates reported the production of x-rays, as well as light, from cavitation 

bubbles produced when light oil was forced through an orifice at pressures up to 80 to 90 

atmospheres. First, very soft x-rays (1-2 keV) were measured, a remarkable result given the 

very short ranges of such radiation in condensed matter. Then, fine copper powder was placed 

on the exterior of the experiment, and x-rays peaking at 3 keV and extending to 5 keV were 

recorded. These unusual results challenge explanations. 

In general, the work on cavitation fusion has produced enticing results, but has not been 

adequately replicated in other laboratories. Such work is on the very long list of LENR and 

related experiments that should be done. 

410

Bubble Driven Fusion 

Roger Stringham 

First Gate Energies 

Abstract 

Experimentally, heat and 4 He are sonofusion (SF) fusion products. SF boosts a 

naturally occurring phenomenon with cavitation-induced bubbles and their 

collapse to high energy densities. One unique fusion path to heat and 4 He is 

shown. What has been increasingly evident is that high-density experiments of 

ICF and astrophysical relations of fermions and bosons show a plausible path to 

SF products. SF focuses around implantation of nanometer jet volumes and 

picosecond time scales. Several high-density systems like those of WDS, MF, zpinch 

systems, and ICF have influence over this model path. 

Acronym list 

BCS Bardeen, Cooper, Schrieffer; superconductivity theory 

BDS Black dwarf star; an old and cool WDS 

BEC Bose Einstein Condensate; follows Bose Einstein statistics 

DOE Department of Energy 

EM Electromagnetic 

HDZP High density z-pinch using a deuterium frozen fiber and high current 

ICF Inertial confined fusion; an approach to fusion via hot fusion 

MF Muon fusion; a muon replaces an electron in D2 and has a pseudo density of a WDS 

MS Mass spectrum; helium measurement by DOE’s Brian Olive 

Qa Acoustic power input to piezo reactor in watts 

Qi Total power input in watts 

Qo The calorimetric measured heat out of reactor in watts 

Qx Heat measured above that expected heat in watts 

Rf The final transient cavitation bubble radius 

Rmax Maximum transient cavitation bubble radius 

SEM Scanning Electron Microscope 

SF Sonofusion; fusion source from collapsing cavitation bubbles 

SL Sonoluminescence; acoustic light emission from bubble collapse 

TCB Transient cavitation bubble; a bubble with at least 3 watts of power/cm 2 

WDS White dwarf star; a collapsed star no longer generating heat 

Introduction 

The experimental part of this paper draws from many years of compelling results pointing to 

fusion events in target foils produced by TCBs in D2O. TCBs produce high-density plasma jets, 

which coincide with SL during the TCBs collapse process [1], where EM fields compress the 

jet’s contents. SL is used to monitor SF experiments. Jets implant the target foil forming 

411

deuteron clusters. The transient deuteron clusters, with temperature and density consideration, 

are deuteron coherent BECs where the De Broglie wave exceeds the DD cluster spacing. The 

femtosecond endothermic recombination of the implanted free electrons with the surface 

deuterons of the cluster cools and compresses its contents. The implosion of the recombination 

shockwave creates enough contact time for DD fusion event(s) to occur. The expected gamma 

radiation is not found, as this expected product is replaced by heat. (The mechanism for the 

gamma is slower than the direct conversion fusion energy to heat. The single wave function 

involves all of the BEC cluster deuteron bosons.) The conversion of fusion energy to a lattice 

heat pulse is shown in the many SEM photos of target foil surface ejecta sites. In piezo systems 

that resonated at 20 and 40 KHz, ejecta were expelled into the circulating D2O, where the 

fusion 4 He and heat were circulated and measured. The measurements of 4 He products, at 550 

ppm were measured in a Department of Energy laboratory [2]. 1.6 MHz produce much smaller 

but more numerous jets with similar energy densities. Heat measurements showed Qx that 

increased with Qa. Qi was varied from 4 to 50 watts where Qx was 0 to 40 watts [3,4]. 

The fermion isotopes of hydrogen have a possibility to pair in crossover high-density 

environments forming a fermion boson, a behavior similar to Cooper pairing. Clusters and their 

recombination shockwave that will promote the fusion of pairs of hydrogen isotopes may 

behave in a mode parallel to DD fusion and heat. 

The Transient Cavitation Bubble, TCB 

A quick view of cavitation follows [1]. A sinusoidal wavelength defines the time for a 

generation of bubbles that cycle through a birth, growth, collapse, and jet formation modes as 

the D2O prepares for its next bubble generation [5]. An oscillator drives a 1.6 MHz resonance 

system that produces millions of bubbles with an initial radius of around 0.4 microns. As the 

bubble expands in the low-pressure isothermal growth phase, it picks up D2O mass from the 

bubble’s interface. Crossing over into the positive pressure zone of the acoustic wave, the 

partially evacuated bubble reaches its Rmax of about 4 microns; then begins its rapid collapse. 

The bubble surface accelerates towards its center at Mach 4 velocity or greater [6]. In 0.1 

microsecond the bubble’s somewhat leaky adiabatic Rf of about 0.04 microns is reached. The 1 

million-fold energy density increase is enough to dissociate some of the D2O. Here two events 

occur: a burst of photons is emitted as SL and the plasma contents of the bubble are transferred 

to a jet where EM compression pressures squeeze the jet’s contents [7]. See Figure 1-1. The jet 

— a high-density deuteron plasma — is confined by EM pressures [8]. The first step in 

producing heat and 4 He in SF is the TCB and jet system. Photos of cavitation jets will be found 

in reference [9]. 

Other Fusion Systems 

Other fusion systems exist. The first is Muon Fusion (MF), where a heavy muon replaces an 

electron in the D2 molecule, shrinking its orbit to 1/207 of its normal orbit size. [10] In MF the 

two deuterium atoms of D2 fuse at 100 K. The density or separation of the two deuterons is 

about the same as in a BDS environment. The gravitational forces present in a BDS would 

compress these boson deuterons to fusion densities in less than a picosecond. The BDS’s highdensity 

environment lacks internal radiation pressure, has no fuel for fusion, and is equivalent 

412

to the density of muon fusion systems. The second is the high density z-pinch (HDZP), a 

vacuum system that feeds a shaped high current pulse into a 50 micron frozen D2 fiber. The 

magnetic pressures around the fiber are very similar to the EM pressures of the SF jet. The 

magnetic pressure squeezes the fiber’s deuterons to the fusion point [11]. The third is the 

backlighting experiments performed by MIT and the University of Rochester where transient 

EM fields were measured in ICF systems using the plastic CR39 to establish deflection patterns 

of synchronized mono energetic protons. These fields were measured at 60 Tesla and 10 9 V/m. 

at densities of 300 gm/cc [12]. The fourth is the astrophysics of the BEC and the BCS systems. 

Information gathered from these systems gives substance to the formulation of a SF path to the 

fusion products heat and 4 He. From experiments, it is shown that DD fusion occurs via the 

cavitation bubble. So the objective is fitting the SF experimental work to extrapolated hot 

fusion systems into a coherent path. 

Experimental Set-up 

The objective is experimentally boosting the naturally occurring cavitation phenomenon to a 

controlled bubble system. Important parameters are controlled, creating the transient highdensity, 

environment. A complex system is used to gather the data, but is not necessary for the 

devices operation. The cavitation device is energized by an ultrasound piezo, producing micron 

size bubbles in circulating D2O. A pump circulates the D2O through the SF device to a heat 

exchanger, a flow-meter, a bubbler and back to the pump [7]. 

The piezo device responds to its feedback oscillator that tracks the small changes of its 

resonance frequency due to the influence of small changes in temperature and pressure. This 

keeps the device well tuned to its resonant frequency. The adiabatic bubble collapse 

compresses and dissociates D2O into its ions. For the 1.6 MHz system the measurement of SL 

photons were emitted and counted via a photomultiplier and counter system as they pass 

through the reactor window. SL is used as a tool for evaluating and maintaining control of the 

SF parameters; temperature, pressure, and acoustic input. The measurements were made in a 

light proof box where the air circulation keeps the box and the SF device at constant 

temperature. The photon background count was 200 photons/sec. The box contains the main 

components of the SF apparatus. The maximum photon count was near 2,000,000/sec. [3]. 

SF is a collection of billions of one cycle acoustic events that include the bubble’s collapse, 

the transfer of the bubble’s contents into a jet, the target foil Boson cluster and the fusion heat 

pulse. The jet is very small and contains high velocity sheath electrons. The 1.6 MHz jet has a 

volume 2x10 -23 m 3 , 10 nm in diameter and 100 nm in length, with a lifetime of a picosecond. It 

is in the jet where the high densities are reached via z-pinch SF EM pressures producing very 

high-densities, 10 27 D/cc, of very compressible bosons in the jet and cluster. The jet sheath 

electrons produce the EM compression pressures perpendicular to their Mach 20 velocity 

vector. The jet, located close to a 100 micron thick target foil, implants electrons and then 

deuterons into the foil lattice to form a cluster. See figure 1 - 1, 2. What is increasingly evident 

is that high-density experiments of ICF and the astrophysical relations of deuterons and 

electrons, bosons and fermions, add a great deal of reality to the picture of this transient jet and 

cluster [13]. 

413

The Path and Experimental Evidence 

A connection between experimental evidence and transient high densities is shown. During 

the target implantation, electrons and deuterons, are momentarily separated as deuteron clusters 

and free electrons moving back to the cluster reacting with outer deuterons squeezing the 

cluster. The transient deuteron clusters are stabilized for a picosecond by their high-density 

(close packed structure), the de Broglie wave in the cluster producing a coherent BEC. See 

figure 1 - 3, 4. 

In the closely packed cluster deuterons the shockwave initiates the 4 He fusion event. See 

figure 1 – 4, 5. The favored path produces heat and not gamma radiation [14]. The fusion heat 

pulse destroys the very high-density cluster and as the spherical heat pulse passes into the target 

foil lattice, it reaches the foil surface producing an ejecta site. See figure 1 – 6. The nm size 

ejecta sites are easily photographed using SEM analysis. In piezo systems that resonate at 20 

KHz, the heat pulse’s vaporous ejecta were expelled into the circulating D2O, where the fusion 

products, 4 He and heat, are circulated and measured. This explains why little of the 4 He fusion 

product is found in exposed target foils. 

The SEM photos show an uncountable number of ejecta sites. Several SEM photos of Pd 

foils have been analyzed by counting one square µ 2 areas of exposed target surfaces to find the 

distribution of the diameter sizes of ejecta sites. The plots of site diameters versus their number 

show a skewed distribution. Assuming that the depth of the ejecta site is the same as its 

diameter, the volume of the spherical heat pulse and ejecta relate to ejecta energy. A clear 

maximum for ejecta site diameter distribution was found to be near 100 nm. This falls off 

rapidly as the ejecta site diameter increases for multiple fusion events. Using these ejecta 

volumes and site diameters a conversion to about 20 +/- 10 Mev is the expected value for a 

single DD fusion event. The exposed target foils show surface distribution of ejecta sites in the 

form of permanent surface patterns of standing waves. 

Gases from 20-KHz experiments were collected from directly over the SF reactor’s 

circulating D2O. This gas was expanded into 50 cc evacuated stainless steel cylinders for MS 

measurement, which was performed by Brian Oliver in a DOE laboratory specializing in 

helium MS analysis of the gas samples. The data from sample cylinder #3 measurement for 

4 He, using three different small aliquots of gas from the sample cylinder, shows the average 

number of 4 He atoms that were in the sample cylinder to be 7463 × 10 14 4 He atoms of with a 

sigma of +/- 1. Only 50% of the gas in the experiment was collected in the sample cylinder. 

The remaining helium was equally distributed throughout the circulation volume. So the total 

4 He was 1.5 × 10 18 atoms. The calculated 4 He in the gas sample was 552 ppm, which is 100 

times that found in atmospheric air. This experiment produced 80 watts with respect to helium 

production over a 19 hr. period. 64 watts of excess heat was measured by calorimetry. (B. 

Oliver’s data is on DVD shown at ICCF-14 Wash. DC, 2008.) 

The determination of excess heat was done using the D2O flow-through calorimetric 

measurements of the 1.6 MHz piezo driven, low mass, 20 g device [15]. Measured the 

temperature of the D2O flow into and out of the device, DT, and its flow rate in cc/s were 

measured, these two were multiplied together to give calories/s. This result is multiplied by 

414

4.184 Joules/calorie to give Qo. Now, Qo was the sum of Qa and Qx. The efficiency of Qi was 

measured at 0.33 [2] so Qa = .33 Qi. Some of Qi powered a transformer and the 1.6 MHz 

oscillator. That is the basic calorimetry. 

The experimental data for the 1.6 MHz device data is plotted in the web site 

www.sonofusionjets.com. [4] The series of runs is listed in the table shows increasing values of 

Qi, SL, and Qx. Qx reaching a maximum of 40 watts, with a Qa of 16.5 watts, and a Qi of 50 

watts. A one second was the residence time for D2O in the reactor volume and a flow rate of 

1cc/sec. The external pressure was one atmosphere of argon. The SF device used a joule heater 

replacing Qa in the calibration mode. One must be careful to guard against radio-frequency 

interference during thermocouple measurements and heat lost via device’s surface convection. 

Summary 

The robust 1.6 MHz SF device can be ganged together to make high energy-density systems 

of any size. SF can serve in the work place as space heating where about 0.3 of the grid power 

is used today. With future improvements it will be a self-supporting unit using thermoelectric 

devices to convert heat directly to electricity [2]. SF applied to space travel has the advantage 

of a high power/mass ratio. SF is a million times more mass efficient than hydrocarbon fuels or 

a O2 + H2 mix. This paper is about transient densities with parameter control of temperature, 

pressure, and acoustic input. 

415

Acknowledgements 

Thanks to Julie Wallace for editing. 

Figure 1. Six steps to SF. 

416

References 

1. M. P. Brenner, S. Hilgenfeldt, D. Lohse, Rev. Mod. Phys., vol 74, No 2, 425-484, (2002). 

2. B. Oliver, Report, DOE lab. at Rockwell International, CA 91309, 642/NAO2 (1994). 

3. R. Stringham, ICCF11 Proc., J. Biberian Ed. Marseilles, France, 238, 31, (Oct.-5 Nov.’04) 

4. Web site, www.sonofusionjets.com - one page, (2006) 

5. R. Stringham, IEEE US Symp. Proc.; Sendai, Japan; 98CH36102; Vol. 2, 1107, (1998). 

6. K. R. Weninger, P. G. Evans, and S. J. Putterman, Phys. Rev. E., 61(2), 3, 2000. 

7. R. Stringham, ICCF-10 Proceedings, Poster, P. Haglestein, S. Chubb ed. Boston, USA, 

LANL-CANR web library, (2003). 

8. R. Stringham, ICCF 9 Proceedings, Ed Zing Z. Li, Beijing, China, p 323, May 19-24, 

(2002) 

9. Y. Tomita, A. Shima; Acoustica, 71,161, (1990). and M. P. Felix, A. T. Ellis, Appl. Phys. 

Lett., 19, 484, (1971), and W. Lautterborn, H. Bolle, J. Fluid Mech., 72, 391 (1975). 

10. W. Alvarez, et al, Catalysis Nuclear Reactions by µ Mesons, Phys. Rev.; 105 1127, (1957). 

11. M. A. Liberman, J. S. De Groot, A. Toor, R. B. Spielman; Physics of High-Density Z- 

Pinch Plasmas; Springer-Verlag NY, QC718.5.P45P48, 1998, pages 37 and 238-241 

12. R. D. Petrasso, et al, Science, 319: 1223-1225, ( 29 Feb. 2008) 

13. R. Stringham, ACS book to be published, (2008-9). 

14. S. Chubb, T Chubb, P. Hagelstein, Y. Kim and others who have presented theories on why 

gammas are not present, most recently at the Proceedings of ICCF 12, A. Takahashi ed. 

Yokohama, Japan, Nov. – Dec. 2, 2005 

15. R. Stringham, ICCF-10 Proceedings, P. Haglestein, S. Chubb ed. Boston, (Aug 2003) 

417

Investigation of Radiation Effects at Bubble Cavitation in 

Running Liquid 

Alla A. Kornilova 1 , Vladimir I. Vysotskii 2 , Nickolai N. Sysoev 1 and Andrey V. Desyatov 3 

1 Moscow State University, 119899, Moscow, Russia 

2 Kiev National Shevchenko University, Kiev, Ukraine 

3 Federal State Unitary Enterprise "Keldysh Research Center", Moscow, Russia 

Abstract 

In this work a new method of generating hard radiation with a cavitation 

chamber is presented. This mechanism is connected with the sequential events 

of cavitation and shock-wave processes inside the chamber with liquid, and in 

the volume of the chamber wall when there is perfect acoustic contact between 

them. The result of the tandem action is the passing of the cavitation energy 

from the cavitation area across a stream of running liquid to atoms situated on 

the external surface of the chamber. Shock excitation of these atoms leads to the 

generation of X-rays outside of the cavitation chamber. 

1. Introduction 

The cavitation phenomenon is one of the most promising perspective physical mechanisms 

for the realization of low energy nuclear interaction. It is very important to understand the 

nature and mechanisms of radiation processes that are connected with the cavitation. In our 

earlier works [1,2] the anomalous optical phenomena accompanying cavitation processes from 

directed motion of running liquids through thin dielectric channels to large-size working 

chamber were investigated. 

A schematic of the experiment is shown in Fig. 1. The cylindrical cavitation chamber is 15 

cm long, with a diameter of 8 cm, and is made of Plexiglas. Inside the chamber the special 

diaphragm with an orifice hole is situated. It is 1 mm in diameter, 2 cm in length. To observe 

the optical effects two opposite lateral faces of the cylinder have been vertically cut. Within 

these faces the thickness of the wall is increased from 2 to 3 cm. 

Liquid 

pump 

Diaphragm 

Orifice hole 

418 

Working 

chamber 

Figure 1. Schematic and overall view of the experimental setup

Experiments on stimulation of cavitation in pumped liquid (spindle oil) were performed with 

a step-by-step increase of pressure. At low pressure (P20 atm) the color of moving oil in the 

working chamber is tawny (Fig. 2a). At P25...30 atm the process of formation of cavitation 

bubbles in the volume behind the orifice starts. At such pressure the processes of initial 

turbulence and the generation of large size fluctuations of machine oil density take place. These 

fluctuations are visible. At P35...40 atm the averaged size of any fluctuation becomes small. 

The space behind the orifice hole is similar to a fog without any transparency and has the color 

like milk instead of the initial tawny color (Fig. 2b). At P60 atm a rapid increase of 

transparency of the turbulent oil takes place. As a result the chamber with cavitations at the 

downstream of the orifice hole becomes completely transparent (Fig. 2c). As the liquid pressure 

increases up to 80-90 atmospheres, in the central part of the chamber the directed bright light 

beam is shaped (Fig. 2d). 

Figure 2. General view of the working chamber: a) at low pressure (P60 atm). d) Bright luminescence of the directed liquid 

stream with cavitation bubbles (Р80...90 atm). 

It is obvious that this bright luminescence of the directed liquid stream is connected with the 

cavitation process, but it differs greatly from usual low intensity sonoluminescence (which is 

equilibrium thermal optical radiation from the heated portion of the machine oil in the volume 

of the cavitation area). In previous papers [1,2] several possible mechanisms of this bright 

luminescence were proposed, but a definitive conclusion has not been reached. In the present 

work the results of investigation of X-Ray radiation processes connected with cavitation 

phenomena in running liquids are presented. It will be shown that formation of bright visual 

luminescence is also connected with these processes. 

419

2. Investigation of characteristic X-ray generation from the cavitation 

phenomena 

After a detailed examination we have found that at critical regime of bubble cavitation, the 

process of stationary generation of X-radiation with energy of 1 to 2 keV (or more) takes place. 

This radiation is detected outside the cavitation chamber at about 3 mm from the external 

surface. 

To detect the radiation, an X-Ray and gamma detector XR-100T-CdTe with CdTe 

monocrystal was used. Cylindrical collimator of the detector had a length about L 6 cm and 

an internal cross-section S0 0.5 cm 2 . The solid angle of detection was 0.02 sr. The 

entrance cross-section of the collimator was closed by a very thin Be foil. 

The results of X-Ray detection are presented on Fig. 3. Registration of such soft X-ray 

radiation with energy of about 1...2 keV (which is connected with the cavitation phenomena 

inside the chamber) outside of the thick-walled cavitation chamber is, at first sight, very strange 

because of the very low absorption mean free path (less than 10-20 microns) in the oil and 

Plexiglas. 

We have studied this paradox using different methods. 

Figure 3. The change (shift) of the X-Ray spectrum that was detected near the surface of the cavitation 

chamber at stage-by-stage increases of oil pressure (left to right - 20, 40 and 65 atm). 

2.1. Controlled stimulation of generation of additional X-radiation 

Finely-dispersed copper powder was placed on an external surface of the chamber (on its flat 

surface). Acoustical contact of this powder was ensured by using a special acoustic gel. It was 

shown that the presence of copper powder during cavitation leads to generation of additional 

hard radiation with the energy in a maximum nearby 3...3.5 KeV (Fig. 4a). When thin copper 

420

foil (thickness 0.1 mm) was situated in front of detector window there is a natural screening of 

softer part of the spectrum (Fig. 4b). 

Figure 4. Spectrum of X-Ray radiation outside of the chamber during cavitation in the presence of: a) 

copper powder, mechanically and acoustically connected with its external surface; b) the same powder and 

additional thin copper absorber which has not been mechanically connected with the chamber. 

2.2. Investigation of space distribution of X-radiation sources 

We have studied the dependency of intensity of the hard part of X-radiation J(x) on the 

distance between the detector window and the surface of the chamber that was covered by 

copper powder. A schematic of the experiment and resulting dependency J(x) are presented in 

Fig. 5. 

From Fig. 5 it follows that maximal intensity of X-radiation correspondents to xopt 3.5...4 

cm. 

Fig. 5. Schematic of experiment. a) and the dependency of the X-ray registration intensity J(x) on the 

distance between the detector and the surface of cavitation chamber b). 

Let us consider the same effect from another point of view. This dependency J(x) is 

described by the obvious expression 2 / 

quanta in air). 

x l 

J ( x) J (0) 1 x / L e 

( l - absorption path of X- 

421

From this formula it follows that maximal intensity of registered X-rays will be at the 

distance x 2l L 0 . From the last equation we have l x L / 2 4cm 

. In air such 

opt 

value of l corresponds to the energy of X-radiation EX3...3.5 keV that was earlier 

independently determined by the detector! 

So the sources of X-radiation really really are situated on the chamber surface. 

2.3. Investigation of acoustic impulses generated by cavitation bubbles in the running 

liquid 

To measure the acoustic impulses on the surface, a piezoelectric converter with a diameter of 

20 mm and an oscilloscope were used. This converter was attached to a flat surface of the 

chamber. Figure 6 shows a time sample of acoustic converter signal with the duration of 100 

microsecond at P = 37 atm and T= 37 o С, and the spectrum of this sample. The averaged 

amplitudes of acoustic impulses of pressure on the surface are x200-300 A. 

Figure 6. Time sample of the acoustic impulses on the surface of the cavitation chamber a) and Furespectrum 

of the sample b) 

2. Combined both cavitation and shock wave mechanism of the generation of 

characteristic X-ray radiation outside the strongly absorbing cavitation 

chamber 

The typical evolution of any bubble cavitation process in unbounded liquid is described by a 

strict succession of the physical processes: a) formation of micro-nucleus of a gas bubble in the 

compressed liquid; b) the beginning of growth of a gas bubble in the tensioned liquid; c) 

growth phase of a gas bubble (growth speed of the bubble is less than the speed of sound); d) 

the phase of unstable balance at the maximum size of the bubble; e) the phase of bubble 

collapsing (the speed of squeezing is more than the speed of sound); f) the collapse ends with 

an explosion and the formation of a divergent shock wave with supersonic speed. 

The same process takes place in the liquid stream moving through the thin channel in the 

volume of the cavitation chamber (Fig. 7). Interaction of divergent shock wave with internal 

surface of thick wall of cavitation chamber leads to the formation of a sound wave inside wall 

that transforms to the shock wave at this wall. Subsequent reflection of this shock wave from 

422 

opt

the external surface of thick wall leads to surface atoms excitation and external X-Ray 

generation. 

Figure 7. Schematic of transformation of the energy of bubble cavitation collapse to the outside X-ray 

radiation: 1) - cavitation collapse; 2) acoustic impulse; 3) shock wave in liquid; 4) formation of elastic wave 

in the wall of the cavitation chamber; 5) shock wave in the wall of the cavitation chamber; 6) excitation of 

surface atoms of the cavitation chamber during the reflection of shock wave; 7) and 8) internal and external 

surfaces of the cavitation chamber wall. 

The process of atom excitation from the action of a shock wave is the result of atom pulse 

acceleration during the reflection of shock wave from the border between chamber wall and air. 

This effect may be calculated by the theory of abrupt acceleration. The probability of atom 

excitation (e.g. 1s0 2p0 

) at abrupt acceleration from v=0 to the velocity of shock wave v=vsw 

is the following: 

z 

2 8 

, 100 / 2.3*10 / 

/ 

2 

100 

v v 

2 2 

* imvz / 

W100,210 100( r ) 210 ( r ) e dV 

V 

9 vsw v 

 

32 9 / 4 sw / 100 

3 v sw 

2.2*10 

2 

6 

v100 

 

 

, 

 

r r ie vt v Ze Z cm s 

At intermediate pressure (P=25...60 atm) the liquid jet touches the internal surface of the 

chamber wall. It leads to the passing of the energy from the cavitation area across the running 

liquid and chamber wall to atoms situated on the external surface of the chamber and to the 

external X-Ray radiation. 

At high pressure (Р80...90 atm) the liquid jet does not touch the internal surface of chamber 

wall and the cavitational shock waves leads (through the reflection from the jet-vacuum border) 

to the excitation of liquid jet surface atoms and to the subsequent generation of optical and Xray 

radiation in the jet. This generation was observed in our earlier experiments (see Fig. 2d). 

423

References 

1. A. I. Koldamasov, Hyun Ik Yang, Denis B.McConnell, A.A.Kornilova, V.I.Vysotskii, 

A. V. Desyatov //12th CMNS Proceedings, Japan, p. 97-107. 

2. А. А. Kornilova, V. I. Vysotskii, А. I. Koldamasov, Hyun Ik Yang, Denis B. McConnell, A. 

V. Desyatov //Surface, № 3 (2007) p. 55-60. 

424

Introduction to Materials 

The outcome of a LENR experiment depends on several major things, the scientist 

conducting the experiment, the procedures employed, the equipment for the experiment and the 

materials within the experiment. All of these things are important. The skill, experience, 

intuitions and hard work of the experimenter are clearly critical. The protocols used during an 

experiment, such as the time history of applied voltages, also largely determine the results. The 

performance, stability and precision of the apparatus greatly influence the outcome. And, 

materials are absolutely central to any LENR experiment. What happens to the matter and 

energy put into the system depends on the contents of the experimental system. Adequately 

characterized materials constitute one of the most critical and most vexing aspects of LENR. It 

is not agreed if the LENR effects arise only on surface or at boundaries or if they are a bulk 

property or even what is the appropriate scale of consideration – nuclear, atomic or both. 

Whether the LENR experiment is electrochemical, gaseous, plasma or a beam in terms of 

loading hydrogen isotopes into lattices, the elemental and molecular materials within the 

central cell can vary widely, and are both difficult to know and control. Knowledge and 

manipulation of low levels of impurities are particularly difficult. 

Beam experiments are conducted in vacuum systems that can be pumped to very low 

pressures and heated to drive off many impurities. They, along with gas permeation 

experiments with one side of the Pd or other foil in a vacuum, are generally the cleanest LENR 

experiments. The incident beams are carefully controlled in direction and energy. Hence, even 

though they carry much kinetic energy, they usually do not make the experiment “dirty”. 

Spectroscopic and other tools can be used to perform qualitative and quantitative analysis of 

impurities in situ before, during and after runs. 

Plasma experiments are also conducted in vacuum vessels. They are first pumped down, and 

then filled with low pressures of the gases, which will be ionized to form the plasma. In LENR 

experiments, the plasmas are commonly a glow discharge but sometimes an arc discharge. 

Many of the analytical tools applicable to vacuum systems can be used for analysis of plasma 

loading experiments. Others, like optical spectroscopy, are very useful for monitoring plasmas. 

However, the ions and photons in and from plasmas go off in most directions. Their impact 

with nearby solids, including the materials to be loaded with H or D, leads to sputtering and 

contamination of the experiment. 

Gas loading experiments are usually conducted in a strong vessel that can be pressurized and 

heated. Such vessels can be purged, cleaned and filled with high purity gases prior to 

experimental runs. The thermal energies in such experiments are relatively low compared to 

beam and plasma experiments. Here again, many in situ diagnostics can be brought to bear. 

However, some incisive analytical methods require vacuum conditions for their operation, so 

they are excluded from use in gas experiments when the gas is present. 

Electrochemical LENR experiments can be relatively clean if great care is taken to start with 

clean equipment and high purity chemicals are used. Both light and heavy water with high 

purity are available. And, the salts that dissolve to form the electrolyte can also be obtained 

425

with few impurities. However, the container that forms the cell and any other materials in 

contact with the electrolyte can provide contamination. The range of diagnostics that can be 

used within electrochemical cells during their operation is more restricted than in the other 

types of loading. There is no agreement on what purity is required. For example, the original 

experiments suggested that materials that were too pure did not produce FPE heat. Subsequent 

work has found that stress induced by loading hydrogen causes the metal to crack and that low 

levels of alloying elements can prevent cracking. 

The “joker” in all of these types of loading approaches is the solid material(s) put into the 

heart of the experiments, the materials in or on which the LENR occur. They vary greatly in 

their composition, that is, the elements present and their spatial distributions, both of which can 

change with time. And, the structural arrangements of the atoms on nano-, micro- and macroscales 

before, during and after an experiment also vary widely. The interactions of the 

experimental protocols with the composition and structure of the cathodes, other electrodes and 

probes within experiments are both central to the outcome and poorly known in most cases. 

Impurities from any source might either promote or degrade production of excess power. 

They could be deleterious to the point of poisoning an experiment. Or, they might be beneficial 

to the extent of enabling power production. These very fundamental possibilities are little 

explored and essentially not understood at this time. 

That features of key materials in LENR experiments are not known adequately should not be 

surprising. After all, nuclear reactions take place on size scales of femtometers, the metric for 

nuclear dimensions. This scale is 100,000 times smaller than the scale of atoms. Nanometers 

are the scale at which proper conditions for the occurrence of LENR probably take place. But, 

the tools of nanotechnology for determining the type and locations of atoms and molecules are 

yet to be widely brought to bear on LENR experiments. Part of the reason is lack of funding. 

But, even if atomic force microscopes and other atomic-scale probes were available for 

analyses before, during and after runs, there is the problem of their small fields of view. It is 

likely that LENR do not occur uniformly over the surface of a cathode in, say, an 

electrochemical experiment. Repeated scanning of a small patch, typically 100 micrometers 

square or smaller, with an AFM could miss the locations of LENR, either by bad luck or 

because the probe destroys the critical conditions. The situation could be like the old story of 

looking for lost keys at night only under the street lights. In short, the composition and structure 

of cathode materials on the nano-meter scale is probably critical to production of LENR, but 

very difficult to access experimentally in a meaningful way. 

Three papers on materials were given at ICCF-14. They are the result of collaborations 

between scientists from three laboratories, ENEA in Italy and the Naval Research Laboratory 

and SRI International in the US. The collaboration of these three laboratories, which reported 

their current results in an on-going program, represents the most thorough approach to the 

study of materials in this field. 

The first paper on materials was an invited presentation by Violante et al, which involved 

correlations between impurities, metallurgy of Pd foils, loading (D/Pd) and production of 

excess heat. It was found that contaminants control the crystal orientation during annealing of 

426

the foils, and the effects of subsequent chemical etching. The power spectral density (PSD) is a 

measure of the magnitudes of roughness on the surfaces of the foils. It was measured after 

etching. Samples that produced excess power had peaks in the PSD in the range of 10 6 to 10 7 

m -1 . That is, surface roughness in the range of 0.1 to 1 micrometer favored production of excess 

heat. Further, it was reported that the surface crystallite orientation of also favored 

power production. The face in Pd is the most open crystallographically, which might 

help with loading and the occurrence of LENR. 

The second materials paper by Sarto et al provided details of the characterization of Pd foil 

surfaces. The data were obtained by use of an Atomic Force Microscope (AFM). This is one of 

the very few instances when that central tool of nano-science and –technology has been use for 

materials in LENR experiments. The data obtained by 2-dimensional square scans of the foil 

surfaces, generally 24 micrometers on a side, was used to compute PSD. The foils were then 

used in electrochemical calorimetric experiments to test their ability to produce excess heat. 

The results were stated in the last paragraph above. 

The third paper on materials from the tri-laboratory collaboration by Castagna et al, gave 

details of the metallurgical treatment of the Pd foils and the measurements of their surface 

texture, that is, the orientation of surface grains. Correlations between the ability to produce 

excess heat and several materials parameters were obtained. They include mean grain size, 

grain orientation, grain boundaries, hardness, and deuterium loading. This is the work that 

showed crystallite orientations favored production of power. 

Miley and his colleagues presented a materials paper on the evidence for the formation of 

clusters of deuterons at dislocations within Pd cathodes in heavy-water electrochemical 

experiments. Such nanometer-scale features are thought to be the locations at which LENR 

occur. Hence, their increase is desirable. These authors discuss ways in which the density of 

deuteron clusters can be increased, which they call a “Roadmap to Power Cells”. 

Swartz and Verner provided a paper on the spiral cathode (called a Phusor) used in their 

electrochemical experiments. The paper makes the case that the spiral structure is a 

metamaterial. Such a material gets its electromagnetic properties from the structure (shape) of 

the material, rather than from its chemical composition. The authors report that their cathode 

shape is the best among many designs and variations for reproducible behavior with good 

power gains, and that such is the case for several Group VII metals. The electric fields 

associated with the spiral cathode were computed. The authors focus on the intra-electrode flux 

of deuterons, which is due to the electrical field distributions that cause asymmetric deuteron 

entry into the cathode. The authors believe that such deuteron fluxes are necessary to produce 

LENR. 

The papers on materials presented at ICCF-14 illustrate the complexity of the study of 

materials for LENR experiments. There are many options for acquisition of the base materials, 

processing prior to experiments and conduct of the experiments. Numerous experimental tools 

are available for the characterization of the materials at any step in the overall process, and after 

experiments. Sophisticated and expensive equipments, which generally require skilled 

scientists for their operation and interpretation of the data obtained, are needed. The work is 

427

slow and requires great attention to details. Hence, the study of materials for LENR 

experiments is costly. Few research efforts in LENR have the funds to carry out these desirable 

characterizations of materials. 

428

Material Science on Pd-D System to Study the Occurrence 

of Excess Power 

V. Violante 1 , F. Sarto 1 , E. Castagna 1 , M. Sansovini 1 , S. Lecci 1 , D. L. Knies 2 , K. S. Grabowski 2 , 

and G. K. Hubler 2 

1 ENEA Frascati Research Center, Frascati (Rome) 00044 Italy 

2 Naval Research Laboratory, Washington DC 20375 USA 

Abstract 

A recent joint work [1] identified the crucial role of material science in 

improving control of the Pd-D system to enhance the production of excess 

power during electrochemical loading of palladium foils with deuterium. Very 

high reproducibility, close to 100%, in loading Pd up to D/Pd ~1 (atomic 

fraction) was achieved. High loading about the threshold value of 0.9 is 

considered necessary to achieve the effect. This work demonstrated it is 

necessary but not sufficient. As a consequence, the focus of our research moved 

to the material properties of cathodes, especially surface characteristics, and an 

effort to correlate these properties with cathode performance during electrolysis. 

This paper describes the material properties examined that appear to produce 

excess heat. 

Introduction 

Recent evidence indicates that the Pd material plays a fundamental role in the occurrence of 

excess heat production during electrochemical loading of palladium cathodes with deuterium. 

This evidence has created a mounting interest in aspects of research related to material science. 

A broad effort was carried out in the past to identify the mechanisms controlling hydrogen 

isotope dissolution into the palladium lattice during the loading process. The study helped 

define a proper metallurgical treatment to obtain the most suitable metallurgy to facilitate 

hydrogen absorption into the palladium cathode [2]. This work generated almost 100% 

reproducibility in achieving a deuterium concentration larger than 0.9 (atomic fraction) that is 

considered to be the threshold value for observing the effect. 

This experimental work also demonstrated that the concentration threshold is a necessary 

condition for excess heat production, but not necessarily a sufficient one. Such evidence led to 

a systematic effort to improve knowledge about the status of the material that is required to 

have the effect. 

Let us start from the most significant experimental evidence obtained from a statistical 

analysis of the data. Three different behaviors were observed with Pd cathodes loaded above 

the threshold D/Pd = 0.9: 

(1) High power gain during the excess. 

(2) Low power gain during the excess. 

(3) No excess. 

429

McKubre identified two types of excess power production: 

Type A: excess power begins after several days of electrolysis and, in general, 

depends on the current density. 

Type B: excess begins very soon and does not always depend on the current 

density. 

The research described in this work is largely oriented to studying the main differences in 

materials that produce these two different types of excess power. 

Lot-1 and Lot-2 

Two different lots of palladium, obtained from the same producer, exhibited remarkably 

different behavior during the experiments, even though both lots underwent the same 

metallurgical procedures. 

Figure 1. Experiment L17, evolution of input and 

output power: excess 500% 

430 

Figure 2. Evolution of input and output power in 

experiment L39 

These two materials served as references in the investigation to identify material that 

produces the Fleishmann-Pons (FP) effect. The two lots are designated Lot-1 and Lot-2. Lot-1 

gave Type B excess power with, in some cases, power gains well above 100%. Figure 1 shows 

the evolution of the input and output power in experiment L17, performed with a sample from 

Lot-1. During the main burst that continued long enough to allow the calorimeter to reach a 

fairly steady state condition, the power gain was up to 500%. The reduction of the input power 

during the burst occurred because the excess power increased the electrolyte temperature, 

causing a reduction of impedance of the electrolyte, so that the galvanostat reduced the voltage 

to maintain the current at the set point value. This lot successful produced excess heat in 75% 

of tests at SRI and up to 60% at ENEA. 

Different behavior was produced by samples from Lot-2. As mentioned above, this lot was 

obtained from the same producer and had identical characteristics and purity (both 99.95%). 

Lot-2 gave Type A behavior with excess power of less than 20%. Loading up to the threshold

level required higher current compared to samples from Lot-1, and the reproducibility of excess 

power production was lower (less than 20%). Figure 2 shows evolution of the input and output 

power in the experiment L39, performed with Lot-2 material. 

Such an experimental difference, based on a significant number of experiments (more than 

40), led to a comparative analysis of both raw as-received samples and samples following 

metallurgical treatments. The first test was a qualitative check for the spectrum of contaminants 

in the two lots. Fig. 3 shows such a spectra, obtained with SIMS analysis (with sputter erosion). 

It is evident that some species that are completely absent in Lot-1 are contained as 

contaminants in Lot-2, for instance Zr. Contaminants may act on grain size, crystal orientation 

and grain boundaries, so that a different metallurgy may be expected for samples obtained from 

the two different raw materials, based on differences in the spectra of contaminants. 

Scanning electron microscopy (SEM) performed on samples obtained from Lot-1 and Lot-2 

after the same treatment steps are confirming this effect. Fig. 4 and Fig. 5 show the metallurgy 

of samples obtained from Lot-1 and Lot-2, respectively. The main difference is the grain size, 

being larger for the sample from Lot-1. This difference may be ascribed to the different 

spectrum of contaminants, with Lot-1 containing fewer grain boundary pinning constituents. 

Figure 3. Spectra of impurities for Lot-1 and Lot-2, qualitative analysis (SIMS with erosion) 

431

Figure 4. SEM microscopy of a sample from 

Lot-1 

Figure 5. SEM microscopy of a sample from Lot-2 

Figure 6. Effect of an iron particle on etching Figure 7. Effect of a dust particle on etching 

Crystal orientation after metallurgical treatment was studied by means of X-ray diffraction. 

The results for Lot-1 indicated these samples to have a well-aligned surface normal, as 

shown by very sharp X-ray spectra with little or no present. Lot-2 samples had a mix of 

and surface normals, with the spectra not as sharp as for Lot-1. A third lot of 

material with a different spectrum of contaminants underwent the same metallurgical and 

thermal procedure, yet revealed instead mostly and very little surface normal 

orientation. Cathodes fabricated from this third lot produced no excess power. 

A statistical analysis of the collected experimental data revealed that Type B excess power 

was correlated with -crystal orientation with a correlation factor very close to 0.8 [3]. 

The different experimental behaviours observed indicate that crystal orientation may be 

considered a second condition required to produce excess power. 

It is very well known from the literature that contaminants modify the effect of chemical 

etching on surface morphology [4]; Fig 6 and Fig.7 show the effect of etching a Pd sample with 

either an iron or dust particle, respectively. Also, crystal orientation has an effect on the surface 

432

morphology, and surface morphology as well as crystal orientation has a non-negligible role on 

electrode kinetics [5]. Observations of different Pd surface activity were identified by Rolison 

using SEM of etched Pd foils [6]. 

Material Status and Excess Heat Production 

The resulting question is: how do these differences in the status of the material relate to 

excess power production? The first answer is that the excess power is correlated to the loading 

dynamics, and the loading dynamics depend on the material status. The evidence is highlighted 

by the following analysis. Figure 8 shows the ratio between the maximum loading value and 

the current required for such a loading, an indicator of ease of loading. Cathodes showing good 

loading at low current, in general, have produced excess power. Furthermore, the easier the 

loading, the higher the probability is that Type B (red bar) excess power will occur. The 

correlation factor between the occurrence of the Type B excess heat and easy loading is 

g=0.813. See ref [3] for additional statistical data. 

Preliminary statistics from this report show that: 

(1) Contaminants control the crystal orientation during annealing. 

(2) Crystal orientation and specific contaminants modify the effect of chemical etching, 

leading to a different surface status. 

(3) The surface morphology modifies the operating conditions in the electrochemical process. 

Figure 8. Ratio between the maximum loading value and the current required for such a loading. 

We conclude that the status of the surface is a third condition needed to produce excess heat. 

The Power Spectral Density function (PSD), defined as the squared modulus of the surface 

roughness Fourier transform, was chosen as a figure of merit representing the status of the 

surface [7]. The PSD function, after surface etching, was found for samples giving excess 

power, as in Fig. 9, to have peaks in the wave vector interval 10 6 – 10 7 m –1 . The statistics also 

revealed that the amplitude of the excess power correlates with the amplitude of the PSD peaks. 

433

On the basis of the results described here, work was carried out to produce material 

characterized by: 

(1) Spectrum of contaminants quite close to the Lot-1 spectrum. 

(2) crystal orientation. 

(3) Proper metallurgy for easy loading. 

(4) PSD characterized by the presence of peaks in the wave vector range 10 6 – 10 7 m -1 . 

RPSD@ max (x10 -32 m 4 ) 

Figure 9. Power Spectral Density (PSD) function of sample L25 producing excess power 

RPSD@ max (x10 -32 m 4 ) 

0.20 

0.10 

0.00 

0.20 

0.10 

0.00 

2 4 6 8 10 

Figure 10. PSD of sample L46, peaks in the identified region are revealed 

434 

L25b(I) 

wavevector modulus k (m-1) 

L46 

2 4 6 8 10 

wavevector modulus k (m-1)

Figure 11. Evolution of the input and output power during experiment L-46: Excess up to 12% was 

observed and the amplitude results to be proportional to the PSD peaks amplitude 

These characteristics were achieved with sample L46, and this sample underwent a 

calorimetric test with heavy water. Figure 10 shows the PSD of sample L46. We observe that 

the amplitude of the peaks is lower than given by sample L25, which produced excess power 

up to 250%. As shown in Fig. 8 the loading of sample L46 was satisfactory. The calorimetric 

result for this sample is shown in Fig. 11. We observed excess power up to 12% that 

disappeared completely when the input power exceeded 300 mW. 

This result is not extraordinary in terms of power gain, but has a non-negligible value since it 

represents the first reproduced excess power based on a “designed” material. Furthermore, it 

provides additional evidence that proper surface morphology, combined with appropriate 

metallurgy for loading, and with crystal orientation is a third condition for producing 

excess power. Obviously statistics confirming the result is required, and an enhanced surface 

analysis study should investigate a wider region of the wave vector range. 

Conclusions 

Characteristics have been identified that cause different cathode behavior. The probability of 

excess heat is enhanced when three conditions are met: 

(1) Loading is easy at a relatively low current density due to proper metallurgy. 

(2) Crystal orientation. 

(3) Identified surface morphology by PSD. 

A sample demonstrating the three conditions was made, and production of excess heat was 

observed. Work is in progress to identify other correlations and, on the basis of the material 

characteristics, the mechanisms producing the effect. 

435

Patent 

The work is the object of a Joint Patent by ENEA, NRL, SRI and Energetics Technology. 

References 

1. V. Violante, et al. “Calorimetric results of ENEA cooperative experiments” Proc. XIII Int. 

Conference on Cold Fusion, Sochi (Ru) June 2007 (in press). 

2. De Ninno, A. La Barbera, V. Violante “Consequences of lattice expansive strain Gradients 

on hydrogen loading in palladium” Phys. Rev. B. (1997) 56, 5, 2417-2420. 

3. E. Castagna et al., “Metallurgical characterization of Pd electrodes employed in 

calorimetric experiments under electrochemical deuterium loading” Proc. ICCF14, 

Washington D.C. 10-15/August/08. 

4. M.A. Gosàlvez and R.M. Nieminen, New J. Phys. (2003) 5, 100 

5. M.T. Spitler, Electrochimica Acta (2007) 52, 2294–2301 

6. D. R. Rolison and P.P. Trzaskoma, J. Electroanal. Chem. (1990) 287, 375 

7. F. Sarto et al., “Electrode surface morphology characterization by atomic force 

microscopy,” these proceedings 

436

Electrode Surface Morphology Characterization by Atomic 

Force Microscopy 

F. Sarto 1 , E. Castagna 1 , M. Sansovini 1 , S. Lecci 1 , V. Violante 1 , D. L. Knies 2 , K. S. Grabowski 2 , 

and G. K. Hubler 2 

1 ENEA Frascati Research Center, Frascati (Rome) 00044 Italy 

2 Naval Research Laboratory, Washington DC 20375 USA 

Abstract 

The introduction of hydrogen into a metal during electrolysis of water involves 

primarily the metallic surface. The effect of surface morphology on 

electrochemical reaction kinetics is well described in the literature [1] therefore 

it seems to be reasonable to assume that the surface morphology of the cathodes 

could play a role in the electrochemical metal-hydride formation. Actually, a 

wide variety of surface features and profiles have been observed in the Pd 

cathodes typically employed in excess heat production experiments. These 

features are noted in both the as-prepared samples and the electrolyzed ones. In 

order to establish a correlation between the occurrence of a particular surface 

morphology and calorimetric results, it is necessary to identify a useful metric 

with which to describe and compare the different surface morphologies. In this 

work an approach based on Atomic Force Microscopy (AFM) has been 

investigated. The method is oriented toward the identification of parameters 

suitable for a pre-screening of the materials. 

Introduction 

In recent years we have begun a research project focused on the study of the material science 

aspects of cold fusion. In particular, the preliminary results have pointed out a strong 

correlation existing between the metallurgical and surface properties of the Pd cathodes used in 

electrochemical experiments, and the occurrence of excess heat production [2]. We investigated 

cathode features including both bulk features (crystallography, deuterium loading, 

electrochemical behavior, hardness) and surface characteristics. 

In this paper, we concentrate on the study of the surface morphology of the Pd electrodes, 

leaving the other aspects of material science to other papers [3],[4]. In particular, we limit our 

analysis to the length scale of a few micrometers, which characterizes the surface morphology 

“inside” each crystal grain. Grain boundary features fall outside this range, and they have been 

considered elsewhere [3],[4]. 

The experimental analysis has been carried out by Atomic Force Microscopy (AFM). This 

technique [5] is able to collect tri-dimensional surface morphology maps, with spatial 

resolution up to a fraction of a nanometer. The digitized images have been elaborated to extract 

numerical parameters and parametric functions, which could make the comparison between the 

various samples easier and more objective. The numerical procedure, based on the computation 

437

of Fourier transforms, aims to define a surface status function that can describe and compare 

the surface morphology of different samples, and also to outline correlations between the 

surface morphology and the excess heat production. 

Experimental 

The Pd samples investigated in this work were obtained from different commercial lots of 

pure Pd, having nominal purity above 99.95%. They have been processed by mechanical, 

thermal and chemical treatments described elsewhere [2], in order to reduce foil thickness to 

about 50 μm, and to improve metallurgical properties and surface morphology. Most of the 

samples were mapped by AFM before being electrolyzed, to avoid measurement problems 

caused by dirt on the surface. Actually, surface morphology changes have to be expected 

during the electrochemical process and, obviously, this modified morphology plays a role in the 

excess heat mechanism. By measuring the samples before electrolysis instead of after it, we are 

mainly interested in establishing a correlation between the initial cathode characteristics and the 

occurrence of excess heat, with the aim of developing instructions for “good” cathode 

manufacturing. 

For each sample, several images have been taken at different points on the surface, excluding 

zones close to grain boundaries. The AFM instrument (Assing Corp., “Perception” model) is 

installed at the ENEA laboratory at the Frascati research centre. The instrument is equipped 

with a pyramidal silicon nitride probe (Veeco, MLCTAU) and is operated in contact mode. 

Comparison between samples has been performed by using images that were acquired on the 

same length scale (typically 2424 m 2 ) and with the same number of pixels (typically 

257257), to avoid experimental and/or numerical artifacts that could affect different samples 

to varying extents. 

Image analysis 

The AFM directly measures the 3-D surface height profile of the sample surface. This is 

different from images acquired by other microscopic techniques, such as scanning electron 

microscopy or optical microscopy, in which the contrast is not directly related to the changes in 

height profile, and 3-D profile reconstruction requires stereoscopic methods. The height 

profiles of non-engineered surfaces, as those of the samples investigated in our study, are 

generally characterized by random fluctuations superimposed on periodic or quasi-periodic 

patterns. These surface features are hard to recognize in direct space, but can be effectively 

revealed in reciprocal space of the spatial frequencies (kx, ky), by computing the Power 

Spectral Density (PSD) of the height profile. The PSD function provides a decomposition of 

the surface profile into its spatial wavelength components. Mathematically, the PSD (that we 

indicate in the following as PSD2D(kx, ky)) is defined as the squared modulus of the Fourier 

transform of the 2-dimensional surface height profile (than we indicate as h(x,y)). Assuming the 

surface profile to be the result of the linear superposition of an infinite ensemble of sinusoidal 

profiles, each with a different periodicity along the x and y axis directions, the PSD indicates 

the weight of each sinusoidal component having a precise periodicity, as a function of the 

spatial frequencies, which correspond to the inverse of each period length. As an example, a 

surface characterized by an infinite sinusoidal profile has a PSD spectrum consisting of just one 

438

fundamental peak; on the other hand, a random surface has a PSD spectrum extending over a 

broad range of spatial frequencies. 

Commercial software for image processing is commonly suited for computing the 

1-dimensional PSD of isotropic and stationary random surfaces. In that case, the surface profile 

fluctuations measured along any straight path of the surface are assumed to be independent of 

both the path direction and origin, so that the 2-dimensional PSD reduces to a 1-dimensional 

function (PSD1D(|k|)), which depends only on the modulus of the frequency vector 5. 

In the case of anisotropic and textured surfaces, the computation of the 1-dimensional 

isotropic PSD may wash out the information about embedded patterns and periodicities, if the 

computational path is not carefully chosen, and it also cannot outline the height profile 

anisotropy. This is indeed the case for the samples studied in our work, which are characterized 

by a strongly anisotropic texture, related to the crystalline structure of the grain. To solve this 

problem, we have developed software to compute, from the 2-dimensional PSD, a set of 

1-dimensional PSD functions, which can give insight also in the anisotropy of the surface, 

extracting the more relevant patterns. These additional functions are defined below, starting 

from a representation of the 2-D PSD in polar coordinates (PSD2D(|k|, ), where (|k|, ) are the 

polar coordinates of the reciprocal 2-D k-space) instead of Cartesian coordinates (PSD2D(kx, 

ky)): 

The Radial Power Spectral Density (RPSD(|k|)), is the average of the polar 2-D PSD 

(PSD2D(|k|, )) over all polar angles (); 

The Angular Power Spectral Density (APSD()), is the average of the 2-D PSD2D(|k|, ) 

over all k moduli, along the direction of each k polar angle . 

The Maximum Radial Power Spectral Density (R@max(|k|)) is obtained by taking the 

values of the 2-D polar Power Spectral Density along the k vector direction identified 

by the polar angle max, which is the abscissa for the maximum of the APSD() curve. 

In Fig. 1 the 2-D k vector space is represented in polar coordinates, and the domains involved 

in the computation of the Radial (Fig. 1a), Angular (Fig. 1b) and Maximum (Fig. 1c) PSD 

functions are indicated. 

The numerical procedure developed to compute the above functions consists of the following 

steps: 

1. The AFM 2-D digital image is converted to a matrix NN. 

2. The PSD2D(kx, ky) matrix is calculated from the 2-D fast Fourier transform (FFT) of the 

digitized image. 

3. The polar PSD matrix (PSD2D(|k|,)) is obtained from the PSD2D(kx, ky) matrix, by data 

interpolation. 

4. The Radial, Angular and Maximum Power Spectral Density functions are computed 

according to the above definitions. 

439

Figure 1. Polar representation of the 2-D reciprocal space in which the 2-D PSD is defined; the light blue 

areas indicate the domains on which the PSD2D is averaged to compute the Radial Power Spectral Density 

(Fig. 1a), the Angular Power Spectral Density (Fig. 1b) and the Maximum Power Spectral Density (Fig. 1c). 

The analysis has been repeated for different images taken on different sample points (within 

the same crystal grain), showing similar results within the same crystal grain. 

Because of the finite sampling rate and limited scale length of the digital AFM images, the 

computed PSD functions are band-limited over the space of wave-vectors k. In particular, the 

low frequency cutoff is determined by the scan length, while the high frequency limit is 

determined by the sampling rate and by the tip geometry. In the present work, the typical wavevector 

range is 0.2 – 30m -1 . 

Results and Discussion 

The Power Spectral Density spectra of samples giving excess heat have been computed to 

look for common features. A preliminary screening of the data has outlined a particular “multipeaked” 

structure in the Maximum Power Spectral Density function of the samples that gave 

excess heat (see Fig. 2 right), while this feature was not observed in the samples that did not 

give excess heat (see Fig. 3 right). 

The peak intensities of the analyzed features scale with the peak wave number, which ranges 

from 1 to 4 m -1 . The similarity in the R@max(|k|) spectrum is indicative of the presence of a 

pseudo-periodic texture embedded in the surface morphology, with a period in the range of 

some tenths of microns. Furthermore, as can be seen in Table I, the maximum PSD peak 

intensity shows a good correlation with the excess heat percentage and reproducibility (when 

applicable), but it is much lower in the spectra of samples which did not produce excess heat. A 

similar correlation does not appear to be evident in the specific surface area values, which are 

shown in Table II and which are scattered less than 10% around the same mean value. 

440

RPSD@ max (x10 -32 m 4 ) 

0.20 

0.10 

0.00 

L46 

2 4 6 8 10 


RPSD@ max (x10 -32 m 4 ) 

0.8 

0.6 

0.4 

0.2 

L5 

2 4 6 8 10 


Figure 2. Top: 3-D AFM images of samples L46, L5 and #64, which gave excess heat during electrochemical 

deuterium loading; Bottom: Maximum Power Spectral Density curves computed from the AFM images 

shown on the top 

RPSD@ max (x10 -32 m 4 ) 

0.20 

0.15 

0.10 

0.05 

0.00 

L47 (point 1) 

L47 (point 2) 

L47 (point 3) 

2 4 6 8 10 


RPSD@ max (x10 -32 m 4 ) 

0.20 

0.15 

0.10 

0.05 

0.00 

2 4 6 8 10 


Figure 3. Top: 3-D AFM images of samples L47, L51 and L53, which did not give excess heat during 

electrochemical deuterium loading; Bottom: Maximum Power Spectral Density curves computed from the 

AFM images shown on the top; in case of sample L47 the curves obtained by the analysis of three different 

sample points are also shown. 

441 

L51 

RPSD@ max (x10 -32 m 4 ) 

RPSD@ max (x10 -32 m 4 ) 

1.2 #64 

1.0 

0.8 

0.6 

0.4 

0.2 

0.20 

0.15 

0.10 

0.05 

0.00 

2 4 6 8 10 


L53 

2 4 6 8 10 

wavevector modulus k (m-1)

Table I. Summary of max PSD intensity in the range 1 to 4 μm -1 and excess heat data. The second column 

indicates the excess to input power ratio, the third column indicates the ratio between the number of 

samples giving excess heat and the total number of experimented samples of the same lot. 

Sample Excess heat % Reproducibility Max PSD intensity (x10 -32 m4) 

#64 >1000 2/2 9.5 

L5 25-60 2/4 0.7 

L46 12 1/1 0.06 

Table II. Effective surface area of the studied samples, computed from the AFM images by the free GNU 

GPL software Gwyddion. 

Sample L46 L5 #64 L47 L51 L53 

Surface area (m 2 ) 588 653 684 631 640 602 

These results suggest that the surface morphology of the Pd cathodes itself plays a role in the 

excess heat production mechanism. We are not yet able to identify this role, but it cannot be 

simply reduced to the effect of the change in the specific surface. In this respect, the identified 

PSD function can be considered as a valid way to estimate the surface morphology. 

However, a potential problem with the scale of this method should be noted. The analysis is 

limited to a small areas of the sample, which may not be representative of the entire specimen. 

To overcome this problem, a more extended and systematic mapping of the sample surface on 

different length scales should be done, aimed at eventually discovering scaling behaviors. This 

may show a relationship, for examples, between the local in-grain morphology and long scale 

crystal grain distribution. Anyway, even the small-scale investigation has proven to be a 

worthwhile method, and it has shown the occurrence of a particular PSD spectrum, which we 

have tentatively identified as a favorable condition for excess heat production, is just one of 

many other conditions, which involve metallurgical and electrochemical properties of the 

palladium cathodes 4. 

Conclusions 

A method of characterizing the surface morphology of Pd cathodes, based on the spatial 

power spectrum, has been presented. A preliminary screening of the data showed some 

common features in the spectra of samples giving excess heat, which are not observed in 

samples not giving heat. The observed features indicate the presence of pseudo-periodic 

patterns in the surface morphology, whose period is in the range of some tenths of microns. The 

surface morphology requirement for excess heat is only a necessary condition, not sufficient: 

other criteria must also be satisfied. 

References 

1. M.T. Spitler, Electrochimica Acta 52 (2007) 2294–2301. 

442

2. V. Violante, F. Sarto, E.Castagna, C. Sibilia, M.Bertolotti, R. Li Voti, G.Leahu, M. 

McKubre, F. Tanzella, K.Grabowski, G.Hubler, D. Knies, T. Zilov, and I. Dardik, 

“Calorimetric Results of ENEA Cooperative Experiments”, Proceedings of the 13th 

International Conference on Condensed Matter Nuclear Science (ICCF13), Dagomys, 

Sochi, Russia June 25 - July 1, 2007 

3. V. Violante RdA, E. Castagna, S. Lecci, M. Sansovini, F. Sarto, D.L. Knies, K.S. 

Grabowski, G.K. Hubler, “Material science on Pd-D system to study the occurrence of 

excess of power”, in these proceedings 

4. E. Castagna, S. Lecci, M. Sansovini, A. Rufoloni, F. Sarto, V. Violante RdA, D.L. Knies, 

K.S. Grabowski, G.K. Hubler, M. McKubre and F. Tanzella, “Metallurgical 

characterization of Pd electrodes employed in calorimetric experiments under 

electrochemical deuterium loading”, in these proceedings 

5. See, for example “Introduction to Atomic Force Microscopy: Theory, Practice, 

Applications”, by Paul West, Pacific Nanotechnology, freely available online: 

http://www.afmuniversity.org/ 

6. Duparré. J. Ferre-Borrull, S. Gliech, G. Notni, J. Steinert, J.M. Bennett, Appl. Opt. 41 

(2002) pp.154-171 

443

Metallurgical Characterization of Pd Electrodes Employed 

in Calorimetric Experiments Under Electrochemical 

Deuterium Loading 

E. Castagna 1 , M. Sansovini 1 , S. Lecci 1 , A. Rufoloni 1 , F. Sarto 1 , V. Violante 1 , D. L. Knies 2 , 

K. S. Grabowski 2 , and G. K. Hubler 2 , M. McKubre 3 and F. Tanzella 3 

1 ENEA Frascati Research Center 

Frascati (Rome) 00044 Italy 

2 Naval Research Laboratory 

Washington, DC 20375 USA 

3 SRI International 

Menlo Park CA USA 

Abstract 

A systematic approach has been followed in the production and characterization 

of Pd foils to be used in excess heat production experiments [1][ 2] [3] . Starting 

with a metal foil as supplied, palladium samples have been fabricated and 

characterized in a step by step process, and then subjected to electrolysis 

deuterium loading. The characterized metallurgical properties include the main 

grain size, the grain boundary, the material Vickers hardness, and the crystal 

grain orientation. Electrochemical properties that are recorded include the D/Pd 

loading ratio and the D/Pd low current loading ratio. A suitable correlation 

parameter has been defined and correlations have been found between excess 

heat production and individual properties; i.e. the mean grain size, grain 

boundary, material hardness, crystal grain orientation, deuterium loading and 

low-current deuterium loading level. 

Introduction 

A great deal of experimental evidence indicates that the reproducibility of excess heat 

production is strongly controlled by the cathode’s material properties. To achieve deeper 

understanding of the phenomenon, a systematic characterization of the metallurgical properties 

and loading behaviour of Pd cathodes used in excess heat experiments at different laboratories 

(ENEA, SRI, Energetics Technology), has been performed. A central role in the improvement 

of the study is the development of a tool for experimental data organization and storage; i.e. a 

database including all the information collected for each sample. The data is rigorously 

organized and easily retrieved and compared. 

Data analysis aimed to look for correlations with excess heat production. A statistical 

approach has been followed, as the role played by each material-related issue is not known yet, 

and an exhaustive theoretical explanation has not been devised. 

444

Experimental 

Starting with the metal foil from the supplier, palladium samples have been produced and 

characterized in a step by step process before being subjected to an electrolysis deuterium 

loading experiment. 

Cathode Manufacturing 

Cold rolling and annealing create an optimized metallurgical structure of the material, which 

increases deuterium loading. The raw starting material was palladium foil 1 mm thick able to 

reach a loading ratio of about 0.75 - 0.8 hydrogen/palladium atomic ratio. 

The initial treatment was done in two steps: 

(1) Cold rolling of the raw material produces Pd foils 50 microm thick. 

(2) Annealing at temperatures ranging from 800 to 900°C for about 1 hr. 

The resulting foils are rectangular, about 20 mm long and 10 mm wide, with a thickness of 

about 50 m. These strips are cut into 40 mm long pieces, to make cathodes with appropriate 

dimensions. Then the samples are chemically etched using nitric acid and aqua regia. This is 

done to clean impurities from the surface which can contaminate it during the cold rolling and 

annealing, and also to activate the surface, making it easier for hydrogen to diffuse into the 

metal lattice. From a metallurgical point of view such treatment reveals material surface 

morphology, allowing the SEM observation of the grain dimension distribution in the sample. 

Surface chemical etching is also one of the suitable methods to obtain the required surface 

roughness. 

Cathode Characterization 

Because the origin and preparation of the cathode is crucial to the outcome of the experiment, 

each step in the process should be recorded for each sample. We do this with a protocol for the 

sample designation. For example, the cathode designated L54(189-227)RAEF indicates the 

following: L54 is the rolling run; (189-227) indicates the sample position inside the original 

rolled stripe; R stands for “rolling performed”; A for “annealing performed”; E for “etching 

performed”; and F is the deuterium loading specification (i.e. in which electrochemical cell the 

sample was placed). 

Metallurgical properties that have been characterized include the most common grain size 

found in the sample, the grain boundary, Vickers hardness, and the crystal grain orientation. 

Because the samples in this study are polycrystalline, the chemical behaviour of the surface is 

not homogeneous, and strictly dependent on the grain crystallographic orientation. 

445

L46 

Selected phase 

is Palladium 

Figure 2.1. Grain orientation distribution as 

revealed by EBDS on L46 Pd sample 

446 

Selected phase 

is Palladium 

Figure 2.2. Grain orientation distribution as 

revealed by EBDS on L47 Pd sample 

Excess heat experiments 

After the Pd samples are fabricated and characterized from a metallurgical point of view, 

they are used as cathodes in electrochemical cells, which are placed inside a calorimeter. The 

metal lattice is loaded with deuterium to see if excess heat production occurs. 

All the samples used in this study gave a D/Pd loading ratio with values ranging from 0.9 up 

to about 1. 

The calorimetric study allowed us to understand that not only loading but also intrinsic 

properties of the material controlled the reproducibility of excess power. This evidence 

prompted us to establish a database of material properties. 

Database 

The custom- developed database includes all relevant characterization parameters. A typical 

record is shown in Fig. 3.1. It includes the sample name and its manufacturing specifications, 

and also the results of materials measurements, together with SEM and AFM images. 

L47

Figure 3.1. A typical database record 

Analysis 

After systematically characterizing the cathodes, and collecting and organizing the data, a 

statistical analysis was performed to look for correlations with excess heat. To quantify the 

correlation a “degree of correlation” (g) between a selected property (f) and the excess heat 

occurrence (h) has been defined as: 

g 

 

f h 

f 

447 

2 

h 

Where g=1 then there is full correlation between the selected property and the excess heat 

production; where g=0 there is no correlation. 

Results and Discussion 

Figures 4.1 through 4.6 show the histograms of each of the material properties investigated in 

this work, together with the indication of excess heat production (shown in the graphs with the 

thinner bars). 

It can be seen from these figures that some properties are well correlated with the excess heat 

production. This is particularly evident in Fig. 4.2, showing that most of the samples giving 

excess heat have well defined grain boundaries, while samples in which grain boundaries are 

not clearly identifiable by microscope inspection, in most cases did not produce excess heat. 

2

180.00 

160.00 

140.00 

120.00 

100.00 

80.00 

60.00 

40.00 

20.00 

0.00 

160 

140 

120 

100 

80 

60 

40 

20 

0 

L5 

L14 

L17 

L25a 

L3 0Flux 

L2 6 

L25b (I) 

L25b 

L25a 

L23 

L17 

L14 

L49 (191-231) 

L42 TP50% Flux 

L35b Laser 

L35b Flux 

L26 

L25b (I) 

L25b 

L42 TP 50% Flux 

L35bLaser 

L35bFlux 

L50 (86-12 4) 

L51 (2-40) 

L52 (129-167) 

L53 (2 60-301) 

L52 (129-167) 

L51 (2-40) 

L50 (86-124 ) 

L49 (191-23 1) 

L48 (15 9-200) 

L48 (228-266) 

L46 (85-125) 

Figure 4.3. Vickers hardness (units areMPa) of 

batch correlation with excess heat 

0.9 8 

0.9 6 

0.9 4 

0.9 2 

0.9 0 

0.8 8 

0.8 6 

0.8 4 

0.8 2 

0.8 0 

0.7 8 

Figure 4.1. Mean grain size correlation with 

excess heat occurrence 

L35 b Laser 

L35b Flux 

L30 Flux 

L26 

L25b 

L25a 

L23 

L17 

L14 

L46 (85-125 ) 


L48 (159 -20 0) 

L48 (2 28-266) 

L50 (86-124 ) 

L49 (1 91-231) 

Figure 4.5. D/Pd loading ratio correlation with 

excess heat 

L51 (2 -40) 

1 

0 

L53 (260-301) 

Mean Grain 

Size (µm) 

Excess 

1 

0 

D/Pd 

Excess 

L53 (2 60-301) 

L52 (129 -16 7) 

Batch 

Hardness 

Excess 

L54 (189 -22 7) 

Figure 4.1 shows the mean grain equivalent radius (units are microns), as it has been 

measured from the SEM images, by counting the number of grains present in a fixed area. 

Figure 4.3 shows that excess heat occurred with more statistical probability with samples 

which have a Vickers hardness of 120 MPa. The Vickers hardness is measured on the 

1 

0 

448 

1 

0 

L25a 

L17 

L14 

L5 

L25b (I) 

L25b 


L35b Laser 

L35b Flux 

L26 

L48 (228-266) 

L46 (85-125) 

L49 (191-231) 

L48 (159-200) 

Figure 4.2. Grain boundary correlation with 

excess heat (1=correlation evident, 0=not 

evident) 

100% 

90% 

80% 

70% 

60% 

50% 

40% 

30% 

20% 

10% 

0% 

L25 

L35 

L40 

L46 

L47 

Figure 4.4. Grain crystal orientation 

correlation with excess heat 

0.0 9 

0.0 8 

0.0 7 

0.0 6 

0.0 5 

0.0 4 

0.0 3 

0.0 2 

0.0 1 

0.0 0 

L25a 

L23 

L17 

L14 

L48 

L30 Flux 

L26 

L25 b 

L49 

L54 (189-227) 

L53 (260-301) 

L52 (1 29-167) 

L51 (2 -40) 

L50 (86-124) 

Figure 4.6. Low current D/Pd loading 

correlation with excess heat (units are mA -1 ) 

L50 

L53 

L54 

L46 (85-125 ) 


L35b Laser 

L35 b Flux 

L55 

L48 (159 -20 0) 

L48 (228-266) 

100% 

90% 

80% 

70% 

60% 

50% 

40% 

30% 

20% 

10% 

0% 

L50 (8 6-1 24) 

L49 (1 91-231) 

1 

0 

 

 

 

Exces s 

L52 (129 -16 7) 

L51 (2-40) 

Grain 

Boundaries 

Excess 

(D/Pd)/Cell I 

Excess 

L54 (189 -22 7) 

L53 (260-301) 

1 

0

palladium lot as received. Different hardness values indicate different elastic properties and 

different impurity content in the original material. 

In Fig.4.4 the results of crystal grain orientation are reported. The ordinate axis indicates the 

percentage of the sample volume which is oriented along a particular crystallographic direction. 

Three sets of data have been reported, one for each of the main lattice planes: , , 

. Although the results are not statistically significant because the ensemble of samples on 

which crystallographic data have been available is limited, the graph shows that only samples 

having more than 50% orientation gave excess heat, suggesting that orientation is 

a necessary condition for excess heat to occur. 

The last two figures (Fig. 4.5 and 4.6) show data on deuterium loading. In Fig. 4.5 the 

ordinate axis indicates the values of the D/Pd atomic ratio determined with four point probe 

resistivity measurements and the Baranowskii – McKubre curve. This is measured during 

electrolysis. The results confirms what has already been described in literature, that a D/Pd 

ratio higher than 0.85 is a necessary condition to obtain excess heat. It should be noted, 

however, that all the samples considered have a D/Pd ratio higher than 0.85; the correlation 

parameter g value would be much higher if samples below the loading threshold had been 

considered. 

Fig. 4.6 gives insight into a more unexplored result. The histogram shows the ratio between 

D/Pd atomic ratio (also referred as the “maximum loading”) and the electric current that was 

flowing through the cell when that loading was obtained. McKubre identified two types of 

excess power production: Type A, excess begins after several days of electrolysis and depends 

on the current density; and Type B, excess begins soon and does not always depend the current 

density. [4] The figure shows that when excess heat is produced, a high level of deuterium 

loading was generally obtained at low electric current (see samples L14, L17, L23, L46); 

exceptions are samples L25a and L30Flux, which both gave excess heat of type B, while all 

other samples gave excess heat of type A. 

Correlation 

Factor (g) 

Table 4.1. Correlation factor g value for measured properties of the Pd samples 

Hardness 

Mean 

Grain 

size 

Grain 

boundary 

Grain Crystal 

Orientation D2 

 

Loading 

449 

Low 

Current 

D2 

Loading 

0.65 0.64 0.63 0.62 0.23 0.46 0.60 0.81 

Conclusions 

Starting with metal from commercial suppliers, Pd cathodes have been produced and 

characterized systematically, by performing measures on their metallurgical and 

electrochemical properties. 

The experimental data have been filed and stored in a database.

Suitable correlation parameters have been defined and correlations have been found between 

heat excess production and individual properties; i.e. the mean grain size, grain boundary, 

material hardness, crystal grain orientation, deuterium loading and low current deuterium 

loading level. 

Multiple-regression data analysis could also be advantageously applied to our data, because 

the number of samples in the database is increasing. 

References 

1. V. Violante, F. Sarto, E.Castagna, C. Sibilia, M.Bertolotti, R. Li Voti, G.Leahou, M. 

McKubre, F. Tanzella,G. Hubler, D. Knies, T. Zilov and I. Dardik, Calorimetric Results of 

ENEA Cooperative Experiments, in the 13th International Conference on Condensed Matter 

Nuclear Science, Sochi, 2007 

2. F. Sarto, E. Castagna, M. Sansovini, S. Lecci, V. Violante RdA, D.L. Knies, K.S. 

Grabowski, G.K. Hubler, "Electrode Surface Morphology Characterization by Atomic 

Force Microscopy" 

3. G.K. Hubler, Anomalous effects in hydrogen-charged palladium - a review, Surface & 

Coatings Technology (2007), doi: 10.1016/j.surfcoat.2006.03.062 

4. V. Violante, F. Sarto, E. Castagna, M. Sansovini, S. Lecci, D.L. Knies, K.S. Grabowski, 

G.K. Hubler, “Material Science on Pd-D System to Study the Occurrence of Excess of 

Power”, in these proceedings 

450

Condensed Matter “Cluster” Reactions in LENRs 

George H. Miley 1 , Heinz Hora 2 and Xiaoling Yang 1 

1 Dept. of Nuclear, Plasma and Radiological Engineering University of Illinois, Urbana, Il 

2 Dept. of Theoretical Physics, University of New. South Wales, Sydney, Australia 

Abstract 

In this paper we first point out evidence for condensed matter cluster formation 

based on thin-film electrolysis. Next, measurements of superconductivity in 

condensed matter deuterium “clusters” in dislocation sites loaded-deloaded 

palladium thin films are briefly reviewed, followed by a discussion of 

techniques under study to increase the number of such sites per unit volume of 

the electrodes. Estimates for resulting “cluster reaction” rates – flow enhanced 

Pycnonuclear fusion are given. If successful, this approach offers a “Roadmap” 

for future power unit based on thin films and clusters. 

Introduction 

There is mounting evidence for localized reaction sites in many cold fusion and low energy 

nuclear reaction (LENR) experiments. Hot spots and damage spots on electrodes have been 

widely reported (e.g, by Srinivasan, Mizuno, Dash, Boss, …). Also, there have been detection 

patterns noted in our various types of experiments (Bead x-ray film, transmutation product 

pattern, MeV charged particles tracking pattern in CR-39 detectors, and observation of soft 

X-ray beamlets in pulsed plasma bombardment experiments). These observations indicate that 

localized reaction sites frequently occur and can dominate the reaction mechanism. More 

insight into the possible character of these sites comes from our earlier studies of the formation 

of superconducting “clusters” of hydrogen isotopes in dislocation loops formed in thin film 

palladium electrodes. That work is reviewed next, followed by a discussion of implications for 

creating highly reactive electrodes based on a high density of these condensed matter “clusters” 

in the host electrode material. 

Condensed Matter Cluster Characteristics and Electrode Fabrication 

The squid magnetic measurements described in Ref. 1 show “clusters” have characteristics of 

a type- II superconductor (See Figure 1). Cluster regions can have hydrogen densities 

approaching 10 24 /cc (See Figure 2). Dislocation loop cluster type electrodes are fabricated by 

cyclic loading-deloading, hence being named “Dislocation Loops by Repetitive Loading- 

Deloading (DLRLD)”electrodes. These DLRLD electrodes are based on studies where high 

loadings in dislocation loops in treated Pd have exhibited properties associated with a 

superconducting phase termed a “cluster.” However, the low fractional volume of the clusters 

(which is where the fusion producing reaction would occur) limits total reactions to low levels. 

Thus, a second type of cluster forming electrode that employs a manufactured nano-porous 

structure is under study. 

451

Figure 1. The magnetic moment of H2- cycled PdHx(fg) samples in the temperature range of 2 T < 50 K is 

significantly lower than M(T) for the original Pd(bgr) single crystals. 

Figure 2. Squid magnetic measurements show clusters have characteristics of a type- II superconductor. 

Cluster regions can have hydrogen densities approaching 10 24 10 24 /cc. 

Fabrication 

Cold worked Pd foil is used for Pd/PdO production. Prior to oxidation, the Pd substrate is 

annealed in a vacuum. It was then briefly treated in an oxygen-butane torch to produce a stable 

oxide layer, about 40-nm thick. Samples were electrochemically cycled to create a hydrogen 

filled dislocation structure in the Pd/PdO. The samples serve as the cathode, and a Pt anode is 

employed along with a high purity electrolyte. Electrochemical “cycling” involves periodically 

switching the cathode-anodic polarizations (loading – deloading) of the sample. After achieving 

a cathode loading up to x = H/Pd = 0.7, the voltage polarity is switched to the anodic regime to 

extract hydrogen from the volume of the lattice. To remove all weakly bound residual hydrogen 

atoms, the loading–deloading cycles are repeated 5-10 times. The samples are then annealed in 

a vacuum at 300°C for several hours. 

452

Loading Measurements 

A high-vacuum thermal desorption technique is used to estimate residual hydrogen 

concentration in the PdHx and Pd/PdO:Hx samples (Fig. 3). The samples were heated in a high 

vacuum (10 -8 Torr) chamber with a quadruple mass-spectrometer. The hydrogen desorption 

peak area and the temperature of its maximum were found by analyzing the desorption species 

and comparing their yields to background data from the Pd(bgr) or Pd/PdO)bgr). 

Figure 3. Thermal desorption analysis (TDA) performed with annealed Pd(bgr) samples in the temperature 

range of 20-900°C 

Analysis of Cluster Loading 

To obtain an average loading ratio x = H/Pd, special calibration measurements are done with 

a known mass (0.3 mg) of TiH2 powder (decomposition temperature ~ 400°C.) A Comparison 

of the hydrogen pressure from this powder, with that of the PdHx samples gives the residual 

hydrogen content in the cycled Pd. The typical effective loading ratio is found to be 

x ~ (4.5 0.5) × 10 -4 , much lower than for any known stable phase of Pd hydride. Since this 

sample underwent annealing at a temperature of 570 K (decomposing the residual -phase in 

the lattice), all remaining hydrogen detected is attributed to loading in dislocations, not in the 

regular lattice. 

Cluster Parameters 

Extrapolation of results of SANS measurements gives a radius RH and binding energy of the 

residual hydrogen distribution with respect to dislocation cores. The Garlic-Gibson kinetics 

model is used for the kinetics of the second-order thermal activation processes observed in the 

thermal desorption analysis (TDA) measurements. Then, the activation energy of desorption 

(effective binding energy of hydrogen atoms within the lattice) is found to be ~ 1.6 0.2 eV, 

well above the H-trapping activation energy of ~ 0.7 eV normally attributed to bulk hydrogen. 

This indicates that the hydrogen is solely bound inside the deepest core sites (at a radius RH = 

2.75 A, close to the Burgers vector or minimal radius of H capture in Pd). This suggests that all 

residual hydrogen is localized inside the dislocation loops (in the direction of Pd [121]) 

453

determined by Burgers vector b [101] = 2.75 A. Then, the dislocation density Nd, the effective 

loading ratio inside the loops is determined by the simple formula: xeff = 2/Nd/b 2 ., 

giving Nd ~ (1.0-2.0) × 10 11 cm -2 and ~ (4-6) × 10 -4 Thus x eff would be in the range of 

1.0

Reaction Rate Estimates 

An estimate of Cluster fusion rates in such dislocation loops at high D density follow from 

the well known Pycnonuclear reaction theory used for calculation of high density state fusion in 

astrophysics [6]. In the present case, however, the normal theory must be modified to include 

the effect of flow of hydrogen (deuterium) ions into the cluster site. This flow is unique to the 

present case of electrolytic ally driven reactions and it drastically changes the reaction rate. 

Initial results applying this modified Pycnonuclear theory confirms the rate strongly depends on 

cluster loading (i.e. on the condensation state and the dislocation geometry) and on the 

deuterium flux across the loop boundary flux. Results confirm that use of deuteron fluxes 

consistent with the thin film foil studies using CR-39 tracking foils predict rate of the same 

order of magnitude as indicated the experimental data. Further details about this theory will be 

presented in a forthcoming paper. 

Implications – A Roadmap to Power Cells 

If high volumetric densities of cluster sites can be created via the methods outlined earlier, a 

high reaction rate per cc should result given a competitive power cell. We term the electrode 

designed to achieve a “massive cluster electrode” (MCE) for controlled cluster reactions. Some 

insight to the way we hope to achieve this is illustrated in Figures 5 and 6. 

Figure 5. Illustration of construction of MCE. 

455

Figure 6. Construction steps for making Micro-fiber Felt (NMF) for the MCE. 

The approach starts with creation of a micro-fiber felt sandwich structure as shown in Fig. 5. 

The MNF is a unique material that is manufactured in a multistep process outlined in Fig. 6. 

Palladium is then sputtered onto the MNF prior to encapsulating it into the sandwich electrode 

configuration. Many local defects occur at interfaces in this configuration, giving a high 

volumetric density of potential cluster sites. This work is currently in progress, and preliminary 

results to data are encouraging. 

In addition to applications to LENR power systems as discussed here, a version of the 

Massive Cluster Electrode has a very important application in hot fusion. As suggested by the 

author in Ref. 5, such a structure could be used in the core of an inertial confinement fusion 

(ICF) target. In that application the objective is to use a laser or ion beam to compress a target, 

thereby compressing the clusters since the cluster deuterium density is in order of magnitude 

higher than cryogenic deuterium. The compressed cluster density would also exceed that 

possible in present cryogenic ICF targets. Since the reaction goes as the square of the density, a 

very large reaction rate would occur in the cluster region. In addition to power production, such 

conditions are of strong interest to basic understanding of fusion phenomena and astrophysics 

[6]. For power production the techniques would need to be extended to develop deuteriumtritium 

(D-T) clusters to take advantage of the high D-T fusion cross sections. Also, to reduce 

radiation losses development of a low-Z host material such as lithium or beryllium would be 

desirable. 

Conclusion 

This paper makes a strong case that condensed matter deuterium cluster formed in dislocation 

loops are one way to achieve nuclear reactive sites in LENR electrodes. The problem to date 

has been that the volumetric density of such cites, which is highly reactive, have a low density 

of sites per unit volume. Possible methods to achieve a high volumetric density of sites (i.e. 

achieve a massive cluster electrode (MCE) that are under study are briefly outlined. This is 

thought to offer an orderly “roadmap’ for moving on to competitive power cells. 

456

References 

1. Andrei Lipson, Brent J. Heuser, Carlos Castano, George Miley, Boris Lyakhov, and 

Alexander Mitin, “Transport and magnetic anomalies below 70 K in a hydrogen-cycled Pd 

foil with a thermally grown oxide” Physical Review B 72, 212507, 2005. 

2. A. Lipson, C. Castano, G. Miley, A. Mitin, and B. Lyakhov, “Emergence of a High 

Temperature Superconductivity in Hydrogen Cycled Pd compounds as an Evidence of 

Super-stochiometric H/D Sites”, Proc. ICCF-11, Marseilles, France, Oct 31 – Nov 5, 

(2004). 

3. G. H. Miley, A. Lipson, H. Hora and P. J. Shrestha, “Cluster Reactions in LENRs”, 

Proceedings of 8 th International Workshop on Anomalies in H/D Loaded Metals, Catania, 

Sicily, October 12-18, (2007). 

4. G. H. Miley, et al. “Progress in thin-film electrode research at the University of Illinois.” 

The 9th International Conference on Condensed Matter Nuclear Science. 2002. Tsinghua 

Univ., Beijing, China: Tsinghua Univ. Press. (2003). 

5. G. H. Miley, “Novel High Performance Cluster Type ICF Target, DOE Innovative 

Concepts (ICC) Workshop, Reno NV 2008. 

6. S.L. Shapiro and S. A. Teukolsky, “Polynuclear Reactions.” Black Holes, White Dwarfs, 

and Neutron Stars. New York: John Wiley & Sons. 72-81, (1983). 

457

The Phusor®-type LANR Cathode is a Metamaterial 

Creating Deuteron Flux for Excess Power Gain 

Mitchell Swartz and Gayle Verner 

JET Energy, Inc. Wellesley, MA 02481(USA) 

Dr. Mitchell Swartz does not wish to have his papers uploaded to LENR-CANR.org. A copy of 

this paper can be found here: 

http://www.iscmns.org/iccf14/ProcICCF14b.pdf 

458

Introduction to the Theory Papers 

Persistent resistance to accepting the Fleischmann–Pons Effect (FPE) as an attribute of a 

nuclear process is due to the need to accept two “miracles”: suppression of the Coulomb barrier 

and lack of high-energy emissions. Both observations contradict textbook nuclear physics and 

experience with hot fusion. The first problem is how deuterons (or other nuclei) get together to 

undergo nuclear reactions despite the electrostatic repulsion between them. If one assumes a 

two-particle scattering model and collision energies commensurate with the temperatures in the 

experiments, calculations of the tunneling rate through the barrier yield values too low by some 

tens of orders of magnitude to account for the observed output powers. The second problem is 

the lack of observed high-energy gammas, alphas, neutrons, protons, or other prompt nuclear 

signatures. (There are experiments in which low-level energetic emissions from metal 

deuterides or hydrides have been reported, often without measured excess heat. These lend 

credence to the proposition that nuclear effects are taking place, but the levels are not 

commensurate with the power observed in excess-heat experiments.) In the hot-fusion regime, 

the dominant channels for deuterium fusion are d + d → p + t + 4 MeV and d + d → n + 3 He + 

3.3 MeV; the expected energetic reaction products are typically not seen in cold-fusion 

experiments. Correlation of 4 He production with heat production suggests d + d → α + 24 MeV 

(or d + d + X → α + X + 24 MeV, with X to be determined), but again energetic outputs such 

as 24 MeV gammas are conspicuously absent. We thus need an explanation for how energy 

born in multi-MeV nuclear events gets transferred to the lattice as heat. 

Over half of the papers in this section—fourteen of the twenty-three—address in some way 

the suppression of the Coulomb barrier. We will say something about each of them below. Six 

of the fourteen also address the lack of high-energy emissions. Three papers can be classed 

under the heading of “transmutation,” which is used here to refer to transformations of isotopes 

other than those of hydrogen and helium. Nine other papers attempt to lay a foundation for 

anyone trying to develop models and theories of the FPE. These are discussed first. 

Table 1 has been constructed to provide a characterization of the various papers in this 

section. The numbers of the papers in the table, and at the end of this introduction, are referred 

to in the remainder of this introduction. The table answers the following questions: 

1. What is the form of the reaction considered? (“Which LENR?”) 

2. Does the paper deal with the Coulomb barrier? (“Coulomb barrier”) 

3. Does the paper deal with the presence or absence of energetic particles? 

(“Hi-energy particles”) 

4. What is the conceptual foundation of the theory? (“Concept”) 

5. Has the concept been reduced to equations? (“Equations?”) 

6. Have numerical results been provided? (“Numerical Results?”) 

7. Have the results been applied? (“Use of Results?”) 

475

Table 1. Characterization of the Theory Papers in This Section 

Authors Which LENR? Coulomb Hi-energy 

Concept Equations? 

barrier particles 

Numerical 

Use of Results? Comments 

Results? 

1 Adamenko, 

Transmutation N/A N/A Magnetic monopoles Yes 

Vysotskii 

Approx. 

No 

bounds 

2 Alexandrov e+p n+ Neutrons No 

Band theory, 

Yes Yes 

Applied to 

effective mass 

semicond. 

3 Bass, Swartz D fusion No No Control theory Computer simul. Yes Future work 

4 Breed 4d + … Yes Yes 

Band theory, effective 

Yes No N/A 

mass, resonance 

5 S. Chubb d+d 4 He+heat Yes Yes 

Nonlocal quantum 

Yes Yes No 

“Real barrier is 

effects, resonance 

conceptual” 

6 T. Chubb Various Yes Yes “Ion band states” No No N/A 

7 Cook Transmutation No N/A Nuclear lattice model Yes Yes Compare with exp’t 

8 Dufour et al. Pd+D, D+D Yes Indirectly New force No No N/A 

9 Fou d+d fusion Yes No 

Neutron exchange, 

No No N/A 

electrostatic fields 

10 Frisone 

D plasma 

Yes N/A 

Gamow and Preparata 

Yes Yes No 

oscillations 

theory 

11 Godes e+p n+ Neutrons No Various No No N/A 

12 Hagelstein, d+d 

4 Yes Yes 

Coupling 2-level systems 

Yes Qualitative N/A 

Chaudhary He+24 MeV 

to phonons 

Hagelstein, Melich, 

13 Various Yes Yes Various N/A N/A N/A 

Survey of 

Johnson 

experiments 

14 Hagelstein et al. Various No No Existing theory Yes No N/A Gen. framework 

15 Kim d+d 4 He+heat Yes Yes Bose-Einstein condensate Yes Yes Yes 

16 Kozima Not stated No No 

Cellular automata, 

No No N/A 

recursion equations 

Complexity 

theory 

17 Kozima, Date Transmutation Neutrons No “Neutron drops” No No N/A 

18 Li et al. 

d+p+e 

3 – Neutrons Indirectly Resonance, tunneling Yes Yes No 

He+e++ 

476 

Yes Yes No 

Screening via local e 

pairs 

Relations between 

operating params. 

Relations involving 

operating params. 

“Tetrahedrally symmetric 

clusters” 

19 Sinha, Meulenberg D fusion Yes No 

Yes Approx. Yes 

20 Swartz D fusion No No 

Computer 

Qualitative Yes 

calculations 

Yes Yes No 

21 Swartz, Forsley D fusion No No 

22 Takahashi 4d 8 Be* 2 Yes No

Foundations: Experimental Evidence, Models of the Physical System, 

Theoretical Concepts 

Explanations or even simple models of the PdD system that account for the FPE heat require 

simultaneously addressing the problems at nuclear scales, femtometers (fermis), and both 

atomic and chemical scales, nanometers, in a solid or a liquid where transport of hydrogen 

isotopes is occurring. We have few integrated theories for any physical science problem of this 

wide scale and complexity. Instead we develop small model systems to help us explain certain 

observations and use them to guide our experimental exploration. This is not a problem new to 

science. Herbert Frohlich in his 1961 review of The Theory of Superconductivity provides us 

some guidance on what has succeeded in these situations. 

By 1933, when it was clear that the basic physics required for the development 

of a theory of superconductivity was well understood, many physicists had tried 

in vain to propose such a theory. A general feeling of frustration arose such that 

the first thing one did when acquainted with another attempt was to try to find 

where it was wrong. This feeling found its expression in Pauli’s remark, 

“Theories of superconductivity are wrong”, and by Felix Bloch’s theorem, 

“Theories of superconductivity can be disproved”. It was astonishing to see how 

my first paper in 1950—soon followed by Bardeen’s first paper—led to a 

complete reversal of opinion. Schafroth (1951) followed Pauli’s suggestion to 

work further on this theory and he was the first to show that perturbation theory 

could not be applied. Yet neither he, nor most others, doubted the correctness of 

the basic assumption that electron-phonon interaction should be principally 

responsible for superconductivity. This, so far as I have seen, was principally 

due to the fact that no ‘new’ interaction between electrons had to be invented but 

that the theory was completely based on the empirically successful free electron 

model. … 

Yet it appears that all this did not affect some of those physicists who had 

previously formed an opinion in a different direction. A striking example can be 

found in the article by W. L. Ginsburg published in 1953… 

In contrast to this dangerous dogmatic approach, the development of the theory 

of superconductivity is an excellent example of the intuitive approach. My idea 

was foremost that one should consider the small energy involved in the 

superconductive transition as the first problem to be answered. Electron-phonon 

interaction provided this possibility from a purely dimensional point of view. 

When the early attempts did not succeed in solving the problem, then it was 

required, I thought, to find a new approach to the many-body problem involved. 

However, intuition won again: Bardeen, Cooper and Schrieffer (1957) proposed 

their state vector which virtually solved the problem of the gap. 

477

What is to be explained? 

Peter Hagelstein, Michael Melich, and Rodney Johnson (13) give a survey of experimental 

results that have an important feature in common. They show effects, likely nuclear, not 

explained by existing treatments of nuclear physics, and occurring in condensed-matter systems 

at relatively low temperatures. These are presented as sources of questions that need to be 

addressed by possible new theoretical statements or models. 

How compelling is the experimental evidence? 

The paper by Rodney Johnson and Michael Melich (“Weight of Evidence for the 

Fleischmann-Pons Effect”) addresses this question and can be found in the section on 

“Challenges and Summary” The introductory comments on this paper are to be found in that 

section. 

Where shall we start? 

The paper by Peter Hagelstein et al. (14) presents a general framework for formulating 

problems in CMNS in terms of generally accepted basic principles. The framework is broad 

enough to encompass problems of nuclear physics and condensed-matter physics on an equal 

footing, together with interactions between them. The starting point is a representation of a 

system as a set of electrons and nucleons, interacting via electromagnetism and the strong 

nuclear force, supplemented if necessary by weak-interaction terms and neutrinos. A set of 

reductions and approximations is described that allows a problem to be made computationally 

tractable while retaining necessary detail: empirical potentials may be used for interactions 

between nucleons; most lattice nuclei may be treated as single entities by writing in terms of 

center-of-mass coordinates and integrating out the relative coordinates of constituent nucleons; 

the Born-Oppenheimer approximation may be used; and in problems involving phonons, the 

center-of-mass coordinates may be re-expressed in terms of phonon-mode amplitudes. The 

coupling between phonons and internal nuclear coordinates is discussed as an example. This 

approach reflects Frohlich’s notion that progress depends on our dependence on “intuition” or 

in the jargon, induction as opposed to deduction from axiomatic approaches. John Bardeen, 

when faced with the 1987 high-temperature superconductivity results, turned immediately to 

tabulating the experimental data and trying to understand what it was telling us. Bardeen’s 

method of “wallowing in the data” puts the foundation under intuition and lets the experiments 

guide in the selection of models, as advocated in this paper. 

Are there other kinds of mathematical relationships that could be useful in CMNS? 

Hideo Kozima (16) hints at intriguing connections between cold-fusion processes and two 

topics related to complexity theory: (1) cellular automata and (2) recursion relations of the form 

xn+1 = λ f(xn). The connection with cellular automata is that the occupation numbers at time t + 1 

for D (or H) at a lattice site depend on the values at time t at the site and its neighbors. The 

working out of the exact dependence has been left for future work. For the recurrence relations, 

the author describes the population model that led to the logistic equation, xn+1 = bxn(1 − xn). 

Radically different types of behavior, chaotic and non-chaotic, can be obtained by varying b 

478

Such results are applicable to a wide variety of nonlinear dynamical systems. Precise details of 

the connection with cold-fusion phenomena are left for future work. 

Can the methods of Control Theory modeling assist in the design of CMNS experiments? 

Mitchell Swartz (20) considers phenomenological relations involving various performance 

parameters of CMNS systems, such as excess heat production and production of helium or 

tritium. He argues that these relations (referred to as Optimal Operating-Point [OOP] 

Manifolds) are best presented as functions of electrical input power and that these relations 

describe many (or most) CMNS systems, provided one distinguishes three regions: surface, 

subsurface, and deep bulk (the last also including Y. Arata’s zirconium / Pd black systems). 

The author relates OOP manifolds to an equation (eq. 1 in the paper) then relates deuteron 

fluxes to drift rates (due to applied field) and thermal diffusion rates. On the basis of the 

equation, he recommends use of low currents, high voltages, and pure D2O without additives 

such as LiD. 

Robert Bass & Mitchell Swartz (3) confront Bass’s work on system identification 

(“Empirical System Identification”) described in his ICCF-1 paper, with Swartz’s work on 

OOP Manifolds, mentioned just above. Models of various sizes were estimated, and the system 

output values calculated from them were compared with measured values. On the basis of the 

results, the authors hold out the possibility of designing a feedback controller for latticeassisted 

nuclear reaction (LANR) systems that would yield a substantial improvement in output 

power. 

Mitchell Swartz & Lawrence Forsley (21) examine results reported by Irving Dardik and 

others at Energetics Technologies, in which LANR systems were driven by a complex 

waveform consisting of a sinusoid modulated by another sinusoid, which was modulated in its 

turn by yet another sinusoid. The authors propose as an explanation for the reported substantial 

energy gains that the waveform had the effect of driving the system, for at least part of its duty 

cycle, through its optimal operating point (OOP, mentioned above). 

Does CMNS compel us to take a quantum-theoretic view of CMNS? 

The paper by Scott Chubb (5) is a largely philosophical work that takes as its thesis that the 

real barrier to progress in Condensed-Matter Nuclear Science (CMNS) is not the physical 

Coulomb barrier but the conceptual barrier presented by quantum mechanics. We are 

introduced to the epistemological perplexities of quantum theory and the challenges to our 

notions of causality presented by Wheeler and Feynman’s absorber theory. Towards its end, the 

paper makes contact with the “Ion Band Theory,” which has been developed in many previous 

publications by the author and Talbot Chubb. Deuterium ions in the lattice are treated as 

occupying nonlocal states similar to the states occupied by conduction electrons in 

conventional solid-state theory. Resonant conditions are important, and boundary effects come 

into play. 

479

Explanation of fusion (with or without high-energy emissions) 

Several of the papers involve the notion of screening—accumulation of negative charge 

(electrons) at locations between two nuclei so that the resulting attractive forces partially offset 

the repulsion between the positive charges of the nuclei. A few circumvent the Coulomb barrier 

by introducing neutrons into the interaction, neutrons not being subject to electrostatic 

repulsive forces. Both these ideas are highly intuitive—they are easy to picture in the mind’s 

eye. Many of the papers, however, invoke notions more remote from everyday experience. We 

find mention of cooperative effects, nonlocality, quasiparticles, resonance, and condensates. 

The discussion becomes ineluctably quantum-theoretic. 

The Ion Band Theory (mentioned above in connection with Scott Chubb’s paper) is also the 

subject of the paper by Talbot Chubb (6), who discusses a two- (rather than three-) 

dimensional version of the theory suitable for treating interfaces, such as that between a ZrO2 

crystal face and a Pd nanocrystal. 

The paper by Ben Breed (4) studies “heavy electrons,” electron pseudo-particle states with 

high effective mass, a well established concept in solid-state physics. Breed points out that 

while the states are nonlocal in the sense of extending over many lattice cells, they can 

nevertheless concentrate charge near the lattice sites, or at points midway between, and thus 

provide a mechanism for screening to suppress the Coulomb barrier. To explain the lack of 

high-energy emissions, he invokes resonant modes that can bring four deuterons close together. 

Though such multi-particle interactions are virtually impossible in particle-beam experiments, 

we are told that they are not uncommon in a solid-state environment. Not all four deuterons are 

required to participate in fusion. However, the additional particles expand the possibilities of 

sharing energy and momentum while respecting conservation laws. 

Four-deuteron interactions are also considered in the paper by Akito Takahashi (22) though 

details differ greatly. Takahashi posits the formation of a “tetrahedral symmetric condensate,” 

involving a cluster of four deuterons with the symmetry of a tetrahedron, an example of what 

he calls “Platonic symmetry.” (The tetrahedron and the octahedron, also mentioned, are regular 

polyhedra, instances of the classical Platonic solids.) Applying a one-dimensional Langevin 

equation to the internuclear distance, the author concludes that, once formed, such a cluster, 

while preserving its symmetry, will with near certainty undergo catastrophic collapse to very 

small dimensions, fusing to an excited 8 Be* state. Takahashi expects this to yield two 24 MeV 

alpha particles, though details await further work. The energy is predicted to be expressed as 

kinetic energy of the alphas rather than as gamma radiation. 

The paper by Jacques Dufour et al. (8) concerns a hypothesized new force, derived from a 

Yukawa-like potential with a greater range than the usual nuclear scale: picometers rather than 

femtometers. The authors explore some consequences of the existence of the potential, 

including possible bound states between Pd and D or D and D at a picometer scale, and 

possible promotion of fusion reactions. They propose an experimental program to test the 

existence of and to study the potential. 

Cheng-ming Fou (9) considers a pair of deuterons contained in a void of atomic dimensions 

in an otherwise homogeneous solid. He proposes mechanisms, namely neutron exchange and 

480

electrostatic fields, that could generate attractive forces between the deuterons, partially 

offsetting the Coulomb barrier. The author makes the point that knowing what the fields are in 

the metal environment is an important consideration, and through a simple model calculation, 

he attempts to find a tractable way of estimating them. 

Fulvio Frisone (10) studies plasma oscillations of palladium d-shell electrons, Pd ions, and 

deuterons in D-loaded Pd, in an extension of work by Giuliano Preparata. He finds negative 

charge condensation near D + ions, providing a screening potential. However, calculated fusion 

rates are said to be insufficient to explain substantial heat production in Fleischmann–Pons 

experiments. The author contemplates further work, exploring the contributions of 

deformations, micro-cracks, and impurities. 

Yeong E. Kim (15) proposes that mobile deuterons in a micro- or nano-scale grain of Pd can 

form a Bose-Einstein condensate. He cites work of Dirac and Bogolyubov to assert that for 

large occupation number of the ground state, the bosons act independently and largely ignore 

the Coulomb barrier. He presents selection rules, which suggest that, in contrast to free space, 

d + d → α should dominate, not d + d → p + t or d + d → n + 3 He. The resulting 24 MeV is 

said to be taken up by the condensate and shared by the remaining deuterons. 

K. P. Sinha and A. Meulenberg (19) propose a mechanism for screening involving: presence 

of d-d pairs in linear defects in the Pd lattice; interactions of optical-mode phonons with ions 

and electrons; consequent formation of local electron pairs; then formation of D − and D + ions 

and hence resonant D + -D − pairs. The local electron pairs have been discussed elsewhere by one 

of the authors in connection with high-temperature superconductors. 

The paper by Dimiter Alexandrov (2) is one of three in this section that deal in some way 

with neutrons as participants in nuclear reactions in solids. The focus of this paper is “heavy 

electrons.” The author considers disordered nitride semiconductors such as InxGa1−xN and 

performs band-structure calculations that lead to values (some quite large) for the effective 

electron mass. He considers conditions under which the enhanced mass can permit an inverse 

beta-decay reaction: e + p → n + ν, as also proposed under other conditions by A. Widom and 

L. Larson (ref. [3] of the paper). The resulting neutrons can induce various unspecified nuclear 

reactions. Application of this work to metallic hydrides, such as PdD, is not yet clear and is left 

to future work. 

Robert Godes (11) proposes a mechanism to explain FPE devices built by his company, and 

perhaps other systems. Direct D+D fusion is avoided by an indirect path involving cold 

neutrons. An assumed Hamiltonian leads to neutron production through inverse beta-decay. 

Hydrogen isotopes build up to 4 H by neutron capture, followed by 4 H → 4 He + e + . 

Xing Z. Li et al. (18) present a three-parameter empirical formula for cross sections of 

several processes involving D, T, or 3 He. It shows better fits to data than a much used fiveparameter 

formula. They argue that the form of the formula supports a “selective resonant 

tunneling” model for the processes and, on the basis of channel-width matching, that the 

absorption process at low energy must be narrow, long-lived, and therefore a weak-interaction 

process. They conclude that selective resonant tunneling explains the occurrence of excess heat 

without high-energy neutron or gamma emission. As a candidate reaction they mention “K- 

481

capture of an electron by a deuteron, followed by decay of a triton.” This is written as p + d + 

e – → T + ν followed by T → 3 He + e – + , though “K-capture of an electron by a deuteron” 

would seem to hint at the transitory existence of a dineutron, 2 n, during the first reaction. 

This brings us to the paper by Peter Hagelstein and Irfan Chaudhary (12). Though 

screening is addressed, the main thrust of the paper is how a large quantum of energy, on the 

order of 24 MeV, can get distributed to the lattice as a very large number of quanta of 

vibrational modes, each on the order of a small fraction of an eV. The authors have studied 

models of a two-level system with a large transition energy (such as D2 and 4 He separated by 

24 MeV) coupled to a low-energy harmonic oscillator, representing phonon modes. (These are 

reminiscent of multi-spin spin-boson models that occur in other contexts.) Because the 

coupling is weak due to the Gamow factor associated with the Coulomb barrier, they are led to 

consider (1) a loss term to suppress destructive interferences and (2) a second two-level system 

strongly coupled to the oscillator. Candidates for the second two-level system are discussed. 

This work is one part of a very ambitious program to model the FPE in detail from established 

basic principles. It takes place within a general framework described in the paper by Hagelstein 

et al. (14) already discussed above. 

Transmutation 

In previous work, V. Adamenko and V. I. Vysotskii (1) reported observations that suggested 

transmutations such as 27 Al + 12 C → 39 K in high-current electron-beam experiments. They 

hypothesized that such reactions were promoted by magnetic monopoles. In this paper, they 

make inferences about the properties of the monopoles and discuss possible mechanisms for 

their creation. 

The paper by Norman D. Cook (7) considers a lattice model of nuclear structure, an 

alternative to the usual shell, liquid-drop, cluster, and other models. The lattice model has 

previously been applied to explaining the asymmetric fission of uranium. It is applied here to 

observations of palladium cathodes by T. Mizuno suggesting transmutations of the form Pd + D 

→ (fission products) for various isotopes of Pd. 

The “water tree” in the title of the paper by Hideo Kozima and Hiroshi Date (17) is a 

micron-scale defect, filled with electrolyte, which forms in polyethylene subjected to intense 

electric fields and has been implicated in failures of polyethylene-insulated power lines. The 

authors propose an explanation for observations by T. Kumazawa et al. that suggest various 

transmutations associated with the formation of water trees. The explanation is based on the 

authors’ “neutron-drop model,” developed in earlier work, which hypothesized the existence of 

a “dense neutron liquid at boundary / surface regions of . . . crystals” that contains “neutron 

drops,” denoted A ZΔ, having Z protons, Z electrons, and (A − Z) neutrons. The transmutations in 

question could be attributed to absorption by a nucleus of a neutron, with or without subsequent 

beta-decay, or to absorption of a 4 2Δ or an 8 4Δ. 

Finally, it should be noted that not all theoretical concepts for LENR were represented at 

ICCF-14. Hence this section, whilc relatively comprehensive, is necessarily incomplete. 

482

Theory Papers 

1. V. Adamenko & V.I. Vysotskii, The possible mechanism of creation of light magnetic 

monopoles in strong magnetic field of a laboratory system 

2. D. Alexandrov, Heavy Electrons in Nano-Structure Clusters of Disordered Solids 

3. R. W. Bass & M. Swartz, Empirical System Identification (ESID) and Optimal 

Control of Lattice-Assisted Nuclear Reactors 

4. B.R. Breed, Can Established Physical Principles Explain Solid-State Fusion? 

5. S.R. Chubb, Resonant Electromagnetic-Dynamics Explains the Fleischmann-Pons 

Effect 

6. T.A. Chubb, Interface Model of Cold Fusion 

7. N. Cook, Toward an Explanation of Transmutation Products on Palladium Cathodes 

8. J. Dufour et al., An Experimental Device to Test the YPCP (“Yukawa Pico Chemistry 

and Physics”) Model: Implications for the CF-LENR Field 

9. C. Fou, Investigation of Deuteron-Deuteron Cold Fusion in a Cavity 

10. F. Frisone, “The Coulomb Barrier not Static in QED,” A correction to the Theory by 

Preparata on the Phenomenon of Cold Fusion and Theoretical hypothesis 

11. R. Godes, Quantum Fusion Hypothesis 

12. P.L. Hagelstein & I. Chaudhary, Excitation transfer and energy exchange processes 

for modeling the Fleischmann-Pons excess heat effect 

13. P.L. Hagelstein, M.E. Melich, & R. Johnson, Input To Theory From Experiment In 

The Fleischmann-Pons Effect 

14. P.L. Hagelstein et al., A Theoretical Formulation for Problems in Condensed Matter 

Nuclear Science 

15. Y.E. Kim, Theory of Low-Energy Deuterium Fusion in Micro/Nano-Scale Metal 

Grains and Particles 

16. H. Kozima, Complexity in the Cold Fusion Phenomenon 

17. H. Kozima and H. Date, Nuclear Transmutations in Polyethylene (XLPE) Films and 

Water Tree Generation in Them 

18. X.Z. Li et al., Exploring a Self-Sustaining Heater without Strong Nuclear Radiation 

19. K.P. Sinha & A. Meulenberg, A model for enhanced fusion reaction in a solid matrix 

of metal deuterides 

20. M. Swartz, Optimal Operating Point Manifolds in Active, Loaded Palladium Linked to 

Three Distinct Physical Regions 

21. M. R. Swartz & L. P. G. Forsley, Analysis of “Superwave-as-Transitory-OOP-Peak” 

Hypothesis 

22. Takahashi, Dynamic Mechanism of TSC Condensation Motion 

483

The Possible Mechanism of Creation of Light Magnetic 

Monopoles in Strong Magnetic Field of a Laboratory 

System 

V. Adamenko 1 and V. I. Vysotskii 1,2 

1 Electrodynamics Laboratory "Proton-21", Kiev, Ukraine 

2 Kiev Shevchenko National University, Faculty of Radiophysics, Kiev, Ukraine 

Abstract 

In this work the reasons and mechanism of the creation of unknown magnetocharged 

particles, which were observed in experiments on supercompression of 

condensed target in Kiev Electrodynamics Laboratory “Proton-21”, are 

discussed. It is shown that these particles are most probably the hypothetical 

light magnetic monopoles that were introduced by George Lochak as magnetoexcited 

neutrinos. The parameters of these particles (including mass of 

monopole and both size and binding energy of monopole-antimonopole pair) 

and the method of their creation are discussed and calculated. 

Introduction 

In our previous work [1,2] we have presented the results of observation and investigation of 

interaction of unknown magneto-charged particles (hypothetical magnetic monopoles) with 

surface of MDS (Al-SiO2-Si) structure. We have observed the traces of ordered thermomechanical 

impact on the surfaces (Fig. 1). The length of trace was L 2 mm. These results 

were observed during experiments in Kiev Electrodynamics Laboratory “Proton-21” on 

achieving the superdense state of matter by using the high-current electron driver [3]. In the 

experimental setup an impulse electron flux with a total energy about 100...200 J and duration 

50 ns was used as a coherent driver in every cycle of supercompression. The energy of each 

electron in different experiments is about 300...400 kV, the total current - 50...70 kA . 

It was shown that the source of a great specific energy release, dQtot/dl -10 6 GeV/cm, spent 

on the formation of these traces, may be the processes of nuclear synthesis reactions 

Al 27 +C 12 = K 39 , Al 27 +C 13 = K 40 , which are running with the participation of MDS-structure 

surface nuclei and are stimulated by the action of magnetic monopoles [1,2]. 

484

Figure 1. The general view and details of MDS-structure with the tracks 

In the present work the parameters of these monopoles and the mechanisms of their creation 

in Earth laboratory are discussed and calculated. 

1. Parameters of magneto-charged particle 

In our previous work [1,2] it was shown that the process of formation of periodic tracks is 

connected with a magnetic interaction of magneto-charged particle with both magnetic field of 

anode current and multilayer MDS structure, which is the combination of diamagnetics (Si, SiO 

and melted ionized Al) and paramagnetic (solid Al) layers. In view of the form of a macrotrack 

(involving the great number of strictly periodic oscillations [1,2]), we may conclude that the 

controlling magnetic field is approximately the same along the entire trajectory. This 

corresponds to the fact that formation duration of mentioned track part is significantly less than 

the total duration 50 ns of the current pulse. If this duration was comparable with , then the 

period of oscillations at the beginning and at the end of the track would be essentially different. 

This result allows us to assume that the duration of the formation of this part of the track with 

the length L 2 mm is t 5 ns, and the mean longitudinal velocity of motion of the 

hypothetical magneto-charged particle is greater than L/t 4.10 7 cm/s. 

The maximal longitudinal velocity (in view of periodical stopping and periodical stimulation 

of fusion reactions along the trace [1,2]) is vg 10 8 cm/s. 

During detailed SIMS-researches it was shown that the area of unknown particle "point of 

reflection" (Fig. 2) is the foreign small-size (about 10 microns) object made of Fe 56 , Fe 57 and 

Co 59 isotopes and situated on the MDS structure. 

485

Figure 2. General view and the details of unknown particle reflection area on MDS surface. 

This object is made of iron-cobalt alloy and it is probably multi-domain magnetic material 

with the typical internal magnetic field H0 6...8 kOe . The typical size of domain wall is 

about r 2 microns. The same size has the area of magnetic field Hout ( r) H0 exp( r / r), 

outside the magnetic material. If the magnetic charge of the particle equals g (137...68) e 

than the magnitude of magnetic potential barrier in the area of «point of reflection» equals (see 

Fig. 3) 

 

 

V gH ( r) dr gH r 50...30 keV 

M out 

0 

0 

From these results the upper estimation of unknown magneto-charged particle mass can be 

made: 

2V 

(2) 

M 23 

M g 10 gram 

2 

v g 

The upper limit of magnetic monopole mass is less than Mg=10 -23 gram, that is by 10 16 times 

less than previous well known cosmological estimations (10 -7 gram) based on the grand unified 

theory! 

Figure 3. The scheme of reflection of magnetic charge from magnetic domain 

486 

(1)

So with a high probability the unknown particle is a light magnetic monopole that was 

introduced by George Lochak [4], and that is the magneto-excited neutrino. 

There are two possible ways for generation (creation) of such particles during the 

experiments in “Proton-21” Lab: 

1. These monopoles were created during nuclear processes of protonization and neutronization 

in collapse zone with the presence of very strong squeezed nonuniform magnetic field in 

the experimental setup of "Proton21" Lab. Fundamental nuclear transformation in this setup 

during the formation (shock implosion) and explosion of this zone is described in [3, 5-7]. 

A specific mechanism of the generation of magnetic charge can be related with the 

topological features of the collapse zone. 

2. Generation of these monopoles took place during the break of stable monopoleantimonopole 

pair of cosmological origin in very strong squeezed magnetic field. 

Let us consider the parameters of such processes. 

Parameters of such pair can be calculated with the use of conservation law for its total energy 

2 

M ( r) c 

2 

2 2 2 4 g 

p c 4M gc 

0 

r 

(3) 

and uncertainty relation 

2 2 2 

p r / 4 

(4) 

In this case the minimal meansquare size of monopole-antimonopole pair and maximal 

meansquare impulse of relative motion are following 

r r g M c , (5) 

2 2 2 

min min / 2 g 

p p / 2 r M c / g 

(6) 

2 2 2 

max max min g 

From (5) it follows that rmin 10 -12 cm (if monopole mass Mg equals proton mass 

mp =1.6.10 -24 g) and rmin 10 -9 cm if monopole mass equals electron mass. 

The potential energy of monopole-antimonopole pair with the size of rmin is 

g 

2 

| V0( rmin ) | 

rmin 

2 

2M gc 

(7) 

The maximal kinetic energy for relativistic and nonrelativistic motion of monopole and 

antimonopole inside the pair is described by the equations 

T p / 2 / 4 M r M c ( c / g ) , (8) 

nonrel 2 2 2 2 2 2 

max max g g min g 

T p c c r M c c g 

(9) 

rel 

2 2 

max max /2 min g ( / ) 

487

Here / 2 M is the reduced mass of monopole. From last two equations it follows that 

g g 

the motion of monopole (antimonopole) inside the pair is nonrelativistic: 

nonrel rel 

2 

T , T M c . 

max max 

g 

From formulas (7-9) it also follows that the ratio of kinetic and potential energies in each pair 

is very small both in nonrelativistic and relativistic cases 

T V r c g , (10) 

nonrelat 

max / | 0( min) 

| ( / 

2 2 

) / 2 1 

relat 

max / | 0( min ) | ( / 

2 

) / 2 1 

T V r c g 

(11) 

This result proves that monopole-antimonopole pair is very stable neutral system. 

The total mass of such system in stable bound state 

g g 

M ( r ) ( p / c ) 4 M ( / 4 r c ) 4M 

 

2 2 

min 

2 

max 

2 2 

g 2 

rminc 2 

 

2 

min 

2 2 

g 2 

rminc c 

M 

M g 

2 g 

 

(137) 

is very small. 

2 

g 

2 2 

In fact such pair is an invisible electro- and magneto- uncharged and extremely light object. 

It is possible that such objects have existed (unnoticed) in the universe from the moment of the 

Big Bang. 

2. Break of monopole-antimonopol pair in a strong magnetic field 

In Fig. 4 the structure of the potential hole of monopole-antimonopole bounded pair in the 

cases of presence and absence of external locally homogeneous magnetic field H0 is presented. 

Under the external magnetic field action the essential deformation of potential hole takes 

place. It leads to the possibility of tunneling of one monopole and to the spontaneous brake of 

the monopole-antimonopole pair. The probability PH and the life-time H of such tunneling 

effect is similar to the probability of nuclear alpha-decay 

P 1/ ( v / r ) e ; v p / M ; 

2W 

H H max min max max g 

r2 

1 

W 2 g 

| V0( r) VH ( r) Emin | dr, Emin V0( r1 ) VH 

( r1 

), 

 

r1 

V g / r, V gH 

r, 

2 

o H 

0 

r1 and r2 are the classical turning points for the potential energy V(r) = V0(r) + VH(r) 

488 

(12) 

(13)

Potential energy of pair 

(without magnetic field) 

Potential energy of pair (in 

presence of external 

magnetic field) 

Monopole-antimonopole pair 

Emin 

489 

V(r) 

r1 

r2 

V0(r) = - g 2 /r 

VH(r) = - gH0r 

V(r) = V0(r) + VH(r) 

r 

Free 

monopole 

Figure 4. The structure of the potential hole of bounded monopole-antimonopole pair in the cases of 

presence and absence of external magnetic field. 

The resulting expression for the probability of such tunneling effect is the following 

2 2 

12 M g 2W 1 19 M 

 

g 1 

PH 1/ H 10 e (sec ), 2W 2.10 

 

m 

p m 

p H 0( 

Oe) 

Here m p - proton mass. 

For light Lochak's monopole with Mg=mp and H0 10 15 Oe we have H 10 230 years. 

For light monopole with Mg=me and H0 10 10 Oe, H 0.1 s. 

For very light "Lochak's" monopole with Mgс 2 1 keV at H0 10 7 Oe, H 10 -7 s. Formation 

of such (and much more strong) magnetic field takes place in "Proton21" Lab experimental 

setup during fast pinch-effect of hard-current electron beam [3]. 

References 

1. Adamenko S.V., Vysotskii V.I.// 12th CMNS Proceedings, Japan, p. 356-366. 

2. Adamenko S.V., Vysotskii V.I.// Surface, #3 (2006), p. 84-92. 

3. Controlled Nucleosynthesis. Breakthroughs in Experiment and Theory, (Editors: 

S.V.Adamenko, F.Selleri, A.van der Merwe), Series: Fundamental theories in Physics, 

v.156, Springer, 2007, 773 p. 

4. Lochak G. Z.Naturforsch., v.62b (2007) p.231-246. 

5. Adamenko S.V., Vysotskii V.I. Foundations of Physics Letters, v. 17, No. 3 (2004), p. 203- 

233. 

6. Adamenko S.V., Vysotskii V.I. Foundations of Physics, v. 34, No. 11 (2004), p. 1801-1831. 

7. Adamenko S.V., Vysotskii V.I. Foundations of Phys. Letters, v.19, No. 1 (2006), p. 21-36. 

(14)

Heavy Electrons in Nano-Structure Clusters of Disordered 

Solids 

Dimiter Alexandrov 

Lakehead University, Thunder Bay, Ontario, Canada 

Abstract 

The existence of heavy electrons is found theoretically in nano-structure clusters 

of disordered solids. The basis of the investigation is the electron band structures 

of disordered semiconductors previously determined by the author. The 

existence of electron energy pockets is found for the electrons in the conduction 

bands of these semiconductors that are nano-confining potential valleys of 

dimensions in the range of the primitive cell. The electron wave function of the 

confined electron is determined in when the electron interacts with local 

electrical field that is external for the energy pocket, and the average velocity of 

the electron is found. An expression for electron mass of an electron localized in 

pocket is derived. It is found that this electron mass is greater than the electron 

mass at rest and the confined electrons are designated heavy electrons. The 

possibility of interactions of protons with heavy electrons is discussed. 

Introduction 

The problem about the electron effective mass in solids is important with regard to both 

electron and optical properties of solids. The usual methods of determining the electron 

effective masses are connected with preliminary calculations of corresponding electron band 

structures and further computations of electron mass values. These approaches assume there are 

no external radiations (laser, etc.) that interact with the electrons in solids leading to electron 

mass renormalizations according to a determined rule [1, 2]. Generally it can be considered that 

all effective mass calculations about the charges (electrons and holes) in solids are based on the 

corresponding electron band structures ignoring the rule given in [1, 2]. However, recently 

some authors [3, 4] have considered the impact of interaction of external electro-magnetic field 

with electrons in solids on the electron effective mass, and they have found that increase of this 

mass can be expected. Although the authors of [3] in comparison with the authors of [4] give 

different estimation of the impact of an external electro-magnetic field interacting with 

electrons on the electron mass both works [3] and [4] can be considered as contributions in the 

theory of the effective mass of heavy electrons. Both works assume the existence of heavy 

electrons in nano-layers on the electrode surface. 

The author’s research progress [5-8] in determining the electron band structures of disordered 

semiconductors is the basis of this paper. Previously calculated electron band structures of 

disordered nitride semiconductor compound alloys are used and the existence of energy pockets 

for electrons in conduction bands is found. These energy pockets are found to be potential 

energy valleys in the conduction bands having dimensions in the range of the primitive cell. 

Interaction of external electrical field with electron located in energy pocket is investigated and 

490

the corresponding electron wave function of the confined electron in a free electron 

approximation is determined. Formula for effective mass of a confined electron in pocket is 

derived and conclusions are drawn about the existence of heavy electrons. The interaction of 

the heavy electrons with protons is discussed. 

Electron band structures of disordered solids and electron energy pockets 

Disordered solids having common formula AxB1-xC (0 ≤ x ≤ 1, A and B have equal valences) 

are called multinary crystals. A multinary crystal is considered to be a periodical crystal having 

a large primitive super-cell, containing a finite number of quasi-elementary cells. It is found [5] 

that the electron energy in a primitive super-cell of the multinary crystal can be presented in the 

following way: 

E(r) = ∑q (r – Rq) E(q) (1) 

Where r is the radius-vector of the electron, E(q) is electron energy in the quasi-elementary cell 

q and (r – Rq) is a delta-function. The electron band structure of the multinary crystal can be 

determined on the basis of local interactions within the primitive super-cell, which determine 

the corresponding sub-bands. As a matter of fact the electron band structure of the multinary 

crystal determined in this way contains the same sub-bands as those determined for the 

primitive super-cell of the same multinary crystal without consideration of the localizations of 

the interactions. However the sub-bands determined by (1) are localized in the corresponding 

quasi-elementary cells. Linear combination of atomic orbitals (LCAO) method is used by the 

author for electron band structure calculations for disordered solids in case of nitride 

semiconductors. 

After detailed investigation, the author found [5-8] that the properties of a disordered 

semiconductor can be determined if it is taken only a part of the calculated LCAO electron 

band structure corresponding to configuration of quasi-elementary cells giving the deepest 

energy pocket for the electrons in the conduction band, deepest energy pocket for the holes in 

the valence band, and that these energy pockets are at the shortest distance. To satisfy these 

three conditions, a configuration of five different types of wurtzite quasi-elementary cells taken 

in the following order must be used for InxGa1-xN (Fig. 1): 

(1) Pure GaN quasi-elementary cell containing two atoms of Ga and two atoms of N 

surrounded by second neighboring Ga cations 

(2) Mixed In-GaN quasi-elementary cell containing half atoms of In, one and half atoms of Ga 

and two atoms of N, having second neighboring cations In and Ga 

(3) Mixed In-GaN quasi-elementary cell containing one atom In, one atom Ga and two atoms 

of N, having second neighboring cations In and Ga 

(4) Mixed In-GaN quasi-elementary cell containing half atoms of Ga, one and half atoms of In 

and two atoms of N, having second neighboring cations In and Ga 

(5) Pure InN quasi-elementary cell containing two atoms of In and two atoms of N, having 

second neighboring cations In. Each type of quasi-elementary cell forms sector of the 

corresponding electron band structure ( = 1, 2, 3, 4, 5) 

491

The same method can be used for calculation of energy band structures of other disordered 

semiconductors – nitrides, arsenides, etc. The author has made LCAO electron band structure 

calculations [5 – 8] for InxGa1-xN (Fig. 1), for InxAl1-xN, for GaxAl1-xN, for InOyN1-y and for 

non-stoichiometric InN:In .The energy levels c1 are the bottom of the conduction band, and 

the energy levels v15 are the top of the valence band. All energies are determined by taking 

the energy of the vacuum as being equal to zero. (The values shown in Fig. 1 correspond to a 

ratio of 1:1 between the surrounding atoms of different sorts.) The energy difference E g = ( c1 

- v15) gives the energy band gap of sector . The energy level 4 c1 for InxGa1-xN (Fig. 1) is 

below the neighboring levels 3 c1 and 5 c1, which means that an electron occupying this level is 

confined in local potential valley 4 c1 of the conduction band of InxGa1-xN. In addition the 

dimensions of this valley are equal to the dimensions of the quasi-elementary cell of InxGa1-xN 

containing half atoms of Ga, one and half atoms of In and two atoms of N, having second 

neighboring cations In and Ga, and these dimensions are in the range of the primitive cell – i.e. 

one can consider that 4 c1 forms an electron energy pocket. The same consideration can be 

done for the level 3 v15 in regard to holes in the valence band of InxGa1-xN, however in this 

paper it is assumed that the valence band is fully occupied in term of electrons, i.e. there are no 

holes, and there are no inter-band electron transitions. 

Figure 1. Electron band structure of InxGa1-xN. The electron energy pocket is designated. 

Effective mass of confined electron in pocket 

If an electron occupies the state 4 c1 in InxGa1-xN it will be confined in the pocket and its 

further participation in a charge transfer along the solid will require its removing from the level 

4 c1. One considers this removing to be done by electrical filed in order the results to be 

492

applicable in case of interaction of other charged particles such as protons and deuterium nuclei 

with confined electrons. An applied electrical field can remove the confined electron by 

quantum tunneling trough potential barrier [9]. In this case one can write: 

Ψout(xμ) = D 1/2 Ψin(xμ) (2) 

Where Ψin(xμ) is the wave function of the confined electron, Ψout(xμ) is the wave function of the 

electron after the barrier, and D is transmission coefficient. The applied electrical field has 

strength ξµ acting in direction xμ. According to [9] one can write (k is electron wave vector): 

Ψin(xμ) = A exp(i kµ xμ) (3) 

Ψout(xμ) = C exp(i kµ xμ) (4) 

The process of quantum tunneling of an electron confined in pocket 4 c1 in InxGa1-xN is 

schematically described in Fig. 2. In fact the line c1 is the bottom of the conduction band at 

point in the electron band structure in Fig. 1, and v15 is the top of valence band at point of 

the same electron band structure. The shifts of the lines c1 and v15 in Fig. 2 are due to 

influence of the electrical filed ξµ having designated direction on this figure as well. 

c1 

v15 

Sector 5 Sector 4 Sector 3 Sector 2 Sector 1 Sector 2 Sector 3 Sector 4 ……… 

Figure 2. Electron band structure of InxGa1-xN in external electrical field (not in scale). The 

tunneling from level 4 c1 is shown. 

493 

ξμ 

a 

xμ

According to both [9] and Fig. 2 the transmission coefficient of quantum tunneling trough a 

potential barrier of with a is 

a 

 

1/ 

2 

D = exp{- (2/ħ) [ 2m( 

U( 

x) 

E)] 

dx } (5) 

Where E is the electron energy, U(x) is the potential function of the barrier, m is electron mass 

on level 4 c1, and x = xµ. Also m = m*m0 where m* is electron zone mass and m0 is the electron 

mass in rest. The author assumes that the bottom of the conduction band in a pocket has the 

same behavior as the bottom of the same band of pure semiconductor built by the same 

chemical elements as these presented in the corresponding sector. In this way the author 

assumes that m*≠1. Using Fig. 2 one can write for U(x) (x = xµ): 

0 

U(x) = U0 - qξµxµ 

Where q is electron charge and U0 is average height of the potential barrier for ξµ=0. 

It can be considered a free electron having mass m moving after the barrier. According to 

[10] the average value of the velocity v out of this electron in direction xµ is: 

v out = (ħ / 2 m i) ∫ { Ψ*out(xμ) д Ψout(xμ) / д xμ - Ψout(xμ) д Ψ*out(xμ) / д xμ}d xµ 

Considering (2) and (5) one can write 

or 

v out = (ħ / 2 m D -1 i) ∫ { Ψ*in(xμ) д Ψin(xμ) / д xμ – Ψin(xμ) д Ψ*in(xμ) / д xμ} d xµ 

v out = (ħ / 2 meff i) ∫ { Ψ*in(xμ) д Ψin(xμ) / д xμ – Ψin(xμ) д Ψ*in(xμ) / д xμ} d xµ 

Where meff is defined to be effective mass of the electron confined in an energy pocket and 

meff = m D -1 1/ 

2 

= m*m0 exp{(2/ħ) 2m* m0 

[ U 0 q 

x E] 

dx } (10) 

494 

a 

 

0 

Where the condition U0 - q ξµ x – E ≥ 0 must be obeyed. The meaning of (10) is that one can 

treat a confined electron as a free electron having electron effective mass meff. The expressions 

(7) – (10) can be used in case of interactions of a confined electron with local fields of strength 

ξµ – for example with charged particles (other electrons, protons, deuterium nuclei, etc.). The 

author considers that these expressions can be used for description of currents using confined 

charges in disordered solids however corresponding corrections accounting other phenomena 

must be made as well. 

(6) 

(7) 

(8) 

(9)

The expression in the exponent of (10) is positive and therefore meff ≥ m*m0. It is the reason 

that the author to consider that the confined electrons are heavy. The formula (10) provides that 

if E→U0 or/and a→0 then meff → m*m0. This expression includes parameters a, U0, E and m*, 

i.e. meff depends on the properties of the electron band structure and for ξµ = const. (or weak ξµ) 

further change of meff is possible only by change of m*. As it was mentioned above the electron 

effective mass meff can be used in case of interaction of heavy electron with other charged 

particles including protons and deuterium nuclei. In this way it is useful the effective Bohr 

radius [9] to be determined 

aB eff = ħ 2 / meff q 2 

Using the author’s previous results [5 – 8] for LCAO electron band structure calculations and 

expressions (10) and (11), the parameters meff and aB eff for heavy electrons in InxGa1-xN, in 

InxAl1-xN, in InOyN1-y and in non-stoichiometric InN:In are found for: i) weak local electrical 

fields ξµ

eh - + p + → n + νl 

Where p + , n and νl designate proton, neutron and neutrino respectively. In order for this process 

to take place the following threshold condition about the effective mass of heavy electron eh - 

must be fulfilled [3]: 

496 

(12) 

β = meff / m0 > 2.531 

(13) 

The effective masses from Table 1 even for strong field interactions (except for InxAl1-xN) 

fulfill the condition (13). 

It must be noted that certain particles must reach the region where the heavy electron is 

localized for the interaction to occur; i.e., the probability of the interaction of heavy electron– 

particle is higher in nano-layers or in nano-structure clusters that are close to the surface. 

Conclusion 

This paper can be considered the author’s first contribution in the field of interaction of 

charged particles with electrons localized in solids. Although the existence of heavy electrons 

in nano-structures is shown theoretically the author considers that the conditions about weak 

interaction in solids must be found in order further study of heavy electron-particle interactions 

to be performed. Finding of these conditions will be subject of a future work. Future work will 

also consider the role of heavy electrons in metallic hydride nano-layers. 

References 

1. L. D. Landau, E. M. Lifshitz, The Classical Theory of Fields, Pergamon Press, Oxford 

(1975) 

2. V. B. Berestetskii, E. M. Lifshitz, L. P. Pitaevskii, Quantum Electrodynamics, Butterworth 

Heinmann, Oxford (1997) 

3. A. Widom, L. Larsen, Eur. Phys. Journal C, 46, 107 (2006) 

4. P. L. Hagelstein, I. U. Chaudhary, Electron mass shift in nonthermal systems (D. Nagel, 

private communication) 

5. D. Alexandrov, Journal of Crystal Growth, 246, 325 (2002) 

6. D. Alexandrov, S. Butcher, M. Wintrebert-Fouquet, Journal of Vacuum Science and 

Technology, A22(3), 954 (2004) 

7. D. Alexandrov, S. Butcher, T. Tansley, Physica Status Solidi, 203, 25 (2006) 

8. D. Alexandrov, S. Butcher, T. Tansley, Journal of Crystal Growth, 288, 261 (2006) 

9. A. S. Davydov, Quantum Mechanics, Pergamon Press, Oxford (1965) 

10. K. F. Brennan, The Physics of Semiconductors, Cambridge University Press, Cambridge 

(1999) 

11. R. E. Marshak, Riazuddin, C. P. Ryan, Theory of Weak Interaction of Elementary Particles, 

Interscience, New York (1969)

Empirical System Identification (ESID) and Optimal 

Control of Lattice-Assisted Nuclear Reactors 

Robert W. Bass 1 and Mitchell Swartz 2 

1 Innoventek Inc. 

2 JET Energy, Inc. 




497

Can Established Physical Principles Explain Solid-State 

Fusion? 

Ben R. Breed 

Cone Corporation 

Dripping Springs, Texas 78620 

ABSTRACT 

This report examines, in the light of new evidence, whether low energy nuclear 

fusion can possibly conform to fundamental laws of physics. The new evidence 

examined here may explain two cited deficiencies, the lack of a sufficient 

deuteron coupling mechanism and the lack of certain nuclear by-products. The 

concept that heavy electrons (fermions, pseudo-particles) are able to screen 

deuterons may have been dismissed too early. In this paper we show that heavy 

electrons may cause a high degree of localization, a central effect that is needed 

in the screening process. Many heavy electron (heavy fermion) materials exist, 

and in many of these, an increase in electron localization on lattice sites has 

already been seen directly. The lack of nuclear by-products may in fact be 

explained by a physically reasonable interaction between four deuterons in 

which only easily absorbed alpha particles and low energy gammas are 

produced. 

1. INTRODUCTION 

The many positive reports of success in recent low energy nuclear reaction (LENR) 

processes lead one to wonder if there isn’t a possible, perhaps unexplored, set of physical or 

chemical electrolysis principles by which they may be explained. In this paper a set of 

possibilities is put forward in hopes that experiments will be performed to answer this question. 

These possibilities consist of the application of heavy pseudo-particles to provide the detailed 

localization and inertia needed for effective Coulomb screening, and multiple deuteron 

interactions in which only easily absorbed alpha particles and gammas are produced [1]. 

The critical view of research in the LENR area is based mainly on the lack of an established 

screening mechanism, and the lack of observed nuclear by-products, making it hard to 

reconcile the purported observations with well established physical principles. This situation 

has continued to the present time in spite of the publication of numerous reports of positive 

experimental results, with correlated improvements in reproducibility. 

Two prominent expositions are those of Leggett and Baym [2] and Koonin and Nauenberg 

[3]. Each of these is mainly concerned with the lack of a strong coupling method rather than the 

lack of fusion by-products. A possible method out of this difficulty is addressed in Section 2. In 

Section 2.1 it is argued that high effective-mass in some cases allows a localization of the 

pseudo-particles on lattice sites. An operative question is on how fine a spatial scale these 

heavy mass effects occur. Section 3 discusses the crystalline geometries. Section 4 uses the 

503

esults of the previous sections to propose a possible fusion mechanism. The other question, 

about possible explanations for the absence of fusion by-products, will be addressed in Section 

5. 

2. POSSIBLE SOLID-STATE MECHANISM TO PROVIDE STRONG 

COUPLING 

It is common knowledge that muon induced fusion has been produced in the hydrogen 

molecule. The muon, a particle similar to the electron but having a mass 207 times larger, when 

substituted for an electron in a hydrogen molecule, causes hydrogen isotopic nuclei to come 

closer to each other (by about 200 times). This is well understood by modern physical 

principles. The result is a much increased rate at which the nuclei fuse. This increased rate is so 

much larger than for the normal hydrogen molecule, that the method has been extensively 

investigated for use in fusion energy production. The muon exists for too short a time to 

produce enough fusions for a practical application. 

Koonin and Nauenberg [3] give details showing that putative electrons with an extra mass 

can increase the rate of fusion of the nuclei in molecular hydrogen. An electron with five times 

as much mass could generate fusions at the level reported by Steven Jones, et al. [4], and a 

mass ten times heavier might generate fusions at a rate in line with the original Pons and 

Fleishman [5] reports. 

Is it possible that deuteron fusion may be enhanced by use of heavy electron materials? If so 

the enhancement would need to be caused by a more effective negative electron screening of 

the deuterons’ positive charges. The critical question in this regard is whether the action of 

these pseudo-particles is at all similar to that of heavy electrons on the fine spatial scales 

required. There are many indications that it is. For many solid state phenomena, such as the de 

Haas-van Alphen effect (DHVA) [6], experiments show them performing like individual but 

heavier electrons. Luttinger, in discussing the DHVA effect in a system of interacting pseudoparticles 

states that his result “… is exactly what one computes on a single-particle basis, 

except that the true single-particle excitation energies must be used,…[6] “ Other phenomena 

that have been explained using a single-particle description of heavy fermions include 

electronic heat capacity, Pauli spin susceptibility, Landau diamagnetic susceptibility, and 

electrical resistance and mobility. It is possible that only experiment will tell the smallest 

(finest) spatial extent of these effects. 

Heavy mass also implies the existence of an inertial effect, and this means that its negative 

charge could resist being pushed or accelerated out of locations such as between two or more 

deuterons. This is important since it implies that the heavy-electron has a smaller wavelength in 

any given energy state than single electrons in a simple tight binding model. 

Palladium, platinum, nickel, and cobalt, as tabulated by Kittel [7], are materials with a very 

high electron effective-mass. Today’s interest in heavy fermion materials, on the other hand, 

arises largely from the fact that many high-temperature superconductors (copper oxides) belong 

to this class. It may be of interest in this regard that hydrogen doped palladium is a 

superconductor, with an increasing critical temperature with hydrogen loading. Along with 

504

having superconducting phases these materials often exhibit ferromagnetic and antiferromagnetic 

phases [8, 9]. Heavy fermion properties continue in the so-called normal phase 

that occurs above the superconducting critical temperatures. 

Heavy-electron materials include, but are not limited to palladium, platinum, nickel, cobalt, 

niobium, tantalum, vanadium, titanium, tungsten, yttrium, and zirconium atoms. Heavyelectron 

materials may be other than the transition metals. These include CeCu2Si2, UBe13, 

UPt3, URu2Si2, UPd2Al3, UNi2Al3, CeCu2Ge2, CeRh2Si2, CePd2Si2, CeIn3, and many others. To 

our knowledge, prior to this report this type of material has never been considered for low 

temperature fusion when embedded with deuterons. An additional fusion possibility occurs 

when one of the high temperature superconducting materials is substituted for one of the 

transition metals. These materials include the doped lanthanide copper oxides, the yttriumbarium-copper 

oxides, those with the generic composition RBa 2Cu3O7-x in which R stands for 

yttrium or one of the lanthanide rare earths, and many others in this copper oxide family. 

The suggestion is made here for the first time that low temperature fusion might be expected 

to occur in any of these heavy electron systems if they contain absorbed deuterons. A more 

reproducible effect may occur. An interesting experiment should be performed by embedding 

deuterons in these materials and investigating possible fusions at low temperatures. At these 

temperatures the fermion heavy mass effect is well demonstrated for many of them. 

Koonin and Nauenberg point out that effective-mass “should not be associated with any 

physical excitation in a solid material, as only the bare electron is relevant at the short length 

scales that are important here.” The Energy Research Panel Advisory Board investigating early 

fusion reports stated that “…this phenomenon is described as… involving strong correlation 

near the Fermi surface. As such, heavy fermions extend over many lattice sites. …. only shortwavelength 

‘bare’ electron excitations are relevant for screening…” [10].This statement is 

correct for the classical effective-mass concept. It omits consideration of many materials with 

very heavy effective masses caused by other strong interactions. Could it be that these authors 

have inadvertently given away a major advantage of the solid state medium by not expanding 

the scope of what they mean by effective-mass? Heavy electrons correspond to pseudo-particle 

peaks in an energy spectrum, and in addition they may be broadly spread in wavelength. This 

spreading is particularly significant if the pseudo-particle resides on or near the Brillouin zone 

boundary. Based on elementary Fourier analysis the pseudo-particle spatial distribution is 

concentrated in smaller regions when the wave number distributions have these broadened 

properties. 

It is because pseudo-particle phenomena are coherent (highly correlated) over macroscopic 

volumes that the concept of pseudo-particle mass in these heavy fermion materials may be 

important. Here, ‘spatial bandwidth’ refers to the width of the band of wave numbers near the 

peak energy of the pseudo-particle [12]. A Fourier expansion in terms of these wave numbers 

can produce a periodic but apparent unit-cell-localized result as is easily demonstrated. Also 

Fourier expansion in terms of a band of wave numbers concentrated around one-half this wavenumber, 

/(2 a) 

with a equal to the square-lattice spacing, may produce unit cell localized 

results that occur on every second unit cell, etc. 

505

The higher the mass of a particle (or pseudo-particle) the greater is our ability to localize it, 

and vice versa [13]. In the following paragraphs this relationship will be used to point to the 

fact that high effective-mass pseudo-particles can imply high localization of electrons (and 

charge stiffness) on the atomic lattice sites. This in turn will be used to argue that the effect of 

the heavy-electrons in a palladium lattice doped with deuterons may be to provide a much more 

effective screening effect between deuterons. 

2.1. HIGH PSEUDO-PARTICLE MASS AND LOCALIZABILITY 

Pseudo-particles may acquire the effect of an additional mass through mutual interactions in 

a many-body system [7, 14, 15]. Consider a many–body system with a Hamiltonian 

H H0 H1 

, (1) 

where H 0 and H1are the free particle and interaction Hamiltonians respectively. If the free 

particle Green’s function G 0 (based on H 0 ) is known, the many-body Green’s function may in 

principle be found by solving the Dyson equation 

G G0 G0 G , (2) 

in which 1 2 3 ...... is known as the “irreducible self-energy part” or “the mass 

operator” [14, 16]. It is the expression for the contributions to the mass of a quasi-particle 

generated in the system due to inter-particle and lattice interactions. The expression for is a 

sum of progressively larger (but weaker) stages of the interaction. After “mass 

renormalization” the Green’s function is commonly expressed in the frequency-wave number 

( k, ) domain as 

G( k, ) [ e ( k, 

)] 

1 

k , (3) 

in which is in general a complex number. ek is the peak energy in a band at wavenumber k. 

The corresponding spectral function is 

1 

A( k, i) Im( G( k, 

)) 

(4) 

 

2 1 

, 

2 

ek 

r 

where Re( ( k, )) 

,and Im( ( k, 

)) 

are the real and imaginary parts of . 

r 

The spectrum is a Lorentzian density if , the imaginary part of controlling the lifetime of 

the pseudo-particle, is independent of energy. If ek and k are to be good (stable) quantum 

numbers the imaginary part must be small and the particle lifetime long. The real part of is 

the contribution to the pseudo-particle’s effective-mass in addition to that that an electron has 

506

in, for example, a single electron tight binding approximation [7, 14]. Since the target crystal 

lattices are mostly cubic, the spectrum may be treated as being isotropic. 

An extremum of the spectral function occurs where E ( 

k) e . For a particular 

507 

k k r 

direction in wavenumber space the point at which the extremum occurs will be denoted k k0 

. 

For an isotropic environment the effective-mass [14, 17] evaluated for the pseudo-particle 

representing the spectral peak, has the definition 

1 

 

E 

 

m 

2 

k 2 

k 

 

( k0 

) 

k k0 , ek ek 

0 

. (5) 

When the expression for the energy is expanded about this peak it becomes 

1 

2 

Ek Ek k k 

0 

0 / m .... 

2 

 

, (6) 

and if this expression is substituted in the spectral function there results 

2 

2 

k k0 

 

kk 

0 

 

A( k, i) | ... i 

2m 

 

 

 

, (7) 

which, for small , is the transfer function of a linear system having a peak whose wave 

number mean-squared bandwidth is proportional to m , and this in turn corresponds to an 

impulse response that is highly peaked spatially with appropriate periodicity and with a meansquared 

spatial width at lattice sites proportional to1/ m [16]. The Fourier transform of a 

narrow spectral band extends periodically and is seen to have a spatial resolution inversely 

proportional to the band’s wave-number bandwidth. Thus a narrow spectral (energy) bandwidth 

implies a broad correlation in space, but not necessarily a long wavelength if its wave number 

contributions are near a zone boundary. 

Thus far the objective of this section has been to show that a spectral line corresponding to 

heavy-electrons or pseudo-particles, though defined over long ranges, is spatially periodic and 

is locally concentrated within any one or two spatial periods, if its k0 is near (or a significant 

way toward) the zone boundary, and if it has a large enough wave-number spread. 

Alternatively, if k0 is located half way to the boundary the localization, while still 

concentrated, may occur at alternate unit cells, etc. Unless the pseudo-particle represents a 

moving charge density wave, the charge will be concentrated on atomic lattice sites. This 

implies concentration near the positive hydrogen nuclei. This is particularly true if the heavyelectronic 

system conforms to a model similar to the Hubbard model, for which (two) electrons 

being confined on a site, in a lattice with more than one electron per site, is a basic part of the 

model.

The Hubbard model [18, 19], along with the Kondo model, is commonly used to explain 

heavy-fermion systems. A characteristic is a configuration of atoms with near-half filled 4d or 

5d-shells forming a narrow band interacting with atomic sites. The narrowness of the d-band, 

along with the interactions, implies a high degree of correlation among the electrons. To 

explain certain behavior, the Hubbard model contrasts this implied delocalized band motion 

with the effect of a tight-binding model in which excess d-electrons (or holes) are allowed to 

spend a proportionately large amount of time in the vicinity of the lattice sites. The Hubbard 

Hamiltonian may be written in the following form 

. (8) 

H t c c U 

n n 

i, i', 

 

i, i', 

i 

i i 

Here the sum over means a sum over up and down spins, ci , 

electron with spin at lattice site i , and i', 

508 

is a creation operator for an 

c is the corresponding annihilation operator at site i ' 

. If an electron is created at i and another is annihilated at i ', 

one says that the electron has 

hopped from one site to the other. It is generally found that a physically verifiable model may 

be achieved even when these hopping transitions are restricted to adjacent lattice sites. This is 

called hybridization between states on neighboring sites. The second sum is over number 

operators: ni , for example, is the number of electrons with up-spin at sitei , etc. As usual, 

 

 

 

ni ci c 

i , and n 

 

i ci c 

i . Each of the terms in the second sum corresponds to two electrons 

 

interacting at the same site. t and U are coefficients that determine the relative contributions of 

the two terms. From the point of view of wanting charges concentrated at lattice sites for the 

purpose of screening hydrogen nuclei a large value of U is desirable, but hopping may also be 

allowed in order to transfer the charges between the transition metal atoms and the hydrogen 

nuclei and so-forth. 

In this section it has been recalled that palladium, and the other metals that have been 

involved in LENR are members of the class of heavy-electron metals, and it has been 

demonstrated that this implies, in some metals, a high degree of localizability of the electrons 

on atomic lattice sites. Thus it is possible to question the claim that there is no conceivable 

strong coupling between the metal lattice, the electrons, and the embedded hydrogen nuclei. It 

is possible to argue to the contrary. But the electrons need to screen the positive charges, and 

the screening effect must be large enough, and must be accompanied by localization of 

electronic charge at lattice sites. That such a screening effect is large enough has not been 

proved here. But it has been shown that there that it is reasonable to look for a large effect that 

localizes charge at lattice sites with attributes of heavy mass. This indicates that a high level of 

screening by this mechanism may indeed be available. 

It has been argued that the heavy nature of pseudo-particles in certain materials can enhance 

localization of electronic charge on lattice sites. It is appropriate at this point to recall that 

charge concentration on lattice sites has recently been directly observed on surfaces of high 

temperature superconductor classes of materials [8, 10].

3. GEOMETRIC STRUCTURES 

Before estimating the feasibility of multiple nuclei interactions, it is appropriate to review the 

crystal geometries that are involved [20, 21]. Henceforth, when the term deuteron is used it will 

represent any of the three hydrogen isotopic nuclei. Fig. 1 shows an arrangement of palladium 

atoms and deuterons in a planar configuration that occurs when the 4-d transition metals are 

highly doped with absorbed deuterons. Palladium is used here as an example of metals that 

have been used in claims of successful low temperature fusion experiments. It may be of 

interest to point out the similarity of these planar configurations to the arrangements of copper 

and oxygen atoms in planes occurring in the copper oxide high temperature superconductors 

[22]. In the copper-oxygen configuration, there is a plane where the copper atoms occupy the 

locations of the palladium shown here and the oxygen atoms occupy the locations of the 

deuterons. The statement of the similarity may imply that the configuration is common to a 

complete class of heavy electron (high effective-mass) materials. Subsequent figures show how 

these planar arrangements appear in three types of crystalline unit cells. 

-Deuterium -Transition Metal (e.g., Palladium) 

-Deuterium -Transition Metal (e.g., Palladium) 

Figure 1. Two-Dimensional Arrangement of Transition Metal and Deuterium in a Disposition Similar to 

That in the Active Planes of Typical High-Temperature Superconductors. 

Fig. 2A shows an atomic arrangement of deuterons in a body centered cubic (bcc) lattice, 

where the deuterons, with a slight effort, may be seen to be residing on planes. These are planes 

on which convergence of the deuterons (shown in Fig. 4) may be induced. Fig. 2B shows an 

atomic arrangement of deuterons in a face centered cubic (fcc) lattice, where the deuterons also 

reside on planes on which convergence of the deuterons may be induced. 

509

A B 

Figure 2. Atomic Arrangements of Hydrogen in a bcc Lattice, Left, and an fcc Lattice, Right. These are 

Arrangements with Tetrahedral Symmetry. 

Fig. 3A shows an octahedron enveloping a deuteron indicating an arrangement in which 

deuterons have this octahedral coordination. Fig. 3B shows a planar square sub-lattice in the 

case where deuterons have octahedral coordination. Fig. 3C shows a tetrahedron with a 

deuteron on each vertex, the center of which may be the locus of convergence of the deuterons. 

A B 

C 

Figure 3. In Lower Concentrations, Hydrogen is in Sites with Octahedral Symmetry in an fcc Lattice. An 

Octahedron Enveloping a Hydrogen Nucleus is Seen on the Left. A Plane Square Sub-Lattice Containing 

the Octahedral Hydrogen Nuclei is Indicated on the Right. A Tetrahedron with a Hydrogen Nucleus on 

Each Vertex is Shown Below. 

This last sort of convergence to the center of a tetrahedron is similar to that proposed by A. 

Takahashi [1, 23] in his electron quasi-particle expansion theory (EQPET). His theory involves 

the convergence of deuterons (along with certain electrons) toward the centers of the 

tetrahedrons with convergence being due to “transient Bose-type condensation (TBC) of 

510

deuteron cluster at PdDx lattice focal points” [23]. This is not required in the mechanism 

proposed in this report. 

4. A MODEL FOR LATTICE, ELECTRON AND DEUTERON 

INTERACTION 

In order to motivate the investigation of whether nuclear reactions could possibly be 

explained using basic principles, a general concept illustrated in Fig. 4, is introduced. The 

figure shows a two-dimensional lattice excitation, or motion, with deuterons converging toward 

one another as a part of general lattice vibration modes, with the arrows being reversed after a 

180 degree phase change. The figure is an adaptation of Fig.1 in which lattice motions of the 

deuterons have been generally indicated. At a time corresponding to a half period later the 

deuterons have reversed directions. This motion is a part of high wavenumber lattice 

excitations that are an integral part of an ambient (optical and longitudinal) phonon spectrum. 

The corresponding wave numbers in the plane are substantially near a Brillouin zone boundary 

( 2 , k a a 

with a equal to the spacing of the square lattice.) Motions of the lattice host atoms 

(solid circles) are not indicated since they may assume different forms for different lattice 

normal modes. This particular mode for the vibration of the deuterons is not the only dynamic 

mode that may be important to the process described here, but it is one which may produce 

results that are consistent with recent measurements of surface charge ordering [8, 9]. 

- Deuteron - Matrix atom (e.g., Palladium) 

Figure 4. Two-Dimensional Lattice Excitation, with Hydrogen Nuclei Converging as a Part of General 

Lattice Vibration Modes That are Enhanced by Heavy Electron Screening. 

The concept is as follows. The system is chosen to consist of a transition metal in the heavyelectron 

class in which deuterons are embedded. The extent of loading of the deuterons is 

stoichometric (PdxD, x=2 or less.) An electron model such as the Hubbard model applies. This 

implies that electronic charge is localized to a large extent on the positive ions, i.e., the metal 

ions and the deuterons. This charge localization is a result of the heavy-mass-pseudo-particle 

many-body phenomenon. Because negative charge screens the positive charges of the 

511

deuterons, their interaction is affected and enhanced by this concentrated cloud of negative 

charge. The Born-Oppenheimer approximation applies only insofar as the positive ions have 

much greater mass than the electrons, meaning that their displacements are slow variables in 

the many-body system. The electronic structure however is strongly affected (slaved) by their 

motions. The closer any number of deuterons is grouped, the greater is the mean positive 

charge in their vicinity and, in response, the localized negative charge is greater. 

The electronic response is not without inertial effects because of its heavy mass, and this 

offers the possibility of a resonance of sorts with the motion of the deuterons. A set of deuteron 

motions tending to a common point, as in Fig. 4, induces a screening effect such that the lattice 

vibration force constants for these motions are greatly reduced. The amount of reduction is 

greatest on the two-dimensional Brillouin zone-boundaries of the lattice planes containing these 

vibrating deuteron modes. This is because these are the wavelengths at which the greatest 

spatial convergence occurs. Being on or near the Brillouin zone boundary, these modes possess 

phase velocities in the two-dimensional Brillouin zone that are near zero. Considering the use 

being made here of comparisons to the copper oxides, the two-dimensional, instead of threedimensional, 

nature of these lattice excitations, along with their wavenumber dependence, 

conforms to experimental observations on the “importance of the momentum anisotropy in 

determining the complex properties of the cuprates….[9].” 

The variation of lattice force constants with wavenumber, due to the screening effect, along 

with their dependence on the wave amplitude, is an indicator of non-linear interactions. A 

model that fits this type of non-linear wave phenomena, describing the normal modes 

(phonons), with need for only minor alteration, has already been worked out. It is presented in 

[24] as one possible derivation of the non-linearSchrodinger equation (NSE). An outline is 

presented here. 

Assume the wave equation L( t , ) u 0 applies, where L is an operator with constant 

coefficients. For small amplitudes any non-linear terms may be neglected in which case the 

. 

i( k xt ) 

solution has a formu 

e 

, where k and are related by the dispersion relation 

L( i, k) u 0 . represents a small number. The non-linearity is introduced by requiring a 

specific, but alternate, dispersion relation and introducing this dispersion relation in place of the 

linear one in the form, 

. 

i( k xt ) 

( i , i) e 

0 . (9) 

t 

For the new dispersion relation the function is constrained to be modulated in space and 

time in a specified fashion. Without belaboring the point, after expanding the desired dispersion 

relation about the linear one, the function is found to first-order to be required to satisfy the 

(NSE) 

1 2 1 2 2 

i qx 0 

m 

2 

, (10) 

 

a 

512

where the mass at the lattice sites ma has been replaced by half me and q is the vibration force 

constant for this mode. The parameter is proportional to the first order term in the expansion 

of the non-linear dispersion relation in terms of its dependence on the wave amplitude-squared. 

This is precisely what is useful in the present context. The parameter must be made a 

function of wavenumber matching the physics expected near the two-dimensional Brillouin 

zone boundaries as discussed above. Especially it must correspond to a lowering of the mode 

energy h 

, per phonon, on this boundary (a reciprocal effect of the electron screening). This 

corresponds to an increase in the occupancy of these deuteron many-body oscillator states. 

The conceptual model is based on a coupling between the Hubbard model for the electronic 

motion and the non-linearSchrodinger -type equation describing the lattice interaction. The 

coupling is evidenced in the two parameters: U of the Hubbard model and of the NSE. An 

examination of the possibility of resonance phenomena being induced by this type of coupling 

is planned. It is anticipated that mode locking and mode competition phenomena will exist, and 

these may lead to highly correlated, large amplitude, deuteron motions. 

An effect known as a Peierls instability occurs on a zone boundary when the d-band is not 

filled and the Fermi level E f falls within the band as described in [25]. A periodic spatial 

distortion may happen to induce a lower energy state than that that occurs for the undistorted 

lattice. The distortions produced by the motions indicated in Fig. 4 are of just this sort. They 

have a periodicity twice that of the lattice, inducing a spatially periodic lattice distortion. This 

opens an additional possibility of a time-periodic Peierls instability at the frequency of these 

vibration modes. 

5. MULTIPLE DEUTERON NUCLEAR REACTIONS WITH NO 

UNACCOUNTED BY-PRODUCTS ARE A POSSIBILITY 

Typical experiments in nuclear physics involve a high energy projectile (perhaps a deuteron) 

directed onto a stationary target (possibly also a deuteron). Also by pointing two high energy 

beams at one another, particles may be made to interact. In either scenario, the interaction 

between more than two particles is improbable. The probability of having more than two in the 

same small volume at the same instant is just too small (unless of course they are already in a 

common nucleus). In a metallic, crystalline environment the situation is different. Many-body 

interactions are common and varied. 

What is missing in the many-body environment is the high energy provided by particle 

accelerators, but to compensate for this, electrons are present and they may participate in a role 

similar to that of a catalyst (by screening positive charge). No such catalyst is present in the 

normal nuclear physics experiment. These are reasons that it is safe to say that when multiple 

free deuterons are brought together in the presence of electrons, the detailed physics involved is 

not completely understood. There is room for new physics but physics that is still based on 

familiar concepts. 

The following discussion of fusion products, being expected but not observed, is based on a 

fundamental supposition. The reason that proton, neutron, and gamma ray by-products are 

513

expected in D-D reactions is that when energy is released and converted to kinetic energy there 

must be something for the helium isotope to react against in order to conserve momentum. 

There is no feasible physical mechanism for it to react directly against the lattice mass itself, 

often cited as a difficulty for a description of low temperature fusion. But when four deuterons 

are brought together, whether all of them are involved in the final reaction product or not, there 

are many alternative methods of sharing energy and conserving momentum. The reaction is 

expected to involve production of a range of lower energy gammas. The reactions that produce 

higher atomic masses are improbable compared to those producing one or two helium nuclei. A 

helium nucleus (alpha particle) is one of the most stable (magic number) nuclei in existence. In 

the event two helium nuclei are produced they may conserve momentum by reacting one 

against the other, rather than ejecting smaller sized particles. In the event a single helium 

nucleus is produced it may react against and share energy with the remaining deuterons. 

This is an appropriate juncture to address an important point made by Leggett and Baym [2] 

to the effect that as two deuterons approach one another the local electron configuration should 

approach that of a helium atom. This concept is also found in Baym [26]. They argue that 

helium doesn’t have a binding affinity to the metal and as a consequence the deuterons are 

energetically less likely to converge. If the convergence is that of four deuterons then the same 

argument says that the electron configuration approaches that of a beryllium atom instead, for 

which a binding affinity to the host metal is probably more likely. 

In this report the possibility of an explanation for the lack of fusion by-products, insofar as 

multiple deuterons are involved, is similar to that in Takahashi’s EQPET theory [23]. In this 

paper the source of screening would be the heavy-electron character of the materials involved, 

along with a non-linear enhancement of the screening effect in a layered structure of deuterons 

distributed in parallel planes. Enhancement would be due to heavy-electron interaction with 

very short wavelength phonons that are on or near the edge of the planar Brillouin zone. The 

planes are formed from deuterons on tetrahedral and octahedral sites. Similarly, thicker planes 

are formed by deuterons on octahedral sites. 

It should also be emphasized that although four deuterons may be involved not all of them 

need to be changed in the nuclear reaction. The dominant expected output is a helium nucleus, 

and for this the need for other deuterons nearby for momentum conservation may itself be 

viewed as a type of catalytic phenomenon. 

Alpha particles are well known to be easily absorbed in air and much more so in water. A 1 

Mev alpha particle is absorbed in less than one centimeter of air. A good explanation why 

nuclear products haven’t been found in abundance in earlier experiments might be that they 

were absorbed in the electrolysis medium prior to detection. The expectations were for 

neutrons, protons and gammas. The lack of neutrons or protons observed could actually be a 

strong confirmation of the arguments herein in the sense that it implies that if any nuclear 

process occurs it must necessarily involve the production of alphas since others have been 

eliminated. When alpha particles are absorbed they become helium atoms. If helium atoms are 

produced where they didn’t exist before, there has to have been a nuclear reaction of some sort. 

514

Miles, Bush, Ostrom and Lagowski [26] performed an electrolysis experiment in which the 

amount of helium produced was measured along with the amount of excess heat. They were 

able to closely correlate the helium and heat production under the assumption that deuterons 

fused to form alpha particles with the well known amounts of energy release. This is a strong 

confirmation of alpha particle production in a multiple deuteron process. 

6. LACK OF EXPERIMENTAL REPRODUCIBILITY AND POSSIBLE 

REMEDIES 

The fusion mechanism proposed in this paper would be difficult to initiate. In establishing 

motivation for the fusion mechanism, various analogies have been drawn between crystal 

planes of deuterons in the transition metal hydrides and the copper-oxide planes in high 

temperature superconductors. The transition metal hydrides have a much greater symmetry than 

the copper-oxides in that there are three or more sets of parallel planes of deuterons in their 

lattices. There is a need to break this greater symmetry if the desired vibration mode is to be 

established. Interactions in layered sets of a single one of these planes are what are desirable. 

The difficulty in establishing these conditions may well be a source of the difficulty in 

reproducing these effects. Factors expected to influence the establishment of proper symmetry 

conditions are crystal shape, orientation, and electrical and thermal fluxes. A promising method 

for reducing the symmetry is the application of an intense magnetic field perpendicular to one 

of the planes. As an example, the de Hass-van Alphen effect couples with the electron charge 

distribution at the requisite length scale, and this in turn couples to the interaction of the 

electrons and the lattice. This effect offers an opportunity to initiate the low temperature fusion 

process. The remedy for lack of reproducibility is a proper understanding of the physics and the 

development of any method for setting the two-dimensional process in motion. More details are 

spelled out in a provisional patent based on this paper. 

7. DISCUSSION 

This report has not attempted to calculate possible fusion rates. Such calculations are 

available. The most quoted calculations are those presented in Koonin and Nauenberg [3], 

 

where they state “A mass enhancement of m 5me would be required to bring the cold fusion 

 

rates into the range claimed by ref. 7……An enhancement of m 10me is required by the 

results of ref.6”. References 6 and 7 are to the papers by Fleischmann, Pons, and Hawkins [5], 

and Jones, et al. [4] respectively. The symbol m used here is not the same as the symbol used 

elsewhere in this report. Here it denotes the mass of a putative electron that is 5 or 10 times the 

physical electron’s mass (similar to the way the muon weighs 207 times as much as the 

physical electron). 

The fact, as quoted by Kittel [7], that palladium has a high effective-mass, 27me platinum 

 

has an effective mass m 13me , nickel, 28m e , and many of the transition metals are members 

of this class may be more than a coincidence. 

515

It is being argued that, while heavy electrons are long range phenomena, their effect is 

periodic and a significant localization effect may occur within a unit-cell. In this sense a 

process may have a periodic local effect even if it is itself a long range phenomenon. This is 

true if the pseudo-particle is long lived, and has sufficient bandwidth in wave-number space 

substantially near a Brillouin boundary. All that is required is this large spatial bandwidth, e.g. 

the width of the wave number spectrum around a pseudo-particle peak. That charge 

concentrations actually occur in heavy electron materials has been demonstrated in many 

experiments recently by direct observation [8, 9]. These recent measurements are, in particular, 

indicative of pseudo-particles (resonances) near approximately one-half of the way to the zone 

boundary. 

There have been authors who advocate effective-mass as a contributor two low temperature 

fusion. Parmenter and Lamb [29] made calculations based on an electron screening approach 

using a modified Thomas, Fermi, Mott (TFM) equation. Their effective-mass varied with 

wavenumber, but in a way opposite to that described above. T. Tajima, et al. [30], have found a 

very large screening effect in their candidate process. An interesting result with regard to 

screening is that of Hora, et al.[31], who note that the fusion rate changes by five orders of 

magnitude if the screening factor changes by only a few percent. They also note that D-D and 

D-T fusion reactions are “rather exceptional as the cross sections are up to several barns and the 

nuclei react at distances 50 or more times the nuclear diameters.” The implication for multiple 

deuteron interactions of an expanded strong nuclear range is apparent, especially if the 

deuterons are well screened. 

A notable lack in this report has been any specification of electron configurations expected 

near the confluence of deuterons on a common site. An investigation of electronic states that 

are compatible with the 4d and 5d atomic electron configurations and that are most effective for 

bonding and screening is planned. The complexity involved in the hydrides is expected to be as 

large if not larger than for the copper-oxides. It is possible that when the transition metal 

hydride is doped or otherwise has an excess of electrons, more than one for each metal and 

deuteron site, bonding of the types described by Sachdev [32] based on Anderson’s resonating 

valence bond idea [33] occurs between the deuterons. 

8. CONCLUSIONS 

In summary, two major reasons that have been used for rejecting the possibility of low 

temperature fusions have been addressed in this report. A significant counter-possibility has 

been produced for each of them. It has been postulated that low temperature fusion may not be 

barred by any basic principles of physics as has been suggested. Based on this paper, if LENR 

is barred at all, it is likely due to inadequate strength of the heavy-fermion screening effect that 

has been discussed here. 

APPENDIX: EFFECTIVE-MASS AND THE WIGNER LATTICE 

The term ‘effective-mass’ is somewhat ambiguous. It has been used since the quantum theory 

of metals was first described. If one uses the term effective to mean that effective-mass acts as 

the mass of an electron different from that of the natural electron, then it appears that one 

516

should include what has recently been described as heavy electrons or heavy fermions in the 

terminology. In this appendix effective-mass refers to the effect of a heavier mass whatever its 

cause. The historical effective-mass appears to be a correlated motion effect of a single electron 

moving in a periodic field, whereas the appearance of heavier electronic effective-mass may be 

due to correlations with other electrons and the lattice. 

One example of electron-electron interactions is found in a Wigner lattice, which is discussed 

next. This is significant since it has been observed that effective-mass in systems conforming to 

two-dimensional Wigner lattices can range above 150 electron masses [34]. 

A description of a Wigner crystal may be found in Philips [35]. As the Wigner-Seitz radius rs 

is expanded above one atomic unit an electron gas tends to form an ordered array A Wigner 

lattice (or crystal) is the name given to a pseudo-equilibrium state involving electrons or holes 

in which the electrons or holes find that their lowest energy state in a body-centered-cubic (or 

similar) configuration where the renormalized forces are balanced against each other. Such a 

state may be stable when situated against a positive lattice background. The configuration is 

commonly employed in explanations of the Mott transition. It is a good indicator of the tension 

existing between the delocalized band states and the localized atomic states, in a model such as 

the Anderson or Hubbard models. The Wigner crystal has been implicated in recent chargeorder 

investigations [34]. In the description below it is used to illustrate the fact that the 

vibrations induced in the Wigner array of confined electrons produce their greatest charge 

concentrations on the spatial scale that is conducive to the screening effect described in the 

main body of this report. 

In the model, as a charge moves away from its stable position it influences charges nearby 

and thus produces a correlation. The precise form of the screened potential between two 

electrons or holes embedded in a Wigner crystal in metal lattice is not known. Here, with 

negligible loss of generality, it is assumed to have the Coulomb form. Only nearest neighbor 

interactions on a cubic lattice will be considered for simplicity. The Hamiltonian operator may 

be expressed in the form 

h e 1 

 

 

2 1 2 

2 2 

n V ( rn 

) 

n 2m 4 

0 [ n] rn r[ 

n] 

(A.1) 

2 h 2 

1 

2 

n V ( rn Rn ) _ K rn r[ 

n] 

 

n 2m 2 [ n] 

 

 

 

where the first sum is over electrons that are each assigned to positively charged lattice 

locations, r , n 1,..., N , and the second sum is over the nearest neighbors to this location. 

n 

V ( rn Rn 

) is the positive potential about the nth lattice site. The summation over [n] is the 

summation over the nearest neighbors that are interacting with the n th electron. The factor of 1 2 

is to prevent potentials from being counted twice. Otherwise the notation is standard. The total 

wave function is a sum over permutations of the solutions of the joint Schroedinger equation 

517

with odd permutations weighted by -1. No more than one electron is in any spin-orbit state, 

thus satisfying the exclusion principle. 

In the second expression for the Hamiltonian the inter-electron Coulomb potentials have been 

expanded about the electron equilibrium positions rn rn1 = a where a is the nearest neighbor 

distance in the cubic lattice. The last term in the Hamiltonian has combined the inter-electron 

coupling into an effective constant K / 2 . The actual coupling constant in a real crystal is the 

result of a complex renormalization process involving electron screening. The inter-electron 

interaction will be treated as dominating the electronic correlation. The result is that for small 

deviations from equilibrium the appropriate Hamiltonian is given by 

 

H H0 H1 

, (A.2) 

where H1 V ( r R ) is treated as a perturbation. 

n 

n n 

This form of the equation would result from any inter-electron coupling as long as the first 

term in the potential’s expansion in the displacement from equilibrium is quadratic. Rn is the 

location to which the n th electron is attracted. In this case, H 0 is the Hamiltonian of a lattice of 

electrons with harmonic nearest neighbor interactions. What is significant here is that this result 

tells us that, for the simple case of a one-dimensional lattice, the dispersion relation induced in 

the oscillators has the form 

( K / m) sin( k a / 2) ( K sin ( k a / 2) / m) 

. (A.3) 

1/ 2 2 1/ 2 

l l l 

It is important to note that this form implies that the largest effective electronic coupling 

constant occurs where k / a , e.g., on the Brillouin zone boundary. In two dimensions the 

l 

loci for the largest coupling parameters are the wave number domain lines l, x l, y / 

518 

k k a . If 

the electrons are acting with an increased mass, the effective mass may be substituted in this 

expression, and it will act to decrease the energy in each mode. The increase in effective interelectron 

coupling in this simple model occurs at locations where it is beneficial for the low 

temperature fusion mechanism discussed in the main body. It is also at these wave numbers that 

the deuterons are most strongly interacting and it is to be expected that the screening by the 

electrons will act in concert. The electrons act to screen the deuterons and vice versa. As 

mentioned above, it has been observed that effective-mass in systems conforming to twodimensional 

Wigner lattices can range above 150 electron masses [34]. 

Locking of the Wigner lattice on atomic lattice sites for this model is provided by the 

perturbing term in the full Hamiltonian. As the Wigner lattice vibrates, its individual 

components are induced to remain near the lattice sites. But because the positive potentials at 

the sites are finite, and in the case where there are excess electrons or holes, motion between 

sites will occur. At greater energies the electron states merge into the band states and a 

Hubbard-like model ensues. Quantum mechanically this is described in terms of transition 

probabilities or, equivalently, by means of a hopping effect. It may also be described as 

hybridization between band states and atomic states.

ACKNOWLEDGMENT 

The author is grateful to Dr. D.R. Word, Dr. P.S. Lowell, Dr. F. Meserole and Prof. J.J. 

Lagowski, University of Texas, Austin, for helpful comments, suggestions and help in initiating 

experiments. He is grateful to Dr. Edmund Storms for comments, experimental advice and 

hospitality. He appreciates Dr. H.R. Byerly’s reading of the manuscript and providing useful 

advice. He appreciates stimulating correspondence with Prof. A. Takahashi whose EPQET 

theory appears similar and complementary in many aspects. 

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520

Resonant Electromagnetic-Dynamics Explains the 

Fleischmann-Pons Effect 

Scott R. Chubb 

Infinite Energy Magazine, 5023 N. 38th St., Arlington, VA 22207 

Abstract 

Science requires measurements. Interpreting measurements involves 

recognizing patterns. How this happens is intimately related to the instruments 

that are used and how the measurements are performed. One can “interpret” the 

process in many different ways. Historically, however, in modern physics, 

quantum mechanics has been used in situations involving “smaller” scale effects. 

In this form of interpreting science, when “measurements” take place, what is 

measured involves details about the measurements. A form of communication is 

involved: What is “seen” depends intimately on how one “looks at it.” 

Abstractly, this can be viewed in a somewhat radical way: Nature is telling us 

something, but how we “interpret it” involves how we understand what Nature 

“is telling us”. Just as in normal forms of communication, this kind of 

communication involves being willing to accept information that is sent to us 

from somewhere else. In other words, a signal is sent. If it is received, 

communication takes place. If it is not, it does not take place. This paper deals 

with a radical idea about a radical subject. The radical subject is what used to be 

called “cold fusion”. The radical idea is that basic ideas about quantum 

mechanics, and the “implicit” form of communication that is present in quantum 

mechanics can explain this subject. 

I Introduction 

I argue that the real barrier for understanding how Cold Fusion reactions can take place, 

in the Fleischmann-Pons effect (FPE), is not overcoming the “Coulomb Barrier” but involves 

understanding quantum mechanics (QM). Specifically, QM does not require that the “picture” 

used in conventional fusion apply. A more logical “picture” includes electromagnetism in a 

time-dependent fashion and the idea that many particles can be involved. Then seemingly 

impossible “aspects of the “conventional picture” become “not so impossible,” but, in fact, 

“quite reasonable.” A key source of confusion is that as opposed to a situation in which 

potentially reacting deuterons (d’s) are required to have such high velocity that they can be 

treated as if changes in their electromagnetic interaction (EMI) are important only very near the 

location of the reaction, where the conventional tunneling picture applies (involving a static 

Coulomb potential), in a situation involving many charged particles, the effects of EMI can 

result in time-dependent changes that can become important far from the reaction. In fact, in 

what appears to be the most relevant, conventional fusion reaction (in which helium-4, in the 

form of alpha particles is released), evidence exists that the conventional “Coulomb Barrier” 

actually must be modified significantly[1-3] in order to incorporate time-dependent features of 

the EMI that are necessary to impose the requirement that far from the reaction, the incident d’s 

521

must have positive Bose Exchange symmetry and have net, vanishing spin. In this paper, I 

discuss a particular mechanism involving resonant electromagnetic dynamics. The associated 

picture is consistent with the conditions that are present in the experiments, the known laws of 

physics, and the underlying ideas suggested by Giuliano Preparata [13]. Predictions, based 

upon this alternative picture, imply that particular size crystals, involving Palladium (Pd) and 

particular, externally applied electromagnetic fields can be used to trigger excess heat in the 

FPE. 

In the next section, I provide an overview of some of the commonly believed ideas about 

the “Coulomb Barrier” that have resulted in considerable confusion about the FPE. In addition, 

I explain how conventional QM deals with forms of interaction in general terms and how these 

can result in a counter-intuitive picture in which “collisions” can be very different than in the 

conventional “Coulomb Barrier” situation because they do not have to take place “at a point.” 

Instead, collisions can take place over a finite distance through an effect that is referred to as 

resonance or “near resonance,” in which in a particular region of space, effectively, momentum 

is conserved in a non-local fashion. In conventional solid-state physics, the associated effects 

are quite well known, but a rigorous treatment of their origin has not been adequately 

presented. In dealing with the cold fusion problem, I have suggested such a treatment[4, 5]. 

In the final section, I discuss two different pictures that involve “nearly resonant” forms 

of collisions in an approximately ordered solid. The first of these is based on an approximate 

model that was introduced to “overcome” perceived deficiencies involving how the “Coulomb 

Barrier” frequently has been viewed in the fusion process. But this model uses a language 

(time-dependent perturbation theory involving bound, ion band states) that is very different 

from the conventional scattering/tunneling language that is associated with the more 

conventional picture associated with the “Coulomb Barrier.” In the second picture, a 

generalization of the first picture is presented, using a language that is consistent with more 

general aspects of QM, based on “nearly-resonant” collisions that can take place involving the 

lowest energy excitations of an ordered solid, which can include the possibility that all of the 

particles in the solid can be allowed to move all-at-once rigidly. Here, for illustrative purposes, 

a semi-classical limit is used to demonstrate how the associated “nearly-resonant” collisions 

can lead to nuclear-scale forms of overlap. More quantitative arguments that are based on the 

more general theory are presented elsewhere [1-5]. From these more general arguments, both 

the earlier picture and its generalization (in the second model) can be shown to involve forms 

of “nearly resonant” collisions. In the second model, external electromagnetic fields can 

induce adiabatic changes in the associated scattering. In the initial picture, the energy of the 

interaction is assumed to result from a uniform shift in the zero of energy. In the second model, 

these forms of motion occur as a result of a uniform shift in the zero of momentum, and the 

reaction involves a different final state in which changes at the boundary of the ordered region 

of the solid occur through a transition in which the momentum from the change in mass (from 

the d+d 4 He reaction) is transferred to the center of mass of the lattice as a whole. In this 

situation, the change in the final state involves coupling through “nearly resonant” collisions in 

which momentum is either transferred to potentially interacting helium-4 nuclei (in larger 

crystals) or directly to the lattice (in smaller nm-scale crystals). 

522

II “The Barrier is not “the Coulomb Barrier”-- It is Quantum Mechanics 

The idea that Nature is telling us something by sending us signals and requires us to 

receive them involves a process of interpreting what Nature is telling us. To “understand” what 

Nature is telling us requires us to “think” about the signal and what it represents. In 

conventional fusion, this process is relatively simple because an obvious model exists: 

conventional fusion occurs on the Sun, and it involves hot plasmas, where high velocity 

hydrogen nuclei (protons, or proton-neutron pairs—d’s) can collide in a process that we also 

seem to think we understand. But our understanding of this is approximate. It is based on a 

theory that was created well-before details about later information involving experiments that 

could be explained by a more refined understanding of QM were known. For this reason, it is 

appropriate to re-examine some of the more common assumptions about the “Coulomb 

Barrier,” and their relevance in our “understanding” of the FPE. With this in mind, I asked 

three other people who have been paying close attention to issues related to the FPE about their 

opinions about the importance of “Overcoming Coulomb Barrier.” Their opinions and my 

opinion are expressed in the following: 

1. Nuclear Physicists Say: You can’t overcome it[6]. 

2. Nuclear Physicists Say: You can’t overcome it. They seem to be wrong. But there is 

no accepted theory that can account for it[7]. 

3. Nuclear Physicists don’t understand it. Solid State Physicists do. “Accepted theory” 

involving Nuclear Physics is wrong. Ground state quantum mechanics explains it[8] 

4. Time dependent quantum mechanics says it can be overcome using “conventionally 

accepted” theory and this will eventually “be accepted”[9]. 

In fact, no one knows how relevant any of these statements actually is. With the exception of 

statement 4 (which is my opinion), what I suggested in each of these opinions is not based on 

an objective scientific analysis. I believe, however, there is value in including these statements 

because in each case, I suggest the particular opinion has resulted from biases and perceptions 

about the “Coulomb Barrier” that actually are not relevant to the FPE but reflect a more basic 

source of confusion: Interpreting and understanding what Nature is telling us through QM. 

In conventional physics and chemistry, the kind of radical effect that Fleischmann and 

Pons observed was not at all expected, and, even after many years, statement 1 reflects the 

predominant opinion of most scientists. The person who made this statement actually is very 

concerned about and interested in the outcome of the “debate” that has taken place, and I 

suspect that although he made this statement, as additional facts are revealed, he may change 

his mind. Statement 2 reflects the opinion of an individual who has initiated a useful, scientific 

dialogue and debate about the subject. He also has recognized that the lack of scientific 

discourse about the subject has precluded realistic intellectual investment of time, much less, 

real investment, through significant funding. Statement 3 was made by a scientist who 

collaborated with me in developing the initial ideas associated with our ion band state model of 

the FPE. His opinion reflects a more open-minded perspective, associated with invoking ideas 

about quantum mechanics and solid-state physics. With time, I have sharpened the associated 

arguments that are the basis of his opinion. Some of these ideas are the basis of statement 4. 

Each view captures an important perspective. Obvious differences in opinion are implicit in 

523

these different statements that reflect biases about a seemingly transparent assumption: that 

opinions about the “Coulomb Barrier” have relevance in understanding the FPE (and why 

because of these opinions—in statements 1 and 2—it does not seem possible that the FPE can 

result from nuclear reactions). An important point, associated with statements 3 and 4, 

involves the potential role of QM and the idea that through QM it is possible to go beyond the 

limitations of the assumptions, associated with statements 1 and 2. In fact, statements 3 and 4 

are based on a model involving QM that actually makes sense in the context of what is 

known[4] about palladium-deuteride (PdD). But the fact that QM might even be involved (in 

the PdD situation but also, even in the conventional “Coulomb Barrier” tunneling problem) 

does not seem to have been widely understood or appreciated. In particular, preconceived ideas 

about the “Coulomb Barrier”, although seemingly quite relevant and “obvious” (as expressed 

in statements 1 and 2), are actually quite inappropriate and quite wrong in situations in which 

many particles, potentially interacting electromagnetically, can be involved. In this alternative 

situation, the relevant dynamical situation can become (and probably is required to be) 

considerably more complicated. The real situation, even in conventional fusion, does involve 

QM, but in a very limited way, and this fact, apparently, also, has not been widely appreciated. 

(a) Classical picture: 

Deuteron 

(b) Semi-Classical picture: 

Energy e2 

r 

Infinite Energy but “barrier” is different 

It involves Quantum Mechanics and Energy 

Fig.1: Schematic representations of two commonly-viewed pictures of the “Coulomb 

Barrier;” in (a), a “classical” point-particle picture is shown. The “perceived barrier” occurs 

because point particles cannot collide when infinite forces occur. This creates a “Conceptual 

Barrier.” But it is not the “Coulomb Barrier” that is believed to be relevant in QM. The 

“Coulomb Barrier,” which is believed to be relevant to most physicists is shown pictorially 

in (b). It is based on conventional “Gamow Theory,” where because of QM, d’s are shown 

as pancakes, symbolically, representing waves, not point-particles. 

524 

r 0 

Force 

e2 

r 2 

Infinite Forces at r=0 

create barrier 

r 0 

Force e2 

r 2

Fig. 1 shows a schematic representation of two “perceived” pictures of the “Coulomb 

Barrier.” In the first of these, each d (which is shown as a proton-neutron pair, in which each 

proton appears as a point-particle lighter circle and each neutron appears as a point-particle 

darker circle) is a point-particle that cannot collide with a second d because of the infinite 

forces that occur classically as a result of Coulomb repulsion. Although this picture “seems to” 

explain why fusion cannot occur, this isn’t true: it over-simplifies the situation. A more 

“realistic 

(a) Virtual Process: 

Initial State 

Collision 

Change in Energy 

v v 

Initial Final 

Forward in Time 

Julian Schwinger 1918-1994 

Final State Final State Initial State 

Fig.2: Shows a pictorial representation of the how collisions occur in QM, following an analysis 

that Julian Schwinger developed (which he presented during ICCF1[10]). The meanings of the 

various symbols and their significance are discussed in the text. 

picture” is shown in (b). Here, “point-particle” d’s are replaced by pancakes, which are used to 

mimic “wave-like” structures that QM requires; these structures can “collide” (their wave 

functions can have overlap). This can take place, despite the fact that the classical expressions 

for the energy and force become infinite. The picture in Fig.1b is more realistic. But the 

associated mathematics is approximate since it requires the d’s to have high velocity. 

525 

Collision 

Change in Energy 

Final Initial 

Reversible: Forward Power=Backward Power 

Power can be arbitrarily large or small 

Backward in 

Virtual Power = 2 

Initial V Final Final V Initial 

 

(b) Rate = Weighted Sum of Virtual Power changes that conserve energy

Fig.2 shows a pictorial representation of how collisions occur in QM (and in quantum 

field theory), based on an analysis that Julian Schwinger developed[10]. Here, in any possible 

QM process, an initial state (referred to as an initial state, many-body wave function), which 

can be thought of as a wave, or many waves, and, which is represented schematically as a wavy 

line, initializes a collision process, that results in the occupation of a final state (associated with 

a final state many-body wave function), which is also shown as a second, wavy line. (In fact, 

each of these waves can involve any number of particles—many waves—conceivably.) In 

particular, collisions involve changes in energy. In principle, they can take place through any 

possible form of “Virtual Process.” Each “Virtual Process” is initiated through a change in the 

potential energy V, resulting from a collision and leads to a scattering event in the forward 

direction in time (initial state to final state) and a second scattering event involving the same 

change V that occurs in the reverse direction in time (final state to initial state). Forward 

reactions very often are balanced in this equation by backward reactions. When a balance 

takes place, no reaction occurs (as represented in Fig.2a) by the statement forward 

power=backward power (which implicitly is used in conventional thermodynamics). A net 

change in power (referred to as a 

John Archibald Wheeler 1911-2008 

In Virtual Processes: 

1. Future events can affect (or resonate with) past events. 

2. Particles that are far apart can interfere with each other. 

3. Sum over final states means creative physics is possible. 

Fig.3: Shows a picture of John Wheeler and summarizes some of the novel 

aspects associated with QM that he and Richard Feynman used throughout their 

careers that have not been appreciated in “discussions” about the role of QM in 

cold fusion and low energy nuclear reactions. 

“Virtual Power change” in Fig.2a) can occur that is defined by the product of the matrix 

element of the forward process, ⟨ܫ݊݅ݐ݈݅ܽ|ࢂ|ܨ݈݅݊ܽ⟩ , with the matrix element of the backward 

process, ⟨ܨ݈݅݊ܽ|ࢂ|ܫ݊݅ݐ݈݅ܽ⟩, provided energy is conserved. During ICCF1, Schwinger explicitly 

cited this relationship[10], implicitly using a well-known equation (referred to as the 

526

Lippmann-Schwinger equation) that has not been widely-appreciated in the analysis of cold 

fusion theory: 

2 

Rate of reaction= 

 

Initial V(H EInitial)V Initial 

2 

 

( Initial V Final Final V Initial (E f 

Initial EFinal)) , (1) 

where EInitial and EFinal, respectively, are the energies of the initial and final states, and the 

summation includes all final states. 

In fact, the terminology “collision” is a generalization of the classical concept. In Eq.1, a 

more appropriate idea implicitly is presented. In the expression, any number of particles, over 

any length and time scale can be involved in each virtual process. As stated in words in the 

figure, collisions in QM involve a rate that is formed as a weighted sum of the possible Virtual 

Power changes that can be created through virtual processes. The possible power (the Virtual 

Power) resulting from any virtual process can be arbitrarily large or small, and each process, in 

principle, is reversible. When the sum over final states conserves energy (which is implied 

through the notation involving the delta function in Eq.1), the process can take place. Time 

reversibility is broken because it is never possible to determine the change in potential, the 

initial state and the final state precisely. The associated relationship (Eq. 1), in principle, is 

exact. It provides a prescription for modeling new and novel effects that is considerably richer 

than is possible in Gamow theory. In particular, Gamow theory, in the fusion process, assumes 

a single final state is involved with a collision (consisting of three nucleons, moving away from 

a third nucleon) at high velocity, except in regions in the immediate vicinity of the collision, 

and that the essential dynamical changes in the potential energy (V, in Eq. 1) involve the strong 

force exclusively. This picture ignores many possible final states and implicitly fails for this 

reason. This occurs because Gamow theory does not include many of the possible “signals” 

that QM allows. The more complete picture (outlined in Fig.2 and Eq.1), explains how many 

creative possible forms of interaction (“communication”) can occur from “signals” involving 

the final state (the receiver) and the transmitter (the initial state). Discussions about this 

involving how light interacts with electrons, between John Wheeler and Richard Feynman, 

helped Feynman to win a Nobel Prize. He won this prize by explaining how, through a subject 

that is referred to as Quantum Electrodynamics (QED), electrons must be treated using QM 

when they interact with light. The three ideas that I “attribute” in Fig.3 to John Wheeler (which 

were well-known by him and others when he worked with Feynman) are related to the fact that 

by construction, in QM, in isolation (i.e., without measurements involving collisions and 

related effects), time has no preferential direction, and implicitly, “time reversal invariance” 

takes place, which means it is impossible to distinguish between situations in which how 

electrons and light interact evolves forward in time from situations in which their interaction 

evolves backward in time. 

527

(a) A Pictorial Representation 

of Virtual Collision Matrix Elements, Initial V Final 

Initial State Final State 

Initial V Final 

Initial V Final = (Rate of Overlap Wave Changes) 

 

(b) Relationship 

of Initial V Final to Density Initial ( 

r) 

Final and Current Initial j( 

r) 

Final 

 

i d 

 

3 Initial (r) Final 

Initial V Final r 

t 

Fig.4: Shows a pictorial representation of each virtual collision matrix element Initial V Final (in 

 

j 

(a)), how (in (b)) Initial V Final is related to the current and density matrix elements, 

Initial j Final and Initial Final through a surface region integration representation (when 

energy is conserved) involving flux contributions at the boundaries of the collision region from currents 

located outside ( 

Initial 

j Final ) and inside ( 

Initial 

jinside Final ) and a pictorial representation (in 

(c)) of this fact. Resonance occurs (in (d)) when the flux contribution from inside the region vanishes. 

528 

=0 When energy is conserved 

) (c) How ) Initial V Final 

 

relates to Currents Outside ( j 

 

and Inside ( jinside 

 

j 

 

j 

Boundary 

of V 

 

j 

 

j 

Collision 

+ 

 

j 

Region 

“Flux” from Outside 

“Flux” from Inside 

Collision Region 

Collision Region 

 

(d) Pictureof 

How ResonanceAffectsRelationship 

between Initial V Final and j 

 

j 

 

j 

Resonant Condition: inside =0, Initial V Final 

 

dA n Initial 

j(r) Final 

 

jinside 

j

At a very early stage in the evolution of QED, John Wheeler suggested rather 

extraordinary ideas (associated with the words in Fig. 3), including this concept of “time 

reversal invariance” and other “counter-intuitive” features of QM, in which: 1. “Particles” that 

are located far apart can “interfere” with each other (i.e., the wave-like characteristics of 

different particles that are far apart can affect each other in measurements); 2. Since it is never 

possible to identify a particular final state with certainty, assumptions about the behavior of the 

final state can be used to postulate new and novel physical effects; and (possibly the most novel 

idea) 3. How light propagates in the future can “affect” (or resonate with) how it has 

propagated in the past. This kind of logic is a starting point for believing the “real barrier” to 

our understanding of cold fusion probably is not only understanding “the Coulomb Barrier,” 

but it involves using a more complete picture of what is possible in QM. 

III Resonant and Near-Resonant Interactions 

A problem, involving the possibility that light being transmitted and received in the 

future, in the absence of collisions, could alter how it was transmitted and received in the past 

was suggested by Wheeler to his (at the time) young, graduate student, Richard Feynman. This 

idea required that Feynman think in basic terms about how light might interact with matter at 

its most fundamental level. Intuitively, one might view this problem in a paradoxical way: 

That what happens in the future could affect the past. In fact, as opposed to viewing this 

problem in this particular way, an alternative way of looking at it involves an important 

assumption, associated with how quantum mechanics works: In the absence of collisions, it is 

impossible to “know” anything at a fundamental level, and (possibly more significantly) that 

how natural forms of harmony (or resonance) might exist in which it is simply impossible to 

distinguish between the past and future, or even in situations in which “seemingly natural” 

boundaries are present that can prevent unexpected collisions from taking place. In suggesting 

this seemingly odd and bizarre idea, Wheeler asked Feynman to address a fascinating question 

that might be impossible to answer: If a tree falls in a forest and there quite literally is no one 

around to hear it, does the tree make a sound. Possibly equally remarkable is the conclusion, 

based on what is known about the existing theory of electromagnetism, that he suggested, is 

that a sound actually might not be created. In doing this, John Wheeler and Richard Feynman 

“re-invented” the kinds of ideas associated with how QM works, and the forms of harmony and 

resonance that I just mentioned, which are not widely appreciated, associated with “time 

reversal invariance” and causality that (I think) have direct bearing on questions related to cold 

fusion. 

In particular, Wheeler and Feynman made use of ideas related to what we know and can 

never know about electrodynamics, and the fact that precise solutions of the associated 

equations are allowed to become non-local both in time and space. By invoking this, they 

postulated the somewhat “spooky” idea that for radiation to ever be transmitted, it is necessary 

to have both a “well-defined” receiver and transmitter. Wheeler suggested that if this does not 

take place, no signal is ever transmitted. Implicitly, in order to account for how the associated 

signal is transmitted, Feynman invoked a form of the effect that I have referred to as resonance 

or harmony. When this kind of effect is approximate, a condition that I will refer to as “near 

529

esonance” can take place, in which “collisions” can take place, but their magnitude and 

duration can be vanishing-ly small. In both situations, as opposed to a “conventional effect” (in 

which how light and electrons interact only involves how light is emitted in the future), 

Feynman and Wheeler thought about a very different effect, involving conditions in which how 

light is emitted involves a situation in which how it interacts with electrons in the future can 

affect how it has interacted with electrons in the past. They suggested how this occurs 

“appears” to involve a situation in which what happens in the future “in anticipation” of what 

will take place can affect what has taken place in the past. This idea is entirely non-classical, in 

the “real universe,” and it also “appears” to violate causality. (But, as stated above, because in 

QM, by construction, in the absence of collisions, time has no preferential direction, such a 

violation does not take place.) 

In Fig. 4(a), I show a pictorial representation of the overlap between initial and final 

states using wavy lines, and its rate of change with respect to time (in the interaction 

picture[11]), using a wavy line that begins and ends with arrows. Each virtual collision matrix 

element, Initial V Final (in Fig.4a) that is used to define the virtual power (Eq. 1), can be 

related (as shown in Fig.4b) to the (Schroedinger picture[11]) “off-diagonal” many-particle 

current (associated with all, neutral or charged particles) and density (associated with the same 

particles) matrix elements[11], 

Initial 

j Final and Initial Final , through an integral 

representation that reduces to a simpler (surface region integration) representation, when 

energy is conserved, involving flux contributions at the boundaries of the collision region from 

currents located outside ( 

Initial 

j Final ) and inside ( 

Initial 

jinside Final ). The condition 

associated with future and past forms of scattering being in harmony with each other (as in 

Fig.3) occurs when particle number and energy are conserved, throughout space. This implicit 

assumption is illustrated through the arrow, from the first term in the integral equation, shown 

in Fig.4b, to the symbols and words, associated with the wording, “=0 When energy is 

conserved.” In Fig.4c, a pictorial representation is presented that shows how this can take place. 

The resonant condition (shown in Fig.4d) occurs when the contribution from inside the 

region vanishes. Then, Initial V Final depends only on contributions 

Initial 

j Final that 

occur at the boundaries of the region. Effectively, when this occurs, the “collision” process can 

become non-local, and through near resonant conditions that “almost mimic” resonance, nonlocal 

forms of collisions can occur that can result in gradual increases in momentum. In 

particular, as opposed to a situation in which particles “collide” in the interior of the collision 

region, in perfectly resonant situations all of the particles that are external to it pass through it, 

as if the region is transparent. In near resonant situations, all of the particles either pass 

through it, or some of them may remain near the boundary or be reflected, in such a way that 

momentum is transferred non-locally. In both situations, the changes in potential only occur 

either at the boundaries of the region or in regions external to it. 

530

IV How Resonant Electromagnetic-Dynamics Explains the Fleischmann-Pons Effect 

Implicitly, in an approximately ordered solid, a form of “Galilean relativity” exists, 

associated with the fact that in the limit in which there are no collisions, it is impossible to tell 

whether or not the “ordered regions” in the solid are in motion or at rest. This can have 

especially interesting consequences when collisions are weak because their contributions in Eq. 

1 can be stifled as a result of periodic order. The associated effect is a specific example of the 

more general phenomenon, discussed in the last section: near-resonance and nearly resonant 

collisions. This occurs when contributions from many virtual collision matrix elements (many 

values of Initial V Final in Eq. 1) become very small in a particular region of space. In 

particular, perfect resonance occurs when energy is conserved and the contribution to the “flux” 

(as in Fig. 4b) from the many-particle current matrix elements, 

Initial 

j(r) Final , over the 

boundary of the region, from the interior portion of the integral (as in Fig.4d) vanishes. Since 

energy is conserved in Eq. 1, in this kind of situation, the total contribution from collisions in 

the interior vanish (so in this region Initial V Final 0 ), and with respect to 

Initial and Final , the total Hamiltonian (H in Eq. 1) can be viewed as being a self-adjoint 

(Hermitean) operator in this region. 

Formally, as a consequence, perfect resonance can be used to justify the approximate 

boundary conditions associated with the single-particle, energy band theory, developed by 

Bloch, which is the basis of heat and charge transport in solids, with the understanding that the 

theory actually can be applied even in situations in which the crystal lattice that is used has 

finite extent, provided the energies of the various states that are used are all very close to each 

other in value. As I have pointed out elsewhere[1-5] the associated conditions are guaranteed 

to apply to the full many-body Hamiltonian when the initial and final states involve many 

particles, provided the energies of the states involve the ground state, and the lowest-lying 

excitations, which, by construction, are all required to be related to each other through rigid 

Galilean transformations, in which all of the “particles” are allowed to move at once, rigidly, 

without the separation between any particle and the remaining particles being altered. As a 

consequence, as opposed to justifying conventional band theory, using stationary, bound, 

eigenstates of an approximate single-particle Hamiltonian, the theory can be viewed as a nearresonance 

limit, involving the full Hamiltonian, as it applies to a periodically ordered, finite 

lattice that is allowed to move rigidly within the interior of a solid, and the associated 

eigenstates are wave function “resonant states” that preserve periodic order. Because, in fact, it 

is never possible to determine the boundary of a solid[4,5], formally, the associated picture can 

be viewed as a definition. This alternative perspective justifies, formally, the implications of 

the initial ion band state model model[12], in which an approximate “Fermi Golden” rule 

fusion rate calculation and the possibility of overcoming the “Coulomb Barrier” was inferred 

from approximate eigenstates, derived from a two-body d-d wave function, that possesses 

Bloch symmetry (similar to the comparable symmetry that occurs when non-interacting d’s 

occupy ion band states[12] in both its dependence on its center-of-mass and relative d-d 

separation variables). In this model, the Fermi Golden rule is used to evaluate the fusion 

reaction rate, using initial and final states, that only change in regions (which are located at the 

531

interior boundaries of the ordered lattice) where nuclear overlap takes place, based on the 

assumption that in both the initial and final states, the same wave function applies in regions 

where overlap does not take place but as the separation variable either vanishes or its 

magnitude approaches the magnitude of a Bravais Lattice vector, overlap becomes possible by 

allowing the change in momentum to become infinite. When the d-concentration is sufficiently 

small, this assumed, asymptotic, energy-minimizing solution satisfies a resonant condition, 

while the Fermi Golden Rule rate expression occurs through nearly-resonant forms of 

collisions, associated with small (infinitesimal) perturbations, in the zero of energy of the 

electromagnetic potential, defined by Eq. 1, in regions where nuclear overlap can occur, both in 

interior and external regions of the lattice. This initial calculation of fusion rate is justified only 

when the energy per unit cell is on the order of the smallest (optical) phonon energies (~20 

meV) which means the lattice must have 23.8 MeV/0.02 eV~10 9 unit cells. However, a 

considerably smaller lattice size is possible in the presence of very weak externally applied 

forces. In this case an alternative model, associated with near resonance can take place, in 

which the zero of momentum adiabatically changes, without exciting the system. This can 

occur provided the effective change in virtual power associated with the process is sufficiently 

small. In particular, as a function of time, when an external field 

E is applied, nearly resonant 

fluctuations in the center of mass momentum can take place that can increase in magnitude, 

with time. When the complete many-body expression is included (through Eq. 1, based on a 

generalization of multiple scattering theory[1-4]), as the available momentum builds up, virtual 

collisions can couple resonantly between the lowest lying excitations of the solid when the 

product of the force (e 

E ) on each d, associated with “a collision,” with the time t that is 

involved (which, in one dimension, for example defines a particular momentum p(t) e 

Et ) 

obeys a matching condition (in which, for example, again, in one-dimension, the associated 

deBroglie wavelength deBroglie h N 

a; h=Planck’s constant, n = integer N, 2N=number 

p(t) n 

of lattice sites). In the many-body generalization[4,5], whenever this condition occurs once, it 

can occur 2N times. In the simplest (one-dimensional) limit, N=n, 2NdeBroglie a, and as p(t) 

increases in time, deBroglie can approach nuclear dimension. The apparent “simplicity” of this 

picture involves relating the microscopic physics to the semi-classical limit involving how light 

interacts with matter. Here, the underlying idea that coherent oscillations of charge that 

Giuliano Preparata [13] suggested could be important, in the long-wave limit, in the associated 

interaction is absolutely correct. His observation about this is truly important. 

Ackowledgements 

I would like to acknowledge valuable discussions with Mitchell Swartz, David Nagel, 

Talbot Chubb, and Ileana Rosario. 

References 

532

[1] Chubb, S.R., in Proc. 8th Int. Workshop on Anomalies in Hydrogen / Deuterium Loaded 

Metals, 38 (2008). http://www.iscmns.org/catania07/ChubbSrolesofapproxi.pdf 

[2] Chubb, S.R., in Low-Energy Nuclear Reactions Sourcebook (J. Marwan, and S.B. Krivit, 

eds., American Chemical Society, Washington, DC, 2008) pp. 99-123.) 

[3]Chubb, S.R., Proc. ICCF13, (2007), in press. 

[4]Chubb, S.R., Proc. ICCF10, 735 (2006). http://www.lenrcanr.org/acrobat/ChubbSRnutsandbol.pdf 

[5] Chubb, S.R., submitted to Proc. Roy. Soc., 2005. http://arxiv.org/pdf/cond-mat/0512363 

[6] Robert L. Park, (2008) private communication. 

[7] David J. Nagel, (2008) private communication. 

[8] Talbot Chubb, , (2008) private communication. 

[9] Chubb, S.R., claim, based on material presented here and in refs. 1-5. 

[10] Schwinger, J., Proc. ICCF1, pp. 130-136 (1990). 

Initial(t) | Final(t) 

[11] Initial V Final i when Initial(t) and Final(t) evolve in time, 

t 

in the interaction picture representation, when they (as well as the density operator 

(r) (r ri) and total current operator j(r)) evolve in time, in the Schroedinger picture 

ri representation, Initial V Final (which is the same when all quantities are expressed in a 

common representation) can be expressed using the expression that is shown in Fig.4b. 

[12] Chubb, T.A. and S.R. Chubb, J. Condensed Matter Nucl. , Sci. 2, 1–9 (2008). 

http://www.cfescience.com/yahoo_site_admin/assets/docs/pdfCoulBar.80171500.pdf 

[13] Preparata, G., QED Coherence in Matter (World Scientific, Singapore, 1995). 

533

Interface Model of Cold Fusion 


Cold Fusion Energy Research Co., 5023 N. 38th St., Arlington VA 22207, USA, 

www.coldfusionenergyscience.com 

Abstract 

The interface theory of cold fusion is a variant of Ion Band State (IBS) Theory. 1 

It models Bloch symmetry deuterons in a 2-dimensional metal lattice instead of 

the 3-dimensional metal lattice first used. Both IBS variants recognize that the 

required lattice symmetry has limited extent, with the reactive deuterons being 

bound inside a closed volume like a box. The reactive deuterons are confined 

within classical turning point boundaries, while within the box their density 

distributions are modulated by a lattice array potential. Strictly speaking, the 

IBS fusion theory is a many-body theory. Nuclear dd fusion is one of several 

LENR processes. Some LENR processes do not require many-body ions and 

support room temperature nuclear reactions using light ions in single-particle 

Bloch geometry. For example, the decay of metastable single-body Blochfunction 

8 Be seems to be the source of MeV alphas in Oriani's light/heavy water 

electrolysis, and in several co-deposition electrolysis CR39 studies, as described 

in ICCF14 Abstracts. 2 The Oriani MeV alphas are side products of both light 

water and heavy water electrolysis, using either Pd or Ni cathodes, as shown in 

highly repeatable tests. Bloch 8 Be is likely the nuclearly reactive component in 

the final step of the Iwamura et al. transmutation studies. 3 Despite differences, 

all LENR systems seem to share some essential physics. 

The essential feature that seems to be shared by all LENR processes is a need to produce 

coherently partitioned light "atoms", where coherent partitioning means the type of partitioning 

that occurs when a low density Bose condensate becomes partitioned in an optical lattice. 4 As 

applied to LENR, a coherently partitioned atom means a coherently partitioned ion neutralized 

by coherently partitioned electron(s). Superfluid behavior marks the presence of coherently 

partitioned atoms in Bose condensates in lattices. To behave as a superfluid, Bose condensate 

atoms must occupy a lattice that consists of a communicating network of shallow potential 

wells that are separated by potential barriers low enough to allow tunneling. Also, the number 

of Bose atoms in the lattice must be smaller than the number of potential wells, or must be a 

non-integer times the number of potential wells. The atoms must be indistinguishable in the 

Pauli sense, i.e., when 2 "indistinguishable" particles collide and move apart, neither of the 

receding particles can be identified as one of the incident particles. Indistinguishable particle 

interactions must be modeled using 2-particle wave functions that express coordinate exchange 

symmetry. 

The challenge to LENR experimenters is to create a nuclear reactive environment. In 

practice, this means to create conditions involving a metal solid that causes coherent 

partitioning of a feedstock atom. This means that the configuration of the atom must become 

534

describable by a wave function with many equivalent centers. One must create "many-centers" 

nuclei neutralized by many-centers electrons. A particle is best thought of as a "quantum-ofmass". 

A quantum of electron mass, if localized, is called an electron; if delocalized in a Bloch 

configuration it can be called a quasiparticle electron. If 2 quasiparticles interact, their 

interaction cannot be modeled using an expansion of wave functions around a single center-ofmass. 

When the interaction is nuclear, the nuclear physics cannot be calculated using a sum 

over wave-function spherical harmonics about a center-of-mass. This means that quasiparticlequasiparticle 

nuclear interactions cannot be modeled using the standard center-of-mass 

expansions of classical nuclear physics. This incompatibility is a major factor in the nuclear 

physics community's failure to understand cold fusion. It is also the reason that dd cold fusion 

reactions do not result in emission of energetic particles or -rays. 

Providing a nuclearly active environment for reactive deuterons means the same as providing 

an environment that catalyzes a geometric change in a "D-atom" from a single-center geometry 

to a many-centers geometry. One strategy is to place deuterons inside a solid which has a very 

stable and regular lattice symmetry. The first geometry that seems to have catalyzed cold fusion 

is a 3-dimensional fcc Pd metal lattice with each of its octahedral sites occupied by an 

interstitial deuteron. In Fleischman-Pons cold fusion, overpotential electrolysis of a D2O 

electrolyte deposits deuterons onto a Pd metal cathode to create this environment. Further 

added deuterons then occupy a communicating network of unit cells containing 2 shallow 

tetrahedral sites and the periphery of one octahedral site. This paper describes a second 

strategy. It argues that an interface between an ionic crystal and sputtered Pd metal can provide 

a 2-dimensional many-centers geometry using equilibrium chemistry. The ZrO2,nanoPd 

catalyst developed at Tohoku U. seems to be of this type. 6 

This paper applies IBS theory to many-body interface deuterons located between a ZrO2 

crystal face and a Pd nanocrystal. Photomicrographs of ZrO2,nanoPd catalyst show fragmented 

Pd nanocrystals embedded in larger ZrO2 crystals. At some of the contact surfaces the Pd metal 

is assumed to have formed an epitaxy fit onto the ZrO2 substrate. 7 Epitaxy makes an unusually 

stable, low energy first layer of Pd on the ionic crystal surface. Above the epitaxy Pd layer are 

transition layers containing interstitial deuterons and vacancies, and above the transition layers 

is fcc cubic Pd metal. The interface + transition layer constitutes an energy minimizing 

configuration, and incidentally provides a major reservoir for non-reactive absorbed deuterium. 

The stability of the epitaxy Pd layer on a ZrO2 crystal face is caused by the large negative 

Gibbs free energy of ZrO2, and the relative malleability of nanoPd. The stability of the interface 

is not damaged by its hosting an extremely thin layer or sheet of D + quasiparticles (D + Bloch 

ions) between the metal oxide and the epitaxial metal layer. The D + quasiparticle sheet is 

extremely thin and resides harmlessly between the epitaxy Pd layer and the ZrO2 crystal. 

Normal diffusing deuterons become D + Bloch ions when they encounter this strictly ordered 

environment. When a D + Bloch ion transitions to quasiparticle geometry, it becomes neutralized 

by an electron quasiparticle, which forces the epitaxy layer to move away from the ZrO2, but 

only by about a 0.001 fraction of a metal layer. The resulting layering is: 1) ZrO2 crystal, 2) 

535

D + Bloch "atom" sublayer, 3) epitaxy Pd layer, 4) transitional Pd layers with interstitial D atoms, 

5) fcc Pd nanocrystal. 

IBS theory as applied to ZrO2 + nanoPd interfaces preserves 2-dimensional periodic 

symmetry. The modeling uses stationary state quantum mechanics and many-body physics. The 

physics could be called “semi-classical” quantum orbital physics. In atom physics, the word 

"orbital" does not imply electrons in planetary orbits around a nucleus. Instead, it implies a set 

of negatively-charged electron wave functions pulled as densely as possible on top of a 

positively charged nucleus. It is a mistake to think of an atom as being mostly empty space. 

Instead, it is jam packed with electron charge-density matter. An atom appears as empty space 

only to a high energy impacting nucleus or -ray. Electron density is limited by Pauli exclusion. 

Atom structure is determined by system energy minimization. 

Atom quantum mechanics teaches us about s, p, d, ….wave function states. Each wave 

function describes an electron density distribution. The distribution is a matter field, i.e., has a 

value at every point is space. The electrons in H, He, Li, and Be are all in s-states. Each selectron 

has spherical symmetry. The boron atom adds a non-spherical p-electron. The pelectron 

is coherently partitioned between two equal volume potential wells. Half the pelectron’s 

density is in one potential well, half is in the other, with zero electron density 

centered on the boron nucleus where the 2 potential wells touch. One must sum over both 

potential wells to recover the electron. In other words, boron's p-electron displays coherent 

partitioning behavior. 

Figure 1. Density distribution of p-electron orbital in boron. Calculation by D. T. Cromer. 

In IBS fusion Bloch deuterons, like p-electrons, are coherently partitioned. The IBS Bloch 

deuterons must be coherently partitioned into 1000 or more potential wells to avoid a Coulomb 

barrier. Energy minimization calculations show that a deuteron many-body wave function with 

more than 1000 potential wells will have no Coulomb barrier. Instead, the wave function 

expresses coordinate exchange symmetry and wave function overlap. 

Figure 2. D2 Molecule. D + Bloch Quasiparticle(s) inside an Interface 

536

The reason that energetic particles and -rays do not occur in cold fusion is that they cannot 

exist as coherently partitioned entities at lattice spacing. Their deBroglie wavelengths are too 

small. Therefore they cannot be part of the initial and final state wave functions, as required for 

reaction. The dd-fusion transitions are restricted to transitions that preserve spin and nuclear 

angular momentum. Unlike hot fusion, the likely dd-fusion initial configuration is a spin-zero 

pair or pairing, which then undergoes a 0 + to 0 + density-distribution changing transition. 

Quasiparticle 4 He can exist in either (pn,pn) or (pp,nn) nuclear geometry. The initial spinzero 

D + Bloch pairing has (pn,pn) geometry, which is the same as (d,d) geometry. The first 

transition collapses the wave function from potential well dimensions to nucleus dimensions, 

creating a metastable excited 4 He ++ Bloch nucleus. A minimal transfer of energy occurs during 

this step. Transfer of the remaining 23.8 MeV to the metal lattice requires a cascade of 

transitions between sequential metastable states, with rates determined by the Fermi Golden 

Rule. 

p + p + n + n 

d + d 

nuclear 

dd-dimer 

4 He 

++ 0 

? 

28 

24 

chemistry before 

neutron decay 

chemical 

D2-molecule 

nuclear 

dd-dimer 

oval shape 

vibration-excited 

levels 

0+ 

pp+nn model 

oval shape 

vibration-excited 

levels 

quasiparticle 

dd-dimer 

N well= 1 

N well = 8264 

4 

He ++ 

Bloch 

Figure 3. Energy level diagram for d+d and pp+nn 4 He in single-center and Bloch geometry. 

When a diffusing deuteron transitions to Bloch geometry configuration within a ZrO2 + 

nanoPd interface, energy minimization requires an accompanying Bloch electron. If Nwell = 

1000, Pauli exclusion requires the Pd epitaxy metal layer to jump back by 0.001 metal layer 

thickness. The jump is a momentum shock that pushes ZrO2 and nanoPd crystallite apart, 

537 

0+ 

p + p + n + n 

Feshbach Resonance 

quasiparticle 

nuclear 

dd-dimer 

quasiparticle 

nuclear 

pp+nn-model 

0+ pp + nn

sometimes stimulating an irreversible energy transfer from an initial state Bloch deuteron 

many-body system to a hosting metal lattice. Even a small energy transfer makes the fusion 

reaction irreversible. 

The partitioned electrostatic force between two quasiparticle deuterons decreases with Nwell. 

Therefore work done to bring deuterons into contact decreases with Nwell. [In each well 

F12=e 2 /r12 2 Nwell 2 . Summing over potential wells gives F12=e 2 /r12 2 Nwell.] Therefore, a 

coherently partitioned 4 HeBloch product is more stable at higher Nwell. This lowering of nucleus 

ground state energy makes the flakelike nuclear product seek larger Nwell. 2,3 

The wave function boundary within which a D + many-body system resides is subject to 

quantum fluctuations. Boundary fluctuations which change bound volume also change Nwell. 

Fluctuations in Nwell cause the energy of (pn,pn) 4 He ++ Bloch to fluctuate, which can "scan" the 

energy of a nuclear configuration wave function state across the energy of the dd pairing initial 

state. This phenomenon creates a transient Li-Feshbach energy-match resonance. Scanning 

across a Feshbach resonance causes geometric change accompanied by a small transfer of 

momentum + energy to the hosting lattice. A small energy transfer makes the reaction 

irreversible. 

As shown in the energy level chart, quasiparticle 4 He exists in both (pn,pn) and (pp,nn) 

nuclear geometries. The initial spin-zero D + Bloch pairing has (pn,pn) geometry. The first 

transition collapses the wave function from potential well dimensions to nucleus dimensions, 

creating a metastable excited 4 He ++ Bloch* nucleus. Transfer of 23.8 MeV to metal lattice 

requires a cascade of transitions between metastable states, with rates determined by the Fermi 

Golden Rule. 

The interface model suggests that the following transitions are supported by 2-dimensional 

symmetry LENR. The asterisk designates a metastable excited nuclear state. Unbalanced 

charges reflect electron quasiparticle configuration changes. 

1) D + Bloch + D + Bloch 4 He ++ Bloch* dd fusion reaction 

2) D + Bloch + 6 Li + 8 Be ++ Bloch* Oriani heavy water reaction 

3) H + Bloch + 7 Li + 8 Be ++ Bloch* Oriani light water reaction 

4) 8 Be ++ Bloch* 8 Be ++* degradation of lattice symmetry creates a preferred mass center 

5) 8 Be ++* 4 He ++ + 4 He ++ fission creates 2 alphas in CR39 

6) 4 He ++ Bloch + 4 He ++ Bloch 8 Be ++ Bloch* second step in Iwamura reactions 

7) 8 Be ++ Bloch + 133 Cs + 141 Pr Iwamura alpha addition transmutation step 

The synthesis reactions are promoted by scanned Li-Feshbach resonances. Reactions 1 and 6 

occur in co-deposition experiments. Premature separation of 8 Be ++ Bloch* from its hosting 

interface leads to a flakelike neutral atom 8 BeBloch*, which can diffuse through liquids and 

solids. Reaction 7 requires a cascade of energy transfers to a hosting lattice. Some of the 

available excited nuclear states of 8 Be* are shown in an energy level chart provided by Heyde. 8 

538

References 

1. T.A. Chubb and S.R. Chubb, Fusion Technol., 20, 93 (1991), ibid. Proc. ICCF5, 315(1995). 

2. ICCF14 Abstracts: R.A. Oriani, Abstr. 23; S. Szpak, P. Mossier-Boss, F. Gordom, and L. 

Forsley, Abstr, 20; L. Forsley, and P. Mossier-Boss, Abstr. 61; L Kowalski,, Abstr. 66. 

3. Y. Iwamura , M. Sakano, and T. Itoh, Jpn. J. Appl. Phys. 41, 4642 (2002). 

4. D. Jaksch, C. Bruder, J.I. Cirac, C.W. Gardiner, and P. Zoller, Phys. Rev. Lett. 81, 3108 

(1998); M. Greiner, O. Mandel, T. Esslinger, T.W. Hansch, and I. Bloch, Nature 415, 39 

(2002). 

5. T.A. Chubb, Infinite Energy, Vol.13, Issue 74 (2007). 

6. S. Yamaura, K. Sasamori, H. Kimura. A. Inoue, Y. C. Zhang, Y. Arata, J. Mater. Res. 17, 

1329-1334, (2002); Y. Arata and Y-C Zhang, Proc. Japan Acad.., 78B, 57-64, (2002). 

7. G. Barcaro, A. Fortunelli, G. Rossi, F. Nita, and R. Ferrando, Phys. Rev. Lett. 98, 156101 

(2007). 

8. K. Heyde, "Basic Ideas and Concepts in Nuclear Physics", (IOP Publishing Ltd, Bristol, 

1994) p. 54. 

539

Toward an Explanation of Transmutation Products on 

Palladium Cathodes 

Norman D. Cook 

Department of Informatics 

Kansai University 

Osaka, Japan 

Abstract 

A lattice model of nuclear structure that is isomorphic with the conventional 

independent-particle model (IPM) has previously been shown to predict the 

asymmetrical fragments produced by the thermal fission of the actinides. The 

same model can be used to predict the transmutation products found on 

palladium cathodes following electrolysis, as reported by Mizuno [1]. It is 

concluded that the substructure provided by the lattice may be a crucial addition 

to conventional nuclear structure theory in order to explain the nuclear 

transmutations in both thermal fission and “cold fusion”. 

Introduction 

Several decades ago, various nucleon lattice structures were examined theoretically in the 

search for stable, condensed configurations of nucleons, possibly present in “neutron stars” [2]. 

Amidst such research, several lattice models of nuclei at normal nuclear densities [e.g., 3, 4] 

were developed and shown to exhibit the properties that are normally described using the 

conventional (shell, liquid-drop, cluster, etc.) models of nuclear structure theory. The lattice 

models have proved most useful in predicting the multifragmentation products of heavy-ion 

experiments [3, 5, 6] – an area where conventional models are inapplicable. Notable among 

such theoretical work was the quantitative explanation of the high-energy fragmentation of Xe 

and Kr nuclei using an FCC lattice [5] and the parameter-free explanation [7, 8] of the 

asymmetrical fragments produced in the thermal fission of uranium and plutonium: “the 

perennial puzzle of nuclear physics” [9]. 

The present study was undertaken to examine the use of the FCC lattice model for explaining 

the transmutation products that have been reported in low-energy “cold fusion” experiments. 

Mizuno [1] found not only deviations from the natural abundance of Pd isotopes on Pd 

cathodes, but also deposits of various light elements on the cathode surface. Those results are 

undisputed as empirical studies, but questions remain concerning the physical mechanisms. 

Here I apply the same lattice-fission technique that explains the asymmetrical fission of 

uranium [7, 8] to the break-up of the Pd isotopes, again without the use of model parameters to 

produce the results. 

540

The Lattice Model 

Central to an understanding of the lattice model itself is a mathematical identity between the 

quantum mechanical description of nuclear quantum states (summarized by the quantum 

numbers, n, j, m, s and i, that are used in the Schrodinger wave-equation) and a specific lattice 

structure [4, 8]. Specifically, in the conventional description of nuclear states, each nucleon is 

presumed to be in an energetic state specified by its unique set of quantum numbers. The 

description of nucleon states is analogous to (although, in detail, somewhat different from) the 

quantum mechanical states of the electrons in electron orbitals and described by similar 

quantum numbers. The motivation underlying the lattice model is the fact that a specific lattice 

structure that reproduces all of the nucleon energy states of the so-called independent-particle 

(~shell) model. That same lattice (an antiferromagnetic face-centered-cubic [FCC] lattice with 

isospin layering) has been independently shown to be the lowest-energy condensed state of 

nuclear matter (N=Z) [11]. The significance of the isomorphism between the lattice and 

quantum mechanics lies in the fact that, if the conventional IPM structure of a nucleus is 

known, then the 3D lattice positions of all its nucleons can be deduced directly from Eqs. 1-5 

(and vice versa, starting with occupied lattice sites and deducing its IPM state, Eqs. 6-8). 

n = (|x| + |y| + |z| - 3) / 2 Eq. 1 i = ((-1)^(z-1)) / 2 Eq. 5 

j = (|x| + |y| -1) / 2 Eq. 2 x = |2m|(-1)(m+1/2) Eq. 6 

m = |x| / 2 Eq. 3 y = (2j+1-|x|)^(i+j+m+1/2) Eq. 7 

s = ((-1)^(x-1)) / 2 Eq. 4 z = (2n+3-|x|-|y|)^(i+n-j-1) Eq. 8 

where x, y and z are all odd-integers defining FCC lattice coordinates. Full details of the lattice 

structure and its application to the unresolved problems in nuclear theory are available 

elsewhere [8]. Suffice it to say that the n-shells of the harmonic oscillator are literally shells in 

the lattice (Fig. 1), and all of the j-, m-, s- and i-subshells of the IPM model are defined in terms 

of lattice symmetries. It bears emphasis that the occupancies of all of the shells and subshells in 

the lattice model are identical to those in the IPM model – from which the shell model is 

derived. In other words, the FCC lattice is a geometrical analog of the quantal regularities of 

the Schrodinger equation. It therefore provides a natural inroad to questions concerning nuclear 

substructure without the need for ad hoc postulates concerning nucleon-clustering or dynamics 

(i.e., “model” parameters that are not derived from quantum mechanics). 

Figure 1. The n-shells in the lattice built from a central tetrahedron show the same occupancy as the 

harmonic oscillator [4, 9]: 2He 4 , 8O 16 , 20Ca 40 , 40Zr 80 , 70Yt 140 , 112Xx 224 , 168Xx 336 . 

541

Given the well-established validity of the IPM (~shell model) description of nucleon states, a 

unique lattice structure for any combination of N and Z is implied (Eqs. 1~8) – so that the 

lattice structure itself can be examined in terms of its fragmentation dynamics. 

Fission of the Actinides 

The break-up of a mini-lattice (A~240) is favored along those lattice planes where the 

number of interfragment 2-body interactions is low and simultaneously the interfragment 

Coulomb effect is high [7]. These are competing tendencies: asymmetrical fission is favored by 

the small number of nucleon-nucleon interactions binding small fragments to the larger parent 

nucleus, whereas the symmetrical (~1:1) split of the parent nucleus is favored when equal 

numbers of proton charges are in both daughter fragments. Note that the prediction of 

symmetrical fission fragments is the classic deficiency of the liquid-drop model (LDM) 

explanation of thermal fission. Without an “asymmetry parameter” – introduced explicitly to 

enhance asymmetrical fragmentation, the presumed liquid-like interior of large nuclei in the 

LDM inevitably predicts symmetrical fission – contrary to all findings on low-energy fission of 

the actinides. Shell model theorists have sought to introduce nuclear substructure (i.e., 

asymmetry) via the stability of “magic” numbers of protons and neutrons – and that view is the 

qualitative explanation of asymmetrical fission in most textbooks today. To the contrary, 

however, Strutinsky et al., who worked explicitly on this problem, have noted that the 

manipulations of the nuclear potential well needed to produce asymmetric fission have “little to 

do with the magicity of spherical fragments” [11] and the magic numbers 28 and 50 among the 

final fragments do not explain – qualitatively or quantitatively – the known fragment 

asymmetries. In contrast, the lattice model contains substructure inherent to the lattice itself. 

Using the default FCC structures for the uranium and plutonium isotopes, calculation of the 

interfragment binding along lattice planes, together with interfragment Coulomb effects, 

already shows the predominance of asymmetrical fission fragments (~3:2) (Fig. 2). 

Figure 2. The parameter-less prediction of asymmetrical fragments in the thermal fission of the actinides 

using the lattice model [7, 8]. The experimental data are shown by the solid lines (experimental error lies 

within the width of the lines). Not only is the asymmetry of the fragments unexplained in conventional 

theory (known since 1938), but there is real substructure in the fragments that survives the fission process 

and cannot be explained by the LDM or shell model. 

542

Transmutation of Palladium 

Among the most dramatic results on the transmutation of deuterium-loaded palladium are 

those reported by Mizuno [1]. As experimentalists, they have been concerned chiefly with the 

measurement of heat and reaction products, and have reported not only changes in the 

abundance of various Pd isotopes, but also the deposition of various light- and medium-size 

elements on the surface of the Pd cathodes. They found that: (i) Prior to the experiment, the 

measured abundances of Pd isotopes were virtually identical to the known natural abundances 

(Table 1, Column B). (ii) Subsequent to electrolysis, there were significant changes in the 

relative abundances (Column C), suggestive of nuclear transmutation at the surface of the 

electrode, with (iii) gradually smaller changes in the natural abundances as measurements 

proceeded from the surface to 30,000 Angstroms into the depth of the cathode. Issues of heat 

production aside, these are profoundly interesting experimental findings. 

Table 1: Experimental and Theoretical Changes in Palladium Isotopes Following 

Electrolysis 

EXPERIMENT SIMULATION . 

Isotope % Abundance Mizuno Data % Change Initial No. Loss Final No. % Loss % 

Abundance 

Pd 102 

Pd 104 

Pd 105 

Pd 106 

Pd 108 

Pd 110 

1.0% 4% +3.0% 1,000 600 400 60% 3.8% 

11.0% 17% +6.0% 11,000 9,190 1,810 84% 17.1% 

22.2% 20% -2.2% 22,200 20,080 2,120 90% 20.0% 

27.3% 21% -6.3% 27,300 25,070 2,230 92% 21.0% 

26.7% 21% -5.7% 26,700 24,470 2,230 92% 21.0% 

11.8% 17% +5.2% 11,800 9,990 1,810 85% 17.1% 

Total 100.0% 100% 0.0% 100,000 89,400 10,600 89% 100.0% 

A B C D E F G H I 

The percentage changes in the abundance of Pd isotopes (Column D) do not suggest any 

obvious regularity in the transmutation process, but a simple simulation indicates that 

essentially all of the Pd isotopes were equally involved in the transmutation process. That is, 

assuming that measurements of the cathode surface were made on, say, 100,000 Pd nuclei 

(Column E), the “loss” of 600, 9190, 20080, 25070, 24470 and 9990 of, respectively, the Pd 102 , 

Pd 104 , Pd 105 , Pd 106 , Pd 108 and Pd 110 isotopes results in percentages (Column I) virtually identical 

to those reported by Mizuno (Column C). What is of interest about these values is that they 

indicate that (with the exception of Pd 102 , that accounts for only 1% of the natural abundance) 

all of the Pd isotopes were involved in nuclear reactions at approximately equal rates (84~92%, 

Column H). In other words, if transmutation of Pd is the source of heat energy in cold fusion 

experiments, then it is not the case that one or a few unusual isotopes are responsible for the 

effects, in so far as similar percentage decreases of all isotopes were involved. Clearly, this 

simulation does not indicate how deuterium is able to overcome the Coulomb barrier and enter 

the Pd nucleus [12], but it does show that, if some such mechanism is at work, the seemingly 

irregular changes in Pd isotopic abundances (Column D) are a consequence of similar 

percentage depletions in all isotopes (Column H). 

543

The next question is, therefore, if a constant percentage of surface Pd isotopes were 

transmuted, what were they transmuted to? 

Palladium Fission Fragments 

Simulation of the fission of palladium was carried out on each of the six stable Pd isotopes 

using the lattice model [4, 7, 8,]. The nucleon build-up process in the model is given by Eqs. 

1~4, with the assignment of equivalent “valence” nucleon positions determined solely by the 

maximization of nearest-neighbor interactions. In other words, 46 protons and 56~64 neutrons 

were placed at lattice sites, such that the final nucleus had (i) maximal nearest-neighbor 

binding, (ii) minimal Coulomb repulsion, and (iii) a total J-value (calculated from the sum of 

nucleon j-values) as experimentally known. A deuteron was then added at random to surface 

lattice sites of each nucleus. Finally, scission of the Z=47, N=57~65 system was simulated 

along 17 lattice planes cutting through or parallel to the origin of the coordinate system, and 

statistics collected. For each fissioning nucleus, the total number of “bonds” crossing the 

fission-plane was counted and the total Coulomb repulsion between the fragments calculated. 

Assuming an average nearest-neighbor binding energy of ~2.77 MeV (giving a total binding 

energy of the Pd isotopes within 1% of experimental values) and subtracting the Coulomb 

effect between the fragments, the four lowest-energy fission events per nucleus were 

calculated. The final steps in the simulation were (i) adjustment of the percentages of fragments 

using the natural abundances of Pd isotopes and then (ii) collation of the fission fragments per 

Pd isotope. The entire fission simulation is similar to that already reported concerning the 

actinides [7, 8], and can be easily reproduced using the NVS freeware (Windows and Mac 

versions) available at: www.res.kutc.kansai-u.ac.jp/~cook. 

Results 

The binding energy of the Pd isotopes was calculated from the total number of nearestneighbor 

“bonds” in the lattice structure for a given number of Z and N, assuming a binding 

energy of 2.77 MeV/bond (ignoring spin and isospin effects) minus the Coulomb effect. By 

then calculating the total binding energy across each scission plane minus the Coulomb 

repulsion between the protons in each fragment, the energy required to induce fission was 

found to be 3.12~8.66 MeV, depending on the isotope. The fragments produced by splitting the 

Pd isotope along the low-energy planes contained 46~60 nucleons and 22~26 protons. In other 

words, fission of the Z=47, N=57~65 system was essentially symmetrical with two daughter 

fragments of approximately the same mass. Generally, only a few scission planes per isotope 

had fission energies below 10 MeV, but if fission events requiring up to 15 MeV are also 

included, then fragments with atomic number 14~33 and mass number 34~73 were found. 

Typical fission lattice-planes through a Pd isotope are illustrated in Figure 3. Qualitatively, the 

approximate spectrum of deposits on the Pd cathode reported by Mizuno [1] was reproduced by 

the lattice model. A quantitative study is in progress. 

544

Figure 3. Examples of high (left) and low (right) probability lattice scission planes in Pd110. Note that the 

FCC lattice structures represent individual nuclei (protons are light spheres, neutrons are dark spheres), 

totally unrelated to the FCC (atomic) structure of the palladium cathode itself. 

Conclusion 

Conventional nuclear structure theorists are understandably reluctant to postulate new 

physical mechanisms to account for the transmutation results reported by Mizuno and others. 

Nevertheless, the excess heat found in many experimental “cold fusion” set-ups is strongly 

suggestive of a nuclear origin – and that suggestion alone implies that there are yet imperfectly 

understood nuclear phenomena at work. In fact, the asymmetrical fragmentation of U 235 and all 

of the other actinides that undergo thermal fission is one of the oldest “mysteries” in nuclear 

physics. I suggest that both the mystery of asymmetric fission of uranium and the mystery of 

deuterium-induced transmutation of Pd can be solved by regarding the nucleus itself as a minilattice. 

Assuming a yet-uncertain mechanism for inducing the fission of Pd nuclei [12], the 

substructure implicit to the FCC lattice representation of nuclear quantal symmetries may 

explain transmutation results essentially without any modification to the conventional 

independent-particle (~shell) model of nuclear structure. 

References 

1. Mizuno, T. (1998) Nuclear Transmutation, Infinite Energy Press, Concord. 

2. Canuto, V. (1975) Annual Review of Astronomy and Astrophysics 12, 167. 

3. Bauer, W., et al. (1985) Physics Letters B150, 53. 

4. Cook, N.D., & Dallacasa, V. (1987) Physical Review C36, 1883-1891 

5. Chao, N.C., & Chung, K.C. (1991) Journal of Physics G17, 1851. 

6. DasGupta, S., & Pan, J., (1996) Physical Review C53, 1319-1324. 

7. Cook, N.D. (1999) Proceedings of the St. Andrews Conference on Fission, pp. 217-226. 

8. Cook, N.D. (2006) Models of the Atomic Nucleus, Springer, Berlin. 

9. Fraser, J.S., & Milton, J.C.D. (1966) Annual Review of Nuclear Science 16, 1207. 

10. Canuto, V., & Chitre, S.M. (1974) Inter. Astr. Astroph. Union Symp. 53, 133. 

11. Brack, M., et al. (1972) Reviews of Modern Physics 44, 320. 

12. Takahashi, A., et al. (1999) Physics Letters A 255, 89. 

545

An Experimental Device to Test the YPCP (“Yukawa Pico 

Chemistry And Physics”) Model: Implications for the CF- 

LENR Field 


CNAM - Laboratoire des sciences nucléaires - CC304A - 75141 Paris Cedex 03 

Abstract 

In the CF-LENR field (Cold Fusion and Low Energy Nuclear reactions) many 

experimental results are available: unexplained energy production, presence of 

unusual patterns of classical fusion reaction products, isotopic composition 

variations, sporadic emission of nuclear radiations (α, β and γ)… These effects 

are not always observed, for similar experimental conditions. Should a 

fundamental reason exist for these effects to occur, funding would be justified, 

to make them repeatable and more intense. In this article, a possible fundamental 

explanation of the phenomenon is described, together with the experimental plan 

to assess it. 

Introduction 

One of the main conceptual problems to be addressed (and solved) in the field of CF-LENR 

is: “how can huge potential barriers be overcome” (some 0.3 MeV in the case of d/d fusion and 

30 MeV in the case of d/Pd nuclear reactions). Part of the answer is probably to be found in 

specificities of deuterons behavior in a lattice (deuteron/phonon interaction, resonant 

electromagnetic-dynamics…), that could increase the otherwise very low probability of 

reaction. should an attractive (and yet undiscovered) potential exist, with a pico-meter range 

and a coupling constant in the order of magnitude of the EM coupling constant, these 

probabilities could be considerably increased and result in macroscopic effects, potentially 

useful for technical applications. The experimental approach described below, aims at 

unveiling and characterizing such a potential. When positive, the path would be opened to pico 

chemistry and physics (YPCP). 

Theoretical 

Basis to assess the effects of the new potential: 

A first attempt to describe the expected effects of such a potential had been presented [1]. 

Recently [2], arguments have been reported, (in the frame of Standard Model Extension – 

Lorentz symmetry violation) for the possible existence of a Yukawa type of potential, with a 

range extending farther than fm and up to pm distances. The YPCP model has been built on this 

possibility. It aims at proposing and designing unambiguous experiments, to assess the effects 

and hence the reality of this potential. 

546

From [2], the following Yukawa type of potential, acting between nucleons, was extracted 

(and is called along this article: weak long range Yukawa potential): 

e 

r 

 

r 

WLY 

2 

(1) 

V Cg 

(C being a constant, g 2 the coupling constant of the strong nuclear force and ( 0 ) the 

reverse of the range ' .) 

A candidate for the required boson carrying the interaction could be creation and exchange of 

electron-positron pairs (neutral). In the context of Feynman's equation for the Yukawa 

potential, the effect extends into the picometer range. This would have to be examined in detail 

when experiments are positive [3]. 

This yet unknown weak long range Yukawa potential should have an influence on neutron 

capture cross sections. Indeed, the variations of the neutron residence time, (depending upon its 

energy), in the range of this potential, is a straightforward explanation of the observed 

variations of the neutrons capture cross sections (apart from the resonance zones). 

The model used to test the YPCP hypothesis and its main experimental predictions: 

A description of the YPCP model is given in [4]. The model have been run with a range ' of 

1,3 pm and a coupling constant 

2 

Cg of 5.048*10 -28 that is 2 times the electro-magnetic coupling 

constant. Possible bound states of the proton (deuteron) at pm distances from the target atoms 

can thus be visualized. The amplitude of the potential barrier to be overcome to reach these 

bounds states, can also be evaluated. Only in the case of deuterium, were bound states 

visualized. 

Two cases were thus considered, representative of the experimental situations to be 

examined: 

The deuterium/palladium case (gas loading experiments YPC: Yukawa Pico Chemistry). 

The deuterium/deuterium case (proton beam experiments YPP: Yukawa Pico Physics). 

547

Figure 1. Palladium/deuterium total energy with Lennard-Jones potential. 

It can be seen that the total energy remains positive and increases, from 0 at the periphery of 

the palladium (179 pm) up to 10000 eV at some 6 pm from the nucleus. The total energy then 

decreases to negative values and the deuteron could reach the nucleus, resulting in a nuclear 

reaction. It is thought that this is prevented by the Pauli exclusion principle, the K electrons 

having few energy levels available. To take this into account, a Lennard-Jones type of potential 

106 2 

has been added to the other potentials. Stable bound states, such as 

46 Pd, 1H 

 

, a deuteron at 

some pm from a Pd nucleus, reaction enthalpy of some 9000eV), could be justified. 

10 000 

8 000 

6 000 

4 000 

2 000 

0 

0 5 10 15 20 25 30 35 40 45 50 

-2 000 

distance (pm) 

-4 000 

-6 000 

-8 000 

-10 000 

10 000 

9 000 

8 000 

7 000 

6 000 

5 000 

4 000 

3 000 

2 000 

1 000 

Total energy (eV) 

0 

(Barrier: 140 eV at 50 pm, 105 keV at 17 fm) 

Residual energy constraint: 30 meV in the tritium/tritiumcase. Range 1,3 pm 

0 1 2 3 4 5 6 7 8 9 10 

Total energy (eV) (with Lennard-Jones potential) 

Figure 2. Deuterium/Deuterium total energy. 

548 

Deuterium/Deuterium 

Palladium/Deuterium 

Residual energy constraint: 30 meV in the tritium/tritium case. Range : 1,3 pm 

Distance (pm)

It can be seen that the total energy remains positive and increases from 0 at the periphery of 

the deuterium (73 pm) up to 140 eV at some 10 pm from the nucleus and 113 keV at some 15 

fm from it. The total energy then decreases sharply and a d/d fusion reaction can take place. 

The potential barrier to be overcome is rather low and thin. This could be an explanation of the 

increase of the fusion reaction cross section at low energy of the deuteron, observed with 

deuteron beam experiments [5] 

The YPCP conjecture and the CF-LENR field 

Palladium gas loading: 

The 30 MeV Coulomb barrier to be overcome, for a Pd/d reaction to occur, could be reduced 

to a few keV (see Figure 1). Collective or resonant effects in the lattice [6] could then trigger 

pico-chemical reactions, at the macroscopic level. X-Rays emitted in the keV level of energy 

could sustain the reaction once initiated (“heat after death” [7,8]) and expel helium4 present in 

the virgin palladium. 

Products from these hypothetical pico-chemical reactions are probably rather stable (Pauli 

exclusion principle). The probability of reacting is nevertheless not zero. The nuclear reaction 

would be: 

46 Pd 1H 47 Ag * (excess energy* 10.8 MeV) 

106 

 

2 

 

108 

(3) 

108 

47 Ag * then decaying through emission (energy 10.8 MeV/ ), ultimately yielding 104 

46 Pd 

through decay (1.4 MeV, and X-Ray emission) of intermediate 104 

45 Rh . (4) This type of 

reaction would cause a shift in palladium isotopes. 

This could explain observations made in SPAWAR experiments, where entities such as 

106 2 

 

46 Pd, 1H 

 

(pseudo silver [12]), formed during electrolysis on the cathode, could pass into the 

electrolyte and then react according to (3) and (4), in unexpected places in the experiment [9]. 

Electrolysis and gas discharges should yield the same products patterns. 

Proton (deuteron) beam experiments: 

Typical experiments with deuterons beams, are run with energies of the deuterons of 

hundreds of keV. Recent experiments [5], run with deuterons energy round 5 keV have shown 

a surprising high level for the reaction cross section. This has been attributed to a screening 

potential of the electrons, in the order of hundreds of eV. The weak long range Yukawa 

potential could add to this screening effect: its action being energy dependant, lowering the 

energy of the impacting deuteron could be favorable. The full Coulomb barrier (some 300 keV) 

would also be reduced down to some 110 keV. It is then thought that the use of deuterons of 

energies in the range 15 to 150 eV, could increase the d/d fusion cross section observed in [5]. 

549

Experimental 

Reaction enthalpies of pico-chemical reactions: 

The enthalpy of formation of pico-chemical products formed by reactions such as (3) during 

deuterium loading of palladium, will be determined. The heat released will be measured using 

an ice calorimeter built and characterized for that purpose. A detailed description of this device 

is given in [10]. Pure palladium black (activated at 230°C, under 10 -1 mb pressure) will be 

used, thus eliminating the pollution that might be caused by a support [7]. 

After the experiment, the processed samples will be recovered for analysis. 

Charged particle emission: 

The possibility of the emission of charged particles caused by the impact of low/medium 

energy protons or deuterons (between 15 and 150 eV) on a metallic target will be assessed. Use 

will be made of a device that has been built to generate protons with energies in that range. 

Description of the proton (deuteron) generator: 

A concept similar to the Penning ion source has been used: a cloud of protons or deuterons 

(and not a beam) is generated. The protons or deuterons then impact, with a controlled energy, 

a target made from the metal to be studied. See Figure 3 and Ref. [4]. 

H2(D2) 

1 to 

10 -2 mb 

Pyrex 

tube 

Geiger 

counter 

B +80 V 

P = 10 -1 to 10 -3 mb 

Figure 3. Proton (deuterium) generator. 

Hydrogen (deuterium) leaking at a pressure between 1 and 10 -2 mb, enters a vertical pyrex 

tube (12 mm diameter). At the outlet of the tube, the hydrogen expands into a vacuum chamber, 

maintained at a pressure between 10 -1 and 10 -2 mb by a primary vacuum pump. The use of a 

secondary vacuum pump allows the pressure in the vacuum chamber to be lowered to values in 

the range 10 -2 and 10 -3 mb. 

Currents of 15 eV protons, up to 500 µA have been obtained. 

550 

A +10 V 

T -50 to -100 V 

Vacuum 

chamber 

Silicon 

barrier 

To secondary 

vacuum pump

Description of the analysis to be performed: 

From the conclusions of the YPCP model, it is anticipated that, depending upon the 

experimental situation, 2 kinds of reactions will occur, pico-chemical and d/d fusion reactions: 

- the enthalpy of the pico-chemical reactions (YPC), resulting from the binding of a proton 

(deuteron) close to the nucleus of the treated atom (in the order of some pm) will be 

determined from the heat released during gas loading experiments and from the amount of 

products formed (ICP-MS and XRF see [4,11]). This non nuclear reaction would have an 

enthalpy of reaction of a few keV. X-Rays of that energy could be emitted. Only deuterium 

is expected to react. 

- true nuclear d/d fusion reactions, resulting from pico physics (YPP), will be characterized 

by their usual reaction products (protons, helium3 and neutrons) with associated energies. 

These reactions are expected to occur in the proton (deuteron) generator. 

Conclusion 

If positive, the proposed experiments would prove the reality of the YPCP working 

hypothesis and the existence of the weak long range Yukawa potential. Once this necessary 

scientific confirmation is obtained, funding could be obtained for developments that can be 

envisaged along 2 paths: 

- nuclear wastes remediation [13] and small heat generators (if metals other than palladium can 

be used). These developments could be achieved through gas loading, electrolysis, electrical 

discharges … 

- true cold fusion d/d reactions (deuterons beam experiments) ultimately leading to a d/d fusion 

reactor based on well mastered technologies, using usual temperature and pressure conditions. 

References 

1. J. Dufour “Very sizeable increase of gravitation at pico-meter distance: A novel working 

hypothesis to explain anomalous heat effects and apparent transmutations in certain 

metal/hydrogen systems” J.Condensed Matter Nucl. Sci. 1 (2007) p.47-61 

2. B. Altschul “Lorentz violation and the Yukawa potential” Physics Letter B 639 (2006) p.679- 

683 

3. Discussions A. Meulenburg/J. Dufour at ICCF14 

4. http://arxiv.org/ftp/arxiv/papers/0810/0810.0955.pdf 

5. A. Huke et alt. “Enhancement of deuteron fusion reactions in metals and experimental 

implications” Physical review C 78 015803 (2008) 

6. S. R Chubb “Resonant electromagnetic-dynamics explain the Pons-Fleischmann effect” ICCF 

14 proceedings Washington, 10/15 August 2008 

7. Y. Arata and M. J. A Yue-Chang Zhang “Solid fusion reactor with zero input energy” ICCF 14 

proceedings Washington, 10/15 August 2008 

8. S. Pons and M. Fleischmann “Heat after death” ICCF 4 proceedings EPRI vol 2 p.91 

9. L. Forsley and P. Mosier-Boss “Quantitative spatial analysis of Pd/D co-deposition induced 

nuclear particles tracks” ICCF 14 proceedings Washington, 10/15 August 2008 

551

10. J. Dufour, X. Dufour, D. Murat and J. Foos “A simple calorimetric method to avoid artifact in a 

controversial field: the ice calorimeter” ICCF 14 proceedings Washington, 10/15 August 2008 

11. Y. Iwamura et al. “ Observation of surface distribution of products by X-Ray fluorescence” 

ICCF 12 proceedings 2005 Yokohama Japon 

12. W. T. Williams and J. Dash “Auger and mass spectroscopy of anomalous Ag concentrations on 

electrolysed Pd” ICCF 14 proceedings Washington, 10/15 August 2008 

13. I. Savvatimova and J. Dash “Transmutation of elements during conditions of low energy glow 

discharge exposure and the associated processes” ICCF 14 proceedings Washington, 10/15 

August 2008 

552

Investigation of Deuteron-Deuteron Cold Fusion in a Cavity 

Cheng-ming Fou 

Department of Physics and Astronomy, University of Delaware 

Sharp Laboratory, Newark, DE 19716 

Abstract 

A cavity in a solid, first of all, serves as a place of confinement for a Deuterium 

molecule. Two deuterons in the molecule are trapped together in close proximity. 

Thus, they may engage in 'Low Energy Nuclear Reaction' which requires longer 

time, unlike collision type of nuclear reaction. Secondly, the electric field in the 

cavity (to be shown below) superimposed on this deuteron-pair would lower the 

Coulomb barrier between them facilitating a 'Low Energy Fusion' reaction. 

Furthermore, neutron exchange reaction between two deuterons (in an analogous 

manner like the electron exchange that forms a Deuterium molecule) is like a 

'Long Range' force (as compared to the range of nuclear force) that can pull two 

deuterons together. This range is longer than that of the pi-plus exchange 

nuclear force between a proton and a neutron, because neutrons are charge 

neutral. [1] Longer reaction time; [2] Lowered Coulomb Barrier; [3] Longer 

range are the necessary conditions for (d-d) 'Cold Fusion'. 

Earlier, in reference (1), the neutron exchange potential was modeled as a slow-varying 

function of the (d-d) separation. 

Vex = -A -B exp ( - K rdd ) (1) 

A = 4.4 MeV corresponds to twice the neutron binding energy in deuteron when the two 

deuterons are far apart, and A+B = 28.4 MeV corresponds to the sum of the binding energies of 

the two neutrons in 4 He nucleus, when the two deuterons are combined. 

This potential is not for a 'new' force between two deuterons. It is simply a manifestation of 

proton-neutron nuclear force. Just like the electron exchange interaction that binds two 

hydrogen atoms to form a molecule is a manifestation of Coulomb force between electron and 

proton. This exchange interaction between two neutral hydrogen atoms is mediated through the 

exchange of electrons when the two Hydrogen- wavefunctions overlap. One does not need to 

solve a four-body [two protons with two electrons] quantum mechanical problem using 

Coulomb forces. Because, the two protons in the pair of hydrogen atom are sufficiently far 

apart even after the molecule is formed. Only the Coulomb potential energy between them 

needs to be considered. Likewise here, the interaction mediated through neutron exchange 

when the two Deuteron-wavefunctions overlap has a range larger than that of nuclear force. 

One does not need to solve a four body (ppnn) quantum mechanical problem using nuclear 

force because the two protons of the deuteron pair trapped inside a cavity are also far 

[comparing to nuclear force range] apart. 

553

Together with the Coulomb-repulsion potential 

the total potential 

Vc = k / rdd 

VT = Vex + Vc (3) 

as a function of rdd depending on the values of K and k could have no maximum or minimum 

[monotonously drops from positive infinity to -4.4 MeV], one plateau, or one minimum and 

one maximum [VT drops from positive infinity to a minimum then rises up to a maximum, 

finally asymptotically approaches -4.4 MeV]. 

In a space free of external field like inside a Deuterium molecule in vacuum, k = e 2 / (4πεo) = 

14.4 eV/ (10 -10 m) is a constant, not an unknown parameter. Since 'Cold fusion' of the two 

deuterons in a Deuterium molecule has never been observed, a lower limit for K = 9 (1/ fermi) 

[1 fermi = 10 -15 m] can be determined (see reference 3). In other words, K for the neutron 

exchange potential must be larger than this lower limit. Which means, in vacuum space the 

Coulomb barrier dominates over the attraction (due to neutron exchange) at all ranges of 

deuteron separation. In reference (3) K = 12 (1/f) [larger than the lower limit mentioned above] 

was chosen to investigate cases of 'weakened' Coulomb repulsions. It was found, if the 

Coulomb field is weakened by 50% or more, a shallow minimum (around Krdd = 1) plus a 

broad low maximum (around Krdd = 10) of VT [the total potential] exists. A pair of deuteron 

under this condition can in time via tunneling through this broad and low barrier ends up in this 

potential minimum region. Then, through de-excitation (via radiation emission) this pair may 

energetically drop into a stable bound state and finally fused together forming a He 4 nucleus 

(see reference 3). 

In reference (2), it was argued that the electric field inside a cavity (or void) of a solid is not 

zero. Instead, this field should be very much like that inside a virtual 'anti-atom'. Here, a cavity 

is the void created by taking away one atom from a perfect solid. One can visualize this 

argument by placing or superimposing an 'anti-atom' into a perfect solid. This anti-atom would 

charge-wise neutralize one of the atoms and thus generating a charge void or cavity. 

Consequently, the electrostatic field inside a cavity can be considered to be the superposition of 

two fields, one due to the charge distribution of an anti-atom the other due to all atoms in a 

perfect solid at this site. In a first order approximation, one assumes the average field inside a 

perfect solid is everywhere zero because all atoms are neutral. In that case, since the field inside 

an anti-atom is negative or attractive to positive charges both deuterons in a trapped Deuterium 

molecule are pulled toward the center of the cavity. Effectively, this field inside a cavity does 

'weaken' the Coulomb repulsion between the two deuterons and thus facilitating a scenario of 

'Cold Fusion' described above. 1 

1 The assumption that the average field inside a solid is zero everywhere is hard to justify. 

Furthermore, to assume the charge distribution at the location of the cavity is exactly like that 

of a ‘free’ atom such that the charge distribution of a ‘free’ anti-atom will charge-neutralize this 

location creating a charge-void like the cavity is equally hard to justify. The author is grateful 

to a reader of the draft for pointing out the weakness of arguments. (C.M.F.) 

554 

(2)

Direct measurement of this field is difficult. One can probably do it indirectly by measuring 

the energy shifts of inner-shell transition of the atoms trapped inside such cavities. It is also not 

easy to determine such a field analytically. Large scale simulation or numerical calculation 

should yield useful results to strengthen the argument for the feasibility of dd-cold fusion inside 

a cavity. 

References 

1. C.M. Fou "Deuteron-Deuteron (dd) Binding via Neutron Exchange," Infinite Energy, Vol. 

11, issue 66, 26-28 (2006) 

2. C.M. Fou "Coulomb Field for LENR in Solid," Infinite Energy, Vol. 12, issue 71, 25-27 

(2007) 

3. C.M. Fou "Calculation for dd-fusion in a weakened Coulomb Field," Infinite Energy, Vol. 

14, issue 83, 57-60 (2009) 

Editor’s note: A reviewer has argued that the author’s ingenious construction (here and in ref. 

(2)) appears to contradict Gauss’s law, to the extent that it entails a charge-free region with an 

electrical flux directed inward everywhere on the surface. The reviewer concurs that further 

work is desirable to clarify the character of the field. 

555

“The Coulomb Barrier not Static in QED” A correction to 

the Theory by Preparata on the Phenomenon of Cold 

Fusion and Theoretical Hypothesis 

Fulvio Frisone 

Department of Physics of the University of Catania 

Catania, Italy, 95125, Via Santa Sofia 64 

Abstract 

In the last two decades, irrefutable experimental evidence has shown that Low 

Energy Nuclear Reactions (LENR) occur in specialized heavy hydrogen systems 

[1-4]. Nevertheless, we are still confronted with a problem: the theoretical basis 

of LENR are not known and, as a matter of fact, little research has been carried 

out on this subject. In this work we seek to analyse the deuteron-deuteron 

reactions within palladium lattice by means of Preparata’s model of the 

palladium lattice [5,15]. We will also show the occurrence probability of fusion 

phenomena according to more accurate experiments [6]. We are not going to use 

any of the research models which have been previously followed in this field. 

Our aim is to demonstrate the theoretical possibility of cold fusion. Moreover, 

we will focus on tunneling the existent Coulomb barrier between two deuterons. 

Analysing the possible contributions of the lattice to the improvement of the 

tunneling probability, we find that there is a real mechanism through which this 

probability could be increased: this mechanism is the screening effect due to dshell 

electrons of palladium lattice. The accordance between theoretical and 

experimental results will prove the reality of cold fusion phenomena and show 

the reliability of our model. 


Our research has shown that cold fusion phenomena were verified by the Coherence Theory 

of Condensed Matter. In this theory [5] it is assumed that the electromagnetic (e.m.) field plays 

a very important role on dynamic system, due to elementary constituents of matter (i.e. ions and 

electrons). Due to charged matter, considering the coupling between e.m. equations and the 

Schrödinger equation of field matter operator, it is possible to demonstrate that the matter 

system shows a dynamic coherence in proximity of e.m. frequency 0.. Hence, it is possible to 

define the coherence domains, whose length is about CD =2/0 . 

The simplest model of matter with coherence domain is obviously the plasma system. In 

classical plasma theory we have to consider the plasma frequency p and the Debey length that 

measures the Coulomb force extension, i.e. the coherence domain length. In order to address 

the crucial issue of the nuclear fusion reaction involving the deuterons that pack the Pd-lattice, 

we must have a rather detailed understanding of the environment in which such nuclear process 

will eventually take place. 

556

For a system with N charge Q of m mass within a V volume the plasma frequency can be 

written as: 

Qe 

k p 

m 

N 

V 

(1) 

Introducing the dimensional variable t we can rewrite the above equations as follows: 

 

 

 

1 * 

 

 

n ( ) 

n kr 

kra 

kr 

kra 

n 

n 

( ) 

2 

 

k 

nr 

p 

p 

1 

kr i kr mkr 

2 

Defining the state as: 

i * 

* 

kr 

n a n 

 

n ( t) 

 

n( 

) 

2 

nn 

(3) 

 

( ) n 

n 

n 

and the e.m. field amplitude as: 

 

 

A d k 

kr 

kr 

 

3 (5) 

8 

r 

we can rewrite as follows: 

 

 

t 

2 

Aa A a 

3 

(6) 

i 

A A imA 

 

a 

 

 

2 

2 

3 

(7) 

If we only concentrate on a short time dynamics, we can write: 

( 0) 

0 

(8) 

then, creating a difference in the (6) and using the (7) with 0 , we can easily obtain: 

i 2 

 

A 

 

j A 

 

j 

0 a j, 

al 

0 

2 3 

(9) 

2 

Al 

Aj 3 

(10) 

This has the same form of the equations of the coherence domains as the case in which: 

 

 

0 

0 

2 2 

g 

 

 

 

 

 

3 

557 

(2) 

(4)

2 16 2 

gc 

 

27 3 

So, a solution for the ideal plasma exists. More in detail, we can define: 

k k 

a 

(11) 

1 / 2 

2 

g0 

 

3 

In this case the coupling critical constant is: 

k g0 Ak 

(12) 

i 

A k A 

 

k g0 

k 

2 

(13) 

so to admit the following holding quantity: 

A A A A * 

* 

i 

Q A 

k Ak 

 

 

k k k k 

 

 

kk 

 

 

* 

* 

2 

(14) 

while for the Hamiltonian’s it is easy to compute: 

* 

* 

A A 

E 

N 

p 

1 

* 

H Q A 

k A 

k ig 

2 

k k k 

 

k 

 

(15) 

With the aim of seeing if there are any externals solutions, we write 

 

k 

i 

uke 

(16) 

i 

Ak Auke 

(17) 

where and A are positive constants and uk is a complex vector. 

Changing these ones in (12) and (13) we have: 

 

 

2 

(18) 

A 

g0 

(19) 

1 2 

3 2 

 

g0 

2 

0 

(20) 

and by the condition Q=0 (we cannot have a net charge flow in a plasma), we have: 

2 

0 1 2 

g 

 

0 

In this case it is easy to observe that for 

(18) and (19) are satisfied. 

g 

0 

2 

 

3 

558 

1 / 2 

it is unlikely that both the equations 

(21)

This result means that the energy of an ideal quantum plasma does not have a minimum; in 

other words, an ideal quantum plasma does not exist. 

That must not be surprising, because the Hamiltonian’ describes this plasma as a system 

whose amplitude oscillations are arbitrary, whereas the limit over a certain amplitude does not 

exist in a real plasma. 

But by: 

1 

( a a ) 

2 

m p 

it is easy to obtain: 

 

 

2 1 2 

 

m 

p 

Also, in the plasma approximation as an homogeneous fluid, we suppose that our 

Hamiltonian’s stops have to be valid for the oscillations bigger than the following: 

 

2 

1/ 

2 

max 

V 

a 

N 

1/ 

2 

that is when plasma oscillations are of the same order as the inter-particle distance a. In order to 

create some more realistic models of plasma, we want to compute the breaking amplitude max 

obtained by the combination of the equations (22) and (23) for a gas of electrons. 

Using the definition of p , we have: 

1 / 3 

max 

1 

m p 

3 

1 / 4 1 / 2 

ma e 

(24) 

taking 

a 2. 

5Å 

the result is 

max 2.7 Å 

This simple calculation shows how it is possible to change our quantum ideal plasma in a real 

plasma. As the oscillations remain very low in a plasma, a two level model can be a good 

approximation (the dynamics only includes the first excited state). A consequence of this 

approximation consisting in the reduction of the plasma in a homogeneous fluid is the changing 

of the plasma frequency p as follows: 

p 

Q 

m 

N 

V 

559 

(22) 

(23) 

(25)

Moreover, we study the “nuclear environment” that is supposed existent within the palladium 

lattice D2-loaded and at room temperature as predicted by the Coherence Theory. As a matter 

of fact, some physicists declared that it is possible to observe traces of nuclear reactions [1,2,3] 

when the palladium lattice is loaded with deuterium gas. For this reason many of these 

physicists define that as a Low Energy Nuclear Reaction (LENR). 

One of the most interesting experiments shows that in the D2-loaded palladium case the most 

frequent nuclear reactions are: 

3 

1) D D 

H p 4. 

03MeV 

4 

2) D D 

H p 23. 

85MeV 

The aim of our work is to propose a “coherence” model, by means of which we can explain 

the occurrence of reactions 1) and 2) and their probability according to more reliable 

experiments. First of all, we will start from the analysis of the environment, i.e. of plasmas 

present within palladium (d-electron, s-electron, Pd-ions and D-ions); we will do so using the 

coherence theory of matter. Then, we will use the effective potential reported in ref. [7,8] and 

add the role of lattice perturbations, by means of which we will compute the D-D tunneling 

probability. 

2. The plasmas within non loaded palladium 

According to the Coherence Theory of Condensed Matter, in a palladium crystal at room 

temperature the electron shells are in a coherent regime within a coherent domain. In point of 

fact, they oscillate in tune with a coherent e.m. field trapped in coherent domains. 

So, in order to describe the lattice environment we must study the plasma of s-electron and delectron. 

a) The plasma of d-electrons 

Similar arguments were proposed by Preparata, but starting from a new formulation of 

condensed matter theory known as Coherence Theory. 

In this theory we can visualize the plasma formed by d-shell electrons as consisting of shells 

charged nd e (for palladium nd =10) radius rd =1 Å and thickness a fraction of one Angstrom. 

The classical plasma 

d 

n 

e d 

m 

V 

N 

is d-electrons plasma frequency. But according to the coherence theory of matter we must 

adjust this plasma frequency of a factor 1.38. 

We can understand this correction by observing that the formula (26) is obtained assuming a 

uniform d-electron charge distribution. But of course the d-electron plasma is localized in a 

shell of radius R (that is about 1Å), so the geometrical contribution is: 

6 

1. 

38 

 

560 

(26) 

(27)

If we rewrite the renormalized d-electron plasma frequency with d , we have 

41. 5eV 

/ 

(28) 

d 

and the maximum oscillation amplitude d is about 0.5 Å. 

b) The plasma of delocalized s-electrons 

The s-electrons are those neutralizing the absorbed deuterons ions in the lattice. They are 

delocalised and their plasma frequency depends on the loading ratio (D/Pd percentage). The 

formula (28) can also be written as: 

se 

e 

m 

N 

 

V 

where 

x 

 

a 

N 

a 

 

1 

Vpd 

V 

(30) 

 

and Vpd is the volume effectively occupied by the Pd-atom. As reported in reference [5], we 

obtain: 

1/ 

2 

x 15. 

2eV 

/ 

(31) 

se 

As an example, for x=0.5, we have se ~10.7 eV/ħ. 

c)The plasma of Pd-ions 

Furthermore, we can consider the plasma according to the palladium ions forming the lattice 

structure; in this case it is possible to demonstrate that the frequency is (28): 

0. 

1eV 

(32) 

pd 

3. The plasmas within D2-loaded palladium 

In this section we seek to show what happens when the absorbed deuterium is placed near the 

palladium surface. This loading can be enhanced using electrolytic cells or vacuum chambers 

working at opportune pressure [9, 10]. By means of Preparata’s theory of Condensed Matter, it 

is assumed that there are three phases concerning the D2-Pd system, according to the ratio 

x=D/Pd: 

1) phase for x

Then, according to the loading quantity x=D/Pd, the ions of deuterium can occur on the 

octahedrical sites (Fig. 1) or on the tetrahedral (Fig. 2) in the (1,0,0)-plane. In the coherent 

theory of the so called -plasma of Preparata’s the deuterons plasma are in the octahedral site 

and the -plasma are in the tetrahedral. 

Figure 1. The octahedral sites of the Pd lattice where the deuterons are located 

Figure 2. The thin disks of the tetrahedral sites of the Pd lattice where the deuterons are located 

Regarding the -plasma, it is possible to affirm that the plasma frequency is given by (28): 

( x 0. 

05) 

1/ 

2 

 

0 

(34) 

where 

0 

1/ 

2 

e N 1 0. 

15 

eV / 

(35) 

1/ 

2 1/ 

2 

m V 

D 

a 

a 

For example, if we use a=0.4 and x=0.5 we obtain =0.168 eV/ħ. 

562

In the tetrahedral sites the D + can occupy the thin disk that encompasses two sites (Fig. 3), 

representing a barrier to the D + ions. We must underline that the electrons of the d-shell start 

oscillating near the equilibrium distance y0 (about 1.4 Å ), so that the static ions have a cloud of 

negative charge (see reference [5]). 

 

What follows is: 

 

4Z 

eff 

0. 

65eV 

/ 

2 

m y 

D 

0 

Of course, this frequency also depends on the chemical condition of the palladium 

(impurities, temperature etc…) 

Figure 3. Possible d-electron plasma oscillation in a Pd lattice 

Due to a large plasma oscillation of d-electrons, a high density negative charge condenses in 

the disk-like tetrahedral region, where the -phase D + ’s are located. This gives rise to a 

screening potential W(t), whose profile is reported in Fig. 4. 

Figure 4. The profile of the electrostatic potential in the η-direction 

563 

(36)

Having mapped that the -phase depends on x value, we can experimentally observe the new 

phase in reference [11], which is very important in the LENR investigation. This is 

demonstrated by the fact that many of the “cold fusion physicists” declare that the main point 

of cold fusion protocol is the loading D/Pd ratio higher than 0.7, i.e. the deuterium takes place 

in the tetrahedral sites. 

4. The D-D potential 

In reference [7], it was shown that the phenomenon of fusion between nuclei of deuterium in 

the lattice of a metal is conditioned by the structural characteristics, by the dynamic conditions 

of the system and also by the concentration of impurities that are present in the metal under 

examination. 

In fact, the height of the Coulomb barrier decreases according to the varying of the total 

energy and of the concentration of impurities that are present in the metal itself. This can be 

observed studying the curves of the potential of interaction between deuterons (including the 

deuteron-plasmon contribution) in the case of three typical metals (Pd, Pt and Ti), as shown in 

a three-dimensional model. 

The initial potential that connects the like-Morse attraction and the like-Coulomb repulsion 

can be written as seen in reference [7, 8]: 

q 

2 

 

V( r) 

k 0 V rM (37) 

r r 

where V r M is the Morse potential, k 0 ( 

1/ 

4 

0 ) , q is the charge of the deuteron, M d is the 

reduced mass of the deuterium nuclei, T is the absolute temperature at which the metal is 

experimentally placed, J is the concentration of impurities in the crystalline lattice and R is the 

nuclear radius. 

In (37), V r M is a like-Morse potential, and is given by: 

r Bexp 2 r r 

2exp 

 

r r 

V M 

(38) 

0 

Here the parameters B, ed r 0 depend on the lattice. 

0 

In fact, the potential (37) is an effective one whose reliability is demonstrated by its ability to 

fit the Coulomb potential for r → 0 and the Morse potential in the attractive zone. So, Siclen 

and Jones [12] define the point where the Coulomb potential is associated to the Morse trend, 

r’0 the equilibrium distance and D’ the well. 

Of course in the free space for a D2 molecular, is about 0.3 Å , r’0 is about 0.7 Å and D’ is - 

4.6 eV. 

But screening effects are present within the lattice, and the deuteron-deuteron interaction 

modify these parameter values by means of phonon exchange. 

564

Since the screening effect [1] can be modulated by the giver atoms, in reference [7,8] we 

 

have considered the role of impurities and we came to the following: J J 0 exp 

. 

bkT 

 

Furthermore, some particular reactions could occur, incorporating the impurities in the 

nucleus of the dislocations. This may happen as a result of a different arrangement of the 

atoms, with respect to that of the unperturbed lattice. 

This type of process has been extensively studied in the literature concerning metals and the 

case of crystalline semiconductors at high temperature. 

As an example, in the case of crystalline semiconductors it has been found that the 

concentration of interstitial impurities around a linear dislocation with a point component 

depends on the temperature, as shown by the law written above where J 0 is the concentration 

of impurities in the zone with zero internal pressure, (b 3 vi) is the volume of the ions 

constituting the lattice, while is proportional to the difference (vd - vi) between the volume of 

the impurity atoms and that of the lattice ions. 

Our conjecture is that in a metal, such as palladium, a similar phenomenon could occur 

between the atoms of deuterium penetrating the lattice. This would be a result of the deuterium 

loading and of the microcracks produced by variations in temperature. In this case, the 

parameter of the previous expression would be negative, determining an increase in the 

concentration of deuterons in the vicinity of the micro-crack, which would then catalyse the 

phenomenon of fusion as: 

=JKTR (39) 

and 

B=J/ 

So we can write the effective d-d potential as follows: 

2 

q JKTR 

( r) 

k0 

V r (41) 

r r 

V M 

where V r M is the Morse potential, k 0 ( 

1/ 

4 

0 ) , q is the charge of the deuteron, M d is the 

reduced mass of the deuterium nuclei, T is the absolute temperature at which the metal is 

experimentally placed, J is the concentration of impurities in the crystalline lattice and R is the 

nuclear radius. 

565

Considering the attractive force, due to the exchange of plasmons, the main contribution are 

as follows: 

Figure 5. Plasmon exchanges. Solid lines indicate deuterons and wiggly lines indicate plasmons 

Taking into account the role of coupling between deuteron and plasmons, in reference [13] a 

D-D potential was numerically evaluated, having the features of the potential (14) with D’= -50 

eV , with r’0=0.5 Å and with =0.2 Å (it has to be also taken into account that only two 

plasmon excitations at 7.5 eV and at 26.5 eV are considered in ref. 13). 

The features of the potential (37) is shown in Fig. 6. 

Figure 6. The solid line shows the features of potential (37) computed in order to obtain D’=-50 eV and 

=0.165 Å. The coulomb potential in dashed line is computed using a screening constant of 85 eV. The 

distance in Bohr radius unit is reported on the x-axes, and the energy in eV is shown on the y-axes. 

We are now going to study the role of potential (41) in the three different phases , and 

according to the coherence theory of condensed matter. 

566

A couple of points require preliminary explanations before we proceed, namely: 

1) what KT is; 

2) what the role of plasma ions and of electrons is; 

Let us start with point 1. According to the different deuteron-lattice configurations, KT can 

be: 

i. the loaded lattice temperature if we consider the deuterons in the -phase; 

ii. if we consider the deuterons in -phase; 

iii. if we consider the deuterons in the -phase; 

The second point requires a much more complicated explanation. In fact, the lattice 

environment is a combination of coherent plasmas (ion Pd, electron and deuterons plasma) at 

different temperature, due to different masses, which makes the description of the emerging 

potential very difficult. 

The method we propose to follow in this work is to consider the total screening contribution 

of lattice environment at D-D interaction (i.e. Vtot) as random potential Q(t). According to this 

model, we have 

V tot 

( t) 

V ( r) 

Q( 

t) 

(42) 

Of course, we assume that: 

Q ( t) 

0 

(43) 

t 

that is to say that Q(t) (a second order potential contribution) is a periodic potential that 

oscillates between the maximum value Qmax and 0. The frequency will be called by Q. 

More exactly, the oscillation charges of d-shell produce a screening potential having an 

harmonic feature: 

ke 

2a0 

Considering Zd=10/3 and a0= 0.7 Å in reference [5], a screening potential V0 is evaluated of 

about 85 eV. In this way we can compute =V0/26.9 and at last = 0.165 Å. Resuming, in a 

palladium lattice we can have the following cases according to the loading ratio: 

2 

eV ( r) 

Z 

d 

2 

r 

(44) 

i) α-phase 

In the phase the deuterons are in a molecular state and the thermal motion is about: 

0.02 eV < ħ < 0.1 eV 

This phase takes places when x is lower than 0.1, and since W(t) is zero, the D-D potential is: 

2 

q 

( r) 

k V 

r 

V M 

J 

( r) 

 

r 

 

R 

 

 

 

567 

(45)

The expression (45) was partially evaluated in a previous paper [7]; in fact, we were only 

interested in the dependence of the tunneling probability on impurities present within the 

lattice. Through the present work, we seek to examine the correlation between potential 

features and loading ratio. Some numerical results are showed in the paragraph 5. 

ii) β-phase 

Phase happens when x is higher than 0.1 but lower than 0.7. The interaction takes place 

among deuteron ions that oscillate between the following energy values: 

0.1 eV < ħ < 0.2 eV 

In this case W(t) is zero, we can express the potential as follows: 

2 

q J 

R 

V ( r) 

k 

V r 

 

M ( ) 

(46) 

r r 

Comparing the expressions 45 and 46, it seems clear that the weight of impurities is more 

important in the -phase. Of course this conclusion relates to previous papers [7,8] in which we 

have studied the role of temperature on tunneling effect. 

iii) γ-phase 

Lastly, the deuteron-palladium system is in the phase when the loading ratio is higher than 

0.7. 

This is the most interesting case. The deuterons cross the screening through the d-electrons 

shell. In this respect, we did a numeric simulation where we supposed that the D-D potential 

must be computed on the assumption that the potential (37) well disappears because of the 

Morse contribution. In fact, if we use a classical plasma model where the D + ions are the 

positive charge and the d-electrons the negative one, it is very “realistic” to obtain the 

following potential: 

2 

q J 

R 

V ( r, 

t) 

k VM 

r 

Qt 

r 

( ) 

r 

 

 

 

where Q(t) is an unknown perturbative potential. On this topic, we can also add that: 

Wmax 

Q( t) 

(48) 

t 

2 

In the next evaluation it is given as: 

Q( t) 

85eV 

(49) 

t 

5. Conclusions 

The aim of this section is to present the D-D fusion probability normalized to number of 

events per second regarding the D-D interaction in all different phases. More exactly, we seek 

to compare fusion probability in phases , and according to the variation of energy between 

568 

(47)

–50 to 50 eV. We also consider the role of d-electrons screening as a perturbative lattice 

potential. 

This process only involves the case where Q(t) is different from zero. It involves a change of 

the value on the x-axes point where the Coulomb barrier takes place; in this case, what we 

obtain as a final result is that the screening enhances the fusion probability. In order to evaluate 

the fusion rate () we applied the following formula: 

 

(50) 

Where is the Gamow factor and A is the nuclear reaction constant obtained from cross 

sections measured (value used was 10 22 sec -1 ). 

From an experimental point of view, it is possible to affirm that there are three typologies of 

experiments in the cold fusion phenomenology [14]: 

1) Experiments giving negative results 

2) Experiments giving some results (little detection signs with respect to background, 

fusion probability about 10 -23 using a very high loading ratio) 

3) Experiments giving clear positive results, such as the Fleischmann and Pons 

experiments. 

In our opinion, the experiments of the third type lack accuracy from the experimental point of 

view. In this sense, we prefer a theoretical model of the controversial phenomenon of cold 

fusion to explain only experiments of type 1 and 2. In this case it is important to consider the 

role of the loading ratio in the experimental results. Now, let us begin from the -phase. 

Results for the -phase are shown in Table 1. As shown there, the theoretical fusion 

probability is lower than 10 -74 , that is to say, extremely low. Consequently, we can affirm that 

no fusion is possible through the loading of a percentage of x < 0.2 in the deuterium. The same 

absence of nuclear phenomenon is compatible for a loading ratio of about 0.7 (Table 2), since 

in this case the predicted fusion probability is lower than 10 -42 . These predictions, of course, 

agree with the experimental results (for x>0.7, look at reference [6]). The result of our model is 

confirmed in the -phase, where we can observe some background fluctuations. Due to a high 

loading ratio, we predict a fusion probability at about 10 -22 in these background fluctuations. 

This is a previously unattained result. This is also a very important one for references [7,8], 

since in those cases the fusion probability was independent of the loading ratio. 

To conclude, our aim is also to show that the model proposed in this paper can explain some 

irregular nuclear traces in solids, unifying nuclear physics with condensed matter. On the other 

hand, regarding the experiments of type 3, we want to consider other contributions as microdeformation 

occurrence, in order to explain the very high fusion rate. The role of micro-crack 

and impurities linked to the loading ratio will be explored in other speculative works. “The 

nuclear physics within condensed matter” may be a new device through which an 

understanding of new productive scientific issues could be possible. 

569

Table 1. Using the phase potential (potential 45), the fusion probability has been 

computed for Pd “Impure” (J ≈ 0.75%), normalized to the number of event/sec for 

different values of energy (- 50 eV

Table 3. Using the γ-potential (potential 47), the fusion probability has been computed for 

Pd “Impure” (J ≈ 0.75%), normalized to the number of event/sec for different values of 

energy (- 50 eV

10. A.De Ninno et al. Europhysics Letters, vol.9 (1989), p. 221-224 

11. G. Mengoli et al., J. Electroanal. Chem. Vol.350, (1989), p.57 

12. C. DeW Van Siclen and S. E. Jones, J. Phys. G. Nucl. Phys. Vol. 12 (1986) 

13. M.Baldo and R. Pucci, Fusion Technology, 18, p. 47, 1990 

14. D. Morrison, Physics World, 1990 

15. F.Frisone, Condensed Matter Nuclear Science Editor of the MIT “Tunneling Effect 

Enhanced by Lattice Screening as Main Cold Fusion Mechanism: An Brief Theoretical 

Overview” 2004 

572

Quantum Fusion Hypothesis 

Robert E. Godes 

Profusion Energy 

Abstract 

The field of cold fusion is not “fusion” as the current establishment defines it. 

A basic tenet of research is that correlation does not equal causation. The current 

assumption of Deuterium Deuterium (DD) fusion based on the excellent work of 

Dr. Michael McKubre showing a near perfect match of excess heat to helium 

produced is only a correlation. The assumption of DD fusion may be fallacious 

and leading to a dead end. In many cases the Pons Fleischmann reaction starts 

with deuterium and ends with helium. This would seem to indicate DD fusion, 

but this is assuming that correlation equals causation. 

Related Fields 

The Quantum Fusion (QF) Hypothesis explains the Fleischmann-Pons Effect and a large 

cross section of experiments researchers in this field have observed. It is an explanation of how 

cold to ultra cold neutron(s) form. QF draws on work in the fields of mechanics, chemistry 

including molecular, quantum and computational, material science, physics, including quantum 

and astro, and electronics. Depending on your background, recognition of different aspects of 

what is presented in this paper will vary. This paper is written for people with a scientific 

background to understand what underlies the phenomena and how to drive it. Understanding 

the phenomena requires integration of many concepts across the fields mentioned above. There 

are some systems that may operate on different principals and have not yet been analyzed 

relative to the Quantum Fusion hypothesis. Edmund Storms’ plasma discharge work may fall 

into this category. I believe that the Quantum Fusion hypothesis is correct for many of the 

systems this community has been investigating. Details may be found on-line in Ref [1]. 

Testing the hypothesis 

Profusion Energy built and ran several prototype reactors in open beakers in a partially 

controlled environment. Tests used both electric heaters and copper reactor cores for 

comparison. Systems with nickel or palladium cores can always outperform both electric 

heaters and copper core devices regardless of the position in the testing environment. 

Typical results 

Figure 1 shows a 0.05 mm Pd core system outperforming an electric heater. All power into 

the Quantum Fusion reactor is considered strictly as power into the beaker. The loss caused in 

the generation of oxygen and hydrogen gas was ignored. The power drawn off of the Q or 

Quantum compression supply (Q power discussed later) was calculated as power into the 

beaker even though the circuitry generated significant heat outside the beaker. The Quantum 

573

Fusion system still outperformed the electric heater, which turns every watt second of power 

into 1 joule of heat energy. 

Figure 1. A 0.05 mm Pd core producing more heat than an electric heater. 

Molecular Hamiltonian 

In atomic, molecular, Quantum, and optical physics as well as in quantum chemistry, 

molecular Hamiltonian is the name of the operator representing the energy of the electrons and 

nuclei in a molecule (to be taken as the trapped nuclei and lattice elements in a unit cell of the 

matrix running the reaction). This equation plays a central role in computing properties of 

molecules and aggregates of molecules such as conductivity, optical, and magnetic properties, 

and reactivity. By quantizing the classical energy in Hamilton form, one obtains a molecular 

Hamilton operator. This Hamiltonian is a sum of 5 terms 1 . This was a handy starting point but 

is used to describe systems in equilibrium. When the molecular system is moved away from 

equilibrium, nonlinear effects begin to dominate. 

In general, evaluation of a Hamiltonian results in another function. The function of the QF 

Hypothesis includes terms not previously included in a Hamiltonian because QF addresses a 

system far from equilibrium. In the solution space of this expanded Hamiltonian there are 

absolute values greater than 782KeV and up to 9.3 MeV. You may recognize 782KeV as the 

mass difference between the sum of a proton and an electron and the mass of a neutron. At first 

glance 9.3 MeV may seem preposterous, however it is no more preposterous than 80+GeV for 

the well-accepted W bosons. The energy is concentrated by virtue of being a compression 

function. Deuterons may require up to 3 MeV and Tritons up to 9.3 MeV. 

1 The sum of all kinetic energy operators for each nucleus, electron, electrons and nuclei 

interaction, electron- electron interaction, and nuclei-nuclei interaction in the system 

574

Material science 

The elements and materials that support the Fleischmann-Pons Effect have the following 

shell similarities in common. They have a full or nearly full Dn shell and an empty or at least 

room in the S(n+1) shell. Palladium is the only element in the periodic table with a full Dn shell 

D4 and an empty S(n+1) or S5 shell in the ground state. I believe that this S(n+1) orbital energy 

well represents the trapping points that hydrogen occupies in the materials that support the 

Fleischmann-Pons Effect. Hydrogen will pass through palladium but helium will not. As atoms 

go, helium is about ½ the size of hydrogen, yet it will not pass through palladium and hydrogen 

will. It has been shown that hydrogen actually enters with a fractional charge or less than one 

electron per hydrogen nuclei entering the lattice. One way to visualize the transport of 

hydrogen through palladium is as an external gear pump mechanism. 

The tear dropped shaped P orbitals act like the teeth of an external gear pump and the D 

orbitals in combination with the lattice nuclei act as the casing. There is only room for a single 

hydrogen nuclei in-between each set of P orbital teeth. The walls of that “space” are a 

combination of electrostatic repulsion of the lattice nuclei and the P(n) D(n) electron wave 

functions. Hydrogen nuclei can easily tunnel to an adjacent lattice element site in palladium 

providing extraordinary mobility within the palladium lattice. Given this extraordinary 

mobility, it is inconceivable that two hydrogen nuclei would occupy the same octahedral point 

and fuse at a loading ratio of less than 3. What trapping in the octahedral points does do is limit 

the uncertainty or standard deviation of the position of the hydrogen nuclei. All the hydrogen 

loving lattice structures that support the transmutation of elements have this trapping capability. 

Heisenberg uncertainty formula 

As it turns out, the greater than symbol used in the Heisenberg uncertainty formula is correct. 

If one variable is forced to an extremely or a “super” low value, the uncontrolled variable 

becomes large. In a Bose-Einstein condensate, super cooling a cloud of evaporated atoms 

achieves a very small p or uncertainty of momentum or energy. To satisfy p q or 

uncertainty of momentum times uncertainty of position > h / 4 (Heisenberg Uncertainty 

Principle), a very large q or uncertainty of position occurs and if the atoms follow Bose 

statistics, a Bose-Einstein condensate is formed. The atoms assume the same quantum state and 

can overlap or be in the same place at the same time. When this happens, the atoms become 

indistinguishable from each other and behave as a single super atom. It is possible to see a 

collection of only a few thousand atoms with an unaided eye because the standard deviation of 

position is very large. To reliably control the PF reaction, one must supply what the patent 

application describes as Heisenberg Confinement Energy or super confinement of the nuclei, 

forcing a very small q or uncertainty in position, affecting a large p (energy). This is the first 

new additional term to the Hamiltonian describing how QF works. 

Non bonding energy 

The term non-bonded energy is the second term added to the Hamilton describing QF. This 

term refers specifically to atoms that are not bonded to each other in a molecule. The nonbonded 

energy accounts for repulsion, van der Waals attraction, and electrostatic interactions. 

575

Van der Waals attraction occurs at short range, and rapidly dies off as the interacting atoms 

move apart by a few Angstroms. Repulsion occurs when the distance between interacting atoms 

becomes even slightly less than the sum of their contact radii. The hydrogen in the lattice is not 

bonded and actually causes some deformation of the lattice on entry, indicating that it has 

forced entry into the portion of the equation controlled by a factor of 1/r 12 . It is the 1/r 12 effects 

driven by phonons. Phonons are bosons and can be in the same place at the same time, driving 

electron capture events. This second new term to the Hamiltonian drives the Fleischmann-Pons 

Effect. 

Q Energy 

In Profusion Energy’s work to date, both the non-bonded energy and Heisenberg 

Confinement energy are driven by what Profusion Energy calls Q or quantum compression 

energy. This is used to stimulate super confinement waves in the lattice. 

The primary Q pulse delivers the bulk of its power in ~100ns achieving a peak current 

density of over 7 thousand amps per square mm. The polarity of the Q pulses alternate to limit 

the degrading effects of electromigration on both the core material lattice elements and the 

hydrogen in the core. The portion of Q power reported as going to the beaker is calculated as 

½*C*V 2 *repetition rate. ½*C*V 2 is the energy or joules contained in the capacitor being 

discharged across the wire and repetition rate is times time or the joules per second which 

equals Watts. A Quantum Fusion reactor uses Q waveforms to force the value of the Molecular 

Hamiltonian. Once the value is high enough to supply the mass energy difference between a 

hydrogen ion plus an electron and the mass of a neutron or neutron cluster, that energy converts 

to mass in an electron capture event. A large number of hypotheses have been put forward to 

correlate the production of tritium and helium with heat. Accusations that it could not be fusion 

due to the lack of Gamma rays and fast neutrons were almost instantaneous. I propose that the 

QF Hypothesis can account for all the Fleischmann-Pons Effect experiments and some of the 

other excess heat experiments such as Bubble Driven sono fusion style devices, laser activation 

of metal hydride systems and gas load plus heat systems. This reaction is not fusion as the 

current establishment defines it. The perceived reaction is not DD. 

What is Quantum Fusion (QF)? 

When the system energy or molecular Hamiltonian achieves or exceeds the energy necessary 

to make up the mass difference between a hydrogen ion plus an electron and the mass of a 

neutron or neutron cluster, the hydrogen nucleus undergoes an electron capture event as a 

natural energy reduction mechanism. This highly endothermic reaction, in combination with 

the dispersion of the phonons that caused the increased confinement, results in a cold to ultracold 

neutron and/or neutron cluster. Neutrons are attracted to each other but the attraction is not 

strong enough to be “bound”. At energy levels of a few meV (38 meV is roughly 70F or 

21C), the Brownian motion will shake the multi neutron systems apart. However, a deuteron 

that has just converted up to 3 MeV of energy or a triton that has just converted up to 9.3 MeV 

of energy to mass has an extremely low energy level. The energy level is low enough that the 

neutrons remain together long enough to interact with another hydrogen nucleus moving 

through or into the lattice location occupied by the newly formed neutron or neutron cluster. 

576

With the removal of the proton’s charge, it is possible for a new hydrogen nucleus to enter the 

same trapping point and bond with the neutron or neutron cluster. This is similar to concepts 

used in astrophysics and referred to as the S and R process that build the heavier elements 

inside of stars through accumulation of neutrons and β − decay. In QF cold to ultra-cold 

neutron(s) interact with another hydrogen nucleus moving through the lattice, resulting in 4 H. 

Part of the problem for established physics is that their information is based on big science 

accelerator experiments. This led to a policy at the National Nuclear Data Center (NNDC) that 

defines the “ground state” of a nucleus as the “lowest energy at which it has been observed”. 

The first three links you are likely to run across at the NNDC in relation to 4 H indicate that it 

undergoes a 100% neutron ejection decay path, even at what they have arbitrarily defined as the 

“ground state”. Another document, mass.mas03.txt states the mass of 4 H as being greater than 

the mass of tritium + a neutron. This was referred to as an un-bound nucleus. (Meaning what?) 

Researchers extrapolated the path of a neutron and a triton back to the same point. For 4 H 

that time of existence is so short it is given as a width of 4 MeV. That calculates out to roughly 

10 -24 seconds, more precisely 82.28 yocto-seconds after an 8 MeV neutron collides with a 7 Li 

nuclei. I have discussed this with J. H. Kelly of the National Nuclear Data Center (NNDC). He 

assured me that this was the absolute lowest energy level at which you could possibly create 

4 H. (Does this sound like the ground state?) When 4 H is formed as an early intermediate decay 

product from a high-energy collision, there is sufficient momentum to make it energetically 

favorable for a neutron to carry the excess energy away before β − decay occurs. In a metallic 

lattice where low energy neutrons accumulate, β − is the decay path. Papers compiled in NNDC 

do indicate this. (The data is somewhat difficult to access. To retrieve it, go to 

http://www.nndc.bnl.gov/ensdf/, enter 4 H in the Quick search: box, and click “Search”. Click 

the check the box next to the 4 H and click “HTML”. See the first sentence in the data sheet.) 

According to Kelly, if there were some way to make 4 H at a low enough energy (≤3.53 

MeV), then it would undergo β − decay. That can’t be done in an accelerator. When solid-state 

systems produce 4 He, each helium nucleus formed liberates between 23.2 MeV and 27.5 MeV 

depending on the exact path taken. 

Gross loading 

Existing attempts to harness the Fleischmann-Pons Effect depend on what I call Gross 

loading. By achieving a loading ratio greater than 0.85, the movement of hydrogen ions is 

limited by the number of open octahedral points. It also moves the lattice away from 

equilibrium and raises the base level result of the Hamiltonian operator. Why don’t all 

palladium samples work once the loading ratio exceeds 0.85? Researchers have talked about 

the grain structure and cracking. Wave phenomenon or phonons are reflected and refracted by 

grain boundaries and cracks or discontinuities. The Nuclear Active Environment is one where 

enough phonon peaks intersect to obtain the 1/r 12 + Heisenberg confinement energy necessary 

to affect electron capture events. Typical gross loading problems are driven in part by the 

quantity of hydrogen present in the lattice when the reaction starts. The bonding energy 

released in the formation of helium or transmutation causes a local chain reaction release of 

energy that eventually destroys the mechanical structure that was supporting the reaction. 

577

Quantum Fusion (QF) 

Quantum Fusion avoids these problems by explicitly driving the required phonons or 

displacement of the lattice elements. By performing this in an explicit manner, it is possible to 

run the reaction at a very low level and low loading ratio. At this point Profusion Energy has 

not yet ascertained the minimum (loading*phonon level) necessary to run the reaction but the 

systems appear to begin producing excess heat as soon as they are activated. Another aspect 

that leads me to believe that the Fleischmann-Pons Effect is driven by rogue or super waves 

causing electron capture events is the system response to Q repetition rate. As the Q repetition 

rate is adjusted up, the reaction has peaks and then rolls off before picking back up to a higher 

peak as the repetition rate continues to increase. The current hardware has a maximum Q 

repetition rate of 100KHz but the best results obtained are below that frequency. The patent 

applications show a number of different ways to build a practical reactor but systems to date 

have been built using wire cores and fast current pulses for the Quantum Compression. 

Most of the scientific community agrees, it is not possible to overcome the coulumbic 

repulsion of hydrogen within a metallic lattice. However as I have just outlined, it is not 

necessary to overcome columbic repulsion. This is not fusion as currently defined. 

The Quantum Fusion Hypothesis not only explains the reaction but points to multiple ways 

of making industrially useful devices by controlling the underlying physics. 

References 

1. R. E. Godes, The Quantum Fusion Hypothesis, Profusion Energy Inc., September 2008 

www.profusionenergy.com/PhaseIVerificationData/ProfusionEnergyHypothesis.pdf 

578

Excitation Transfer and Energy Exchange Processes for 

Modeling The Fleischmann-Pons Excess Heat Effect 

Peter L Hagelstein 1 and Irfan U Chaudhary 2 

1 Research Laboratory of Electronics, 

Massachusetts Institute of Technology, Cambridge, MA 

2 Department of Computer Science and Engineering, 

University of Engineering and Technology, Lahore, Pakistan 

Abstract 

The absence of energetic particles commensurate with the energy produced is 

the single most notable feature of the Fleischmann-Pons experiment for theory, 

assuming that a new nuclear process is involved. We discuss briefly energy 

exchange between two-level systems and a low energy oscillator, concluding 

that spin-boson models augmented with loss are able to describe coherent 

energy exchange involving a large number of oscillator quanta. Since the 

coupling between deuterons and the lattice is weak, the excitation must be 

transferred to a different system with stronger coupling, in order to develop a 

simple model relevant for heat production. The resulting toy model can be used 

for simulation, and we describe briefly ongoing efforts to develop a 

computational model. 

Introduction 

The Fleischmann-Pons effect consists of excess heat production in experiments where 

palladium cathodes are electrolyzed in heavy water; the amount of energy measured in such 

experiments is much too large to be of chemical origin; and energetic particles commensurate 

with the energy produced are absent. When first described in 1989, the response of the 

scientific community was one of skepticism and disbelief. Early efforts to confirm the effect 

were largely unsuccessful, due to a lack of understanding as to what are the critical issues. 

Subsequent experimental work in the following years has provided enough confirmations that 

the effect is at present held to be real among researchers who work in the area. 

There is at present no accepted theoretical explanation for the effect. Since the inception of 

nuclear physics in the early 20 th century, nuclear reactions have been understood in part 

through the concept of local energy and momentum conservation. In an exothermic nuclear 

reaction, the net energy produced is expressed in terms of energetic particles. No nuclear 

reactions are known in which most of the energy produced goes into other channels. 

However, this foundation of nuclear physics is precisely what is challenged in the 

Fleischmann-Pons experiment. Hence, the primary theoretical focus, if one accepts that the 

energy is of nuclear origin and that commensurate energetic particles are not present, must be 

on physical mechanisms that lead to a violation of local energy and momentum conservation 

(while conserving overall momentum and energy). 

579

Energy exchange 

There is some experimental support for a reaction Q-value of 24 MeV per 4 He atom observed 

in the gas phase, in experiments where an effort was made to scrub the helium out of the 

cathode [1,2]. This directs our attention to mechanisms in which two deuterons (as fuel) 

combine to make 4 He (as ash), where the mass difference (24 MeV) is to be converted to a very 

large number of lower energy quanta. Experiments have been reported recently in which 

cathodes have been observed to respond to laser beat frequencies at 8 THz and 15 THz (and 

also 20 THz), which correspond to the optical phonon band edges of PdD (and also PdH) [3]; 

these are modes with zero group velocity. This motivates us to consider optical phonon modes 

as oscillator modes involved in the energy exchange process. 

The theoretical problem to be addressed, then, is how a large energy (24 MeV) quantum can 

be split up efficiently into a very large number of small energy (33 or 62 meV) quanta. We 

have studied models in which two-level systems with a large transition energy (representing 

local molecular D2 and 4 He states at vacancy sites in the PdD lattice) couple to a low energy 

harmonic oscillator (representing optical phonon modes with low group velocity). Such models 

at first glance appear to be closely related to spin-boson models that appear in the literature in 

connection with NMR, cavity QED, and other applications. When a two-level system is 

coupled to an oscillator with much lower characteristic energy, then the models predict that 

energy can be exchanged between the two systems. For this to occur, the resonance must be 

very precise, and the resulting energy exchange rate is very slow. In the end, one would not 

expect to see more than about 100 oscillator quanta exchanged for a two-level system quanta, 

due to the weakness of the energy exchange effect in the multi-quanta limit. 

E 

580 

Figure 1. Two-level systems coupled to a 

harmonic oscillator, in a many-spin spinboson 

model. 

However, if we examine the many-spin version of the spin-boson problem, we find that 

energy exchange is hindered by destructive interference effects between the different individual 

pathways involved. If this destructive interference is spoiled, then the rate of energy exchange 

is greatly enhanced, and the number of oscillator quanta that can be exchanged with a two-level 

system is increased dramatically. Spin-boson models augmented with loss exhibit greatly 

increased energy exchange rates. An example of this is discussed in the Appendix. Such models 

0

allow energy exchange between low energy oscillators and energetic two-level systems that is 

sufficiently rapid to account for the kind of energy exchange required in Fleischmann-Pons 

experiments, at least in principle. 

Excitation transfer 

The use of spin-boson models requires an estimate for the coupling matrix elements between 

the two-level system and the oscillator. To apply this kind of model to describe nuclear 

transitions involving phonon exchange, we require an estimate for the associated matrix 

element. There is no difficulty in principle with a direct computation of the matrix element 

between molecular D2 and nuclear 4 He states in the lattice, including phonon exchange [4]. 

However, we know that this matrix element is small due to the presence of a Gamow factor 

associated with tunneling through the Coulomb barrier. Many-spin spin-boson models 

augmented with loss require the coupling to be strong in order for the energy exchange process 

described above to function. As a result, the simplest possible models for energy exchange 

cannot work in the case of direct transitions between D2 and 4 He. 

Consequently, we seek a modification of this basic model. In recent years we have focused 

on models involving two different sets of two-level systems, both coupled to a common 

oscillator. One of these sets of two-level systems is strongly coupled to the oscillator, and the 

other is assumed to be weakly coupled to the oscillator. The basic idea in this kind of model is 

that the excitation associated with the weakly-coupled two-level systems is transferred over to 

the strongly-coupled two-level systems, where many-quantum energy exchange can occur [5]. 

This is indicated schematically in Figure 2. 

D 2 

4 He 

Optical phonon mode 

581 

Receiver 

system 

Figure 2. The D2/ 4 He system 

(modeled as a set of equivalent 

two-level systems) is weakly 

coupled to a low energy oscillator. 

A second set of two-level systems 

(indicated as the receiver system) 

is strongly coupled to the 

oscillator. 

Computations done to date indicates that the basic scheme seems up to the task of modeling 

the Fleischmann-Pons excess heat effect, as long as the associated many-spin model is 

augmented with loss (which greatly accelerates the excitation transfer process as well as the 

energy exchange process). The enhanced excitation transfer rate is sufficiently fast in the case

of the weak coupling matrix element associated with the D2- 4 He transition to be consistent with 

experiment (as long as substantial screening effects comparable to those estimated by Cserki 

and coworkers [6] for PdD are included). 

However, input from experiment does not tell us what the relevant physical states are that 

correspond to the strongly-coupled two-level system on the receiver side. There are at least two 

plausible candidates which seem to have theoretical support and are not inconsistent with 

experiment: 

One possibility is that nuclear states of the host lattice participate. In this case, the ground state 

of the two-level system would correspond to the ground state of neutron rich isotopes of the 

host (such as 110 Pd). The upper state would correspond to an exotic nuclear state in which a 

neutral cluster (such as 4 n) separated from the daughter nucleus ( 106 Pd) by about 10 fm, perhaps 

with some angular momentum. Such a state would be favored by the selection rules associated 

with coupling to the lattice (phonon exchange in association with nuclear excitation in general 

seems to be a weak effect, that becomes much stronger in the event that the lattice “sees” a 

mass change of the nucleus). Whether this kind of state can be sufficiently stable to do what is 

required within the context of the model has not been demonstrated. 

Another possibility is that nuclear states similar to those of the D2- 4 He two-level systems 

participate. In this case, the 4 He ground state would match the ground state of the receiver-side 

two-level systems. The excited state in this scenario would be a compact molecular D2 state, 

formed by a competition between production (where the source involves creation at fermi-level 

separation) and destruction (where transitions back down to the ground state occur sufficiently 

rapidly to prevent D2 separation out to 0.74 Angstroms). As long as the reduced D2 separation 

was sufficiently large so that the difference in the electronic wavefunctions is significant 

(ultimately leading to phonon exchange), and conventional fusion pathways occurred 

sufficiently slowly so as not to drain off the excitation, then such a state would be able to fulfill 

the functional requirements of the model. 

Simulation model 

The development of an idealized microscopic model for excitation transfer and energy 

exchange allows us to consider using it in the context of a simulation model. A picture has been 

in the process of emerging over a great many years which seems to be consistent with many 

experiments, and which seems to be consistent with the requirements of the microscopic model. 

In this picture, deuterium is loaded into Pd so that the associated chemical potential becomes 

high enough to support vacancy stabilization (which occurs near a D/Pd ratio of 0.94). At this 

loading, Pd that is codeposited will have a large number of single-atom vacancies. There is the 

possibility that vacancies can diffuse from the outer surface, but the associated kinetics are 

expected to be slow unless there exists an enhancement under conditions where a deuterium 

flux is present. In the basic Fleischmann-Pons experiment, the formation of the vacancies is 

thought to require about a month (and a much shorter time in the Szpak experiment). The 

loading and vacancy stabilization can be simulated from information available in the literature; 

to model the surface vacancy distribution requires knowledge of the rate of codeposition, or 

enhanced vacancy diffusion rates. 

582

We conjecture that -bonded dideuterium [7] (essentially molecular D2) forms in the 

vacancies at more modest loadings. These are the active sites, which occur in the outer 

(micron-scale) region of the cathode. Dideuterium formation can be modeled using simple 

statistical mechanics given an estimate of the binding energy. Excitation transfer is then 

stimulated by phonon exchange with compressional phonon modes (the matrix element 

between D2 and 4 He couples predominantly to compressional phonon modes) that are highly 

excited. Phonon excitation in this picture is produced by the deuterium flux through the nearsurface 

of the cathode. Energy exchange occurs in the presence of high compressional optical 

phonon excitation in the case of assumed 4 He-compact D2 states (which at present seems to 

match experiment best). The simplified model described above consisting of two-sets of twolevel 

systems to account for the nuclear states, and a harmonic oscillator (augmented with loss) 

to model optical phonon modes, can be used to develop equations describing the associated 

coherent dynamics for the simulation model. 

As energy is produced, 4 He accumulates in the active sites. At first, this would be helpful as 

there would be more capacity for anomalous energy exchange, since in general there is little 

helium present initially. However, as more energy is produced, we expect helium to block 

active sites, since the diffusion of helium away from the active sites is very slow near room 

temperature. In the event that helium diffusion limits excess heat production, we would expect 

to see a strong temperature dependence associated with excess heat production (as has been 

reported in a number of experiments [8]). With an appropriate simulation model, we can model 

this effect, and compute the fraction of helium released into the gas. 

We have begun the development of the simulation model outlined above. The results 

obtained so far seem to be interesting, and we hope to compare our results with experiment in 

the coming months. 

Appendix 

Consider the enhancement of multi-quantum coherent energy exchange in a many-spin spinboson 

model augmented with loss. We take the Hamiltonian to be of the form 

ˆ 

ˆ S 

2S 

ˆ ˆ ˆ ˆ 

 

Where the first term in the Hamiltonian describes the energy of the two-level systems, the 

second term describes the oscillator, the third term implements linear coupling, and the final 

term accounts for the loss added to the model. The model is discussed further in [9]. 

583 

 

z 

† x † 

H E 0aa 

V a a i E 

 

2

Figure 3. Energy levels that contribute to indirect coupling between |M,n and |M+1,n-5 in the case of 

multi-quantum exchange involving 5 quanta. 

The impact of loss on energy exchange can be illustrated through a concrete example. We 

consider a finite basis solution constructed from a combination of 12 basis states composed 

individually of products of Dicke states and oscillator states 

c S, M n 

j 

j j j 

We consider indirect coupling from an initial state |M,n to a final state |M+1,n-5, in which a 

single two-level system excitation is matched to a loss of 5 oscillator quanta. The states are 

illustrated in Figure 3. 

If no loss is present, the indirect matrix element between the initial state and the final state 

can be found to lowest-order in perturbation theory to be 

5 

625 V 

V1,12 n n 1 4 n 4 S M S M 1 0 

64 E 

If loss is present and large for all intermediate states with a basis energy less than E, such that 

the associated paths do not contribute, then the indirect coupling matrix element is 

1 4 3 2 2 

V1,12 1,125 S 10S S 10M 8M 22 

V 

0 

18 

584

For modest S the enhancement in indirect coupling is orders of magnitude. Loss breaks the 

destructive interference between the contributions from different pathways, and results in a 

dramatic increase in the indirect coupling responsible for coherent multi-quantum energy 

exchange. 

References 

1. M. C. H. McKubre et al, as discussed in the report prepared for the 2004 DoE review; Proc. 

ICCF11, page 23 (2004). 

2. M. Apicella et al, Proc. ICCF12 page 117 (2005). 

3. D. Letts and P. L. Hagelstein, Proc. ICCF14 (2008). 

4. P. L. Hagelstein, I. U. Chaudhary et al, Proc. ICCF14 (2008). 

5. P. L. Hagelstein and I. U. Chaudhary, J. Phys. B, 41 135501 (2008). 

6. K. Czerski, A. Huke, P. Heide, and G. Ruprecht, Europhys. Lett. 68 363 (2004). 

7. G. Kubas, Metal dihydrogen and -bond complexes, Kluwer Academic/Plenum Publishers, 

New York (2001). 

8. E. Storms, Proc. ICCF4, vol 2, page 4-1 (1993). 

9. P. L. Hagelstein and I. U. Chaudhary, submitted (2008). 

585

Input to Theory from Experiment in the Fleischmann-Pons 

Effect 

Peter L. Hagelstein 1 , Michael Melich 2 and Rodney Johnson 2 

1 Research Laboratory of Electronics, MIT, Cambridge, MA 

2 Naval Postgraduate School, Monterey, CA 

Excess heat in the Flesichmann-Pons effect constitutes a new physical effect 

unlike other physical processes with which we are familiar. Many groups have 

proposed theoretical mechanisms to account for the effect, but at present none 

has been generally accepted. This motivates us to review what experiment tells 

us about theory. There exists a relatively large body of experimental results, and 

it is possible to connect many of these individual results to theoretical statements, 

which might then be used as the basis for the development of new theoretical 

models. 


Nuclear physicists have studied deuteron-deuteron fusion over the years using energetic 

deuteron beams incident on different targets that contain deuterium. Local conservation of 

energy and momentum dictates that in an exothermic reaction, the reaction energy is expressed 

in the kinetic energy of the reaction products. As a result, we know what the primary reaction 

channels (p+t and n+ 3 He) are, since the reaction products can be observed directly. The particle 

energies and angular distributions are also available directly from experiment. A theoretical 

model for the deuteron-deuteron reaction follows directly from solving the Schrodinger 

equation (approximately) for the relevant four-body problem, with two deuterons in the input 

channel, and with p+t and n+ 3 He in the exit channels. The results from such models are in good 

agreement with experiment. 

Because the associated theoretical problem is so simple, at least conceptually, one would not 

imagine that there could be anything that could compete with the primary reaction mechanism, 

or change fundamentally what happens when two deuterons interact. The excess heat effect in 

the Fleischmann-Pons experiment seems not to follow this clear and simple picture. As such, if 

the experiments are right, then they suggest that something else can happen. In the decades 

following the announcement of the excess heat effect, there have been a great many positive 

experiments which seem to confirm the existence of the effect. Hence, we are faced with the 

theoretical problem of figuring out how the effect works. 

We might turn to nuclear physics and solid-state physics, both mature disciplines, in order to 

develop a theoretical model. Unfortunately, over the years no one has had much luck 

convincing their colleagues that a suitable explanation can be obtained from such a starting 

place. Moreover, such a model if developed would not be accepted without very strong 

experimental support. In the end, one must understand theory through an experimental 

foundation. We only know what happens because we can observe it in an experiment. 

586

This presents a serious issue when we address the Fleischmann-Pons experiment. The basic 

effect is nuclear, yet due to the absence of commensurate energetic nuclear particles, we are not 

able to study the primary reaction mechanism directly as we can in the case of deuterondeuteron 

fusion. This provides us with the motivation to re-examine the experiments in order to 

understand better what we can learn about theory. 

2. Excess heat effect 

The excess heat effect is observed as a temperature increase in heavy water electrochemical 

experiments where palladium cathodes are loaded with deuterium. The increase in temperature 

appears to be due to power generation in the palladium cathode. Perhaps the most important 

question regarding the excess heat effect itself is whether or not it is real. 

The first report of excess power in association with PdD electrochemical experiments was by 

Fleischmann, Pons and Hawkins [1]. Unfortunately, this work was not well written, and the 

discussion provided was insufficient to allow for replication in general; this resulted in a large 

number of subsequent negative results early on (see [2] as an example). Confirming 

experiments were reported subsequently by Fleischmann and Pons [3]; by the SRI effort [4]; by 

Storms [5]; and by many other groups around the world. By now, there have been reported 

more than 100 observations of excess heat in Fleischmann-Pons experiments. 

2.1. Energy 

Much discussion has been devoted to the issue of excess energy in the experiments. In the 

basic Fleischmann-Pons experiment the Pd cathode must be charged for a month or so prior to 

the observation of excess power events. As a result, it has been argued that the energy produced 

in the bursts is small compared to the input energy, so that there may be no net energy 

production, but only the release of stored power not accounted for during charging. 

We note that in the experiment reported in [3] the excess power integrated over a roughly 

100 hour burst event was comparable to the total input energy, so that the total output energy 

was roughly twice the input energy. A hypothetical storage mechanism for this experiment 

would need to accommodate 4 MJ in 0.157 cc of cathode; which can be compared to the 1.2 kJ 

energy release which would be produced by the detonation of an equivalent volume of the 

explosive TNT. This argues strongly against any conventional storage mechanism. 

Other experiments have been reported with higher energy gains. Swartz has claimed 

reproducible energy gains over 250% using the method described in [6]. The Energetics team 

reported in 2003 an observed energy gain of 6.7 in a glow discharge experiment [7], and in 

2004 an observed energy gain of 25 in an electrochemical PdD experiment [8]. The conclusion 

from these experiments and others is that net energy is produced, and that the energy storage 

argument is inconsistent with experiment. 

2.2. Power density 

To determine the associated power density, we require information about what part of the 

cathode is active. One relevant observation (to be discussed below) concerns the emission of 

4 He (as ash) into the gas stream, which could only occur if the helium were created within 

about a micron from the surface. In the Szpak experiment, Pd is co-deposited on a copper 

587

substrate, and excess heat is observed [9]. The observed power per unit area is on the order of 

80 mW/cm 2 , and the corresponding power per unit Pd volume is in the range of 160-800 

W/cm 3 for an active Pd thickness estimated to be in the range of 5 m to 1 m. In some 

experiments significantly higher numbers can be estimated. For the experiment described in 

[8], the power per unit area reaches about 4 W/cm 2 , which corresponds to about 8 kW/cm 3 if 

we assume a 5 micron active thickness. There is evidence for hot spots [10] and localized 

surface melting in some experiments [11]. 

2.2. Loading, current density and flux 

There appear to be two different requirements on deuterium loading. In the SRI experiments, 

the cathodes need to achieve a loading of about 0.95 (deuterium atoms per palladium atom) for 

excess heat to be observed at all [12]. A cathode which has achieved this during the roughly 

month-long charging period then later on needs to be loaded above a threshold near 0.85 to 

produce an excess heat burst. In many experiments [13-15] there has been observed a linear 

dependence of the excess power on current density above a threshold as first described by 

Fleischmann and Pons [16]. 

Excess power in Fleischmann-Pons experiments is dependent on the deuterium flux in the 

cathode. Although this is implicit in the ideas presented by Fleischmann on the Coehn effect in 

ICCF4 [17], it was first noticed in connection with a Fleischmann-Pons experiment at SRI, 

where the excess heat seemed to increase when a cathode spontaneously went into a breathing 

mode. This led to an empirical relation [18] for the excess power Pxs 

2 dx 

Pxs I - I0 x x0 

dt 

where I is the current and x is the loading. Subsequently, experiments reported by Li and 

coworkers have taken advantage of deuterium flux [19], and also by Arata and Zhang [20]. 

2.3. Temperature 

Fleischmann and Pons noticed that the excess heat increased following the application of a 

resistive calibration pulse to their cell, which suggested that they could take advantage of the 

effect to achieve higher power operation [21]. Somewhat later, Storms observed a dependence 

of excess power on temperature of the form 

P P e 

 

xs 

0 

588 

E / kBT where E was reported as 15 Kcal/mole, or 670 meV [22]. 

This dependence is not seen in all experiments. It has been suggested that since the 

observed E is close to that for helium diffusion in Pd, that this temperature dependence may 

be associated with helium accumulation in active sites in experiments with high local excess 

power per unit volume. 

3. Helium 

In association with the press conference in March 1989, Fleischmann and Pons apparently 

claimed that helium had been observed in association with the excess heat effect. Subsequent

measurements did not provide a confirmation, and the issue of helium production subsequently 

has been contentious. 

3.1. Detection in the gas phase 

A significant step forward was made with the observation of 4 He in the gas phase by Miles 

and Bush [23]. Prior to this, a great deal of effort had been focused on searches for elemental 

and isotopic anomalies in the Pd cathodes, as well as for trapped helium, with few positive 

results. Since the excess heat effect has no accompanying energetic particles, one could not 

learn much about reaction mechanisms or possible products, and all elements and isotopes were 

potential suspects. Helium as a reaction product had been considered previously, but was 

expected to be trapped in the metal if it was produced. That it might be observed in the gas was 

unexpected. 

Subsequent work has largely confirmed the presence of 4 He in the gas outside of the cathode 

in Fleischmann-Pons experiments [24]. At ICCF6, Gozzi presented some striking results that 

appeared to show that heat bursts were time-correlated with 4 He bursts in the gas phase [25]. 

3.1. Mass difference, helium in the gas, and retention 

Helium as a product has been of interest since the Fleischmann-Pons experiment requires 

deuterium, and two deuterons contain two protons and neutrons which is the same as 4 He. The 

mass difference is 

E[dd] – E[ 4 He] = 23.86 MeV 

If the excess energy was produced through a physical process in which deuterons interacted 

somehow to make 4 He, then one should be able to tell from a comparison of the energy 

produced per 4 He atom detected. In Gozzi’s experiments, the ratio of 4 He atom detected seemed 

to vary from burst to burst in the range of 10% to 100% of that expected from the mass 

difference. A possible explanation for the results observed was that the helium was produced 

initially near the cathode surface, so that it could get out; but different amounts would be 

released during particular events. The missing helium was assumed to remain inside the outer 

surface of the cathode. 

3.2. Energy per 4 He 

In an experiment carried out at SRI, excess heat was observed in a calorimeter that was 

helium leak tight, and 4 He was measured. The amount of helium measured was 62% of that 

expected based on the 23.86 MeV mass difference. Subsequently an effort was made to recover 

the helium remaining in the cathode; this was done through cycling deuterium in and out of the 

cathode. More helium was captured, and in the end the ratio of energy to 4 He was observed to 

be 104% of the 23.86 MeV mass difference with 10% error [12]. This result is supported by the 

measurements reported in [26]. In two of the experiments reported, the amount of 4 He detected 

was low (about 51% and 69%, taking into account the background) of the amount expected 

based on the mass difference. However, in another experiment (Laser-3) an attempt was made 

to recover the helium remaining in the cathode [27], and the result was that the amount of 

helium observed was slightly over 100% of the expected amount. Hence, the two experiments 

reported to date in which helium recovery was attempted both give results in agreement with 

the mass difference within experimental error. 

589

4. Laser stimulation 

Letts and Cravens [28] found that an excess heat could be triggered in a Pd cathode near 

threshold with a laser beam at low intensity. In these experiments, an incident diode laser beam 

of 30 mW was shown to lead to excess power levels in the range of 200-800 mW. Polarization 

dependence was observed, which was later studied by the ENEA group [26]. It was found that 

p-polarized light (with electric field partly normal to the surface) could stimulate excess heat, 

but s-polarization (with electric field aligned with the surface) was ineffective. This is 

consistent with coupling to compressional plasmon modes. In the Letts and Cravens 

experiment, a thin gold coating is deposited on the surface, with a surface plasmon resonance 

expected near the frequency of the incident light. 

At this conference, Letts presented results for dual laser stimulation where the excess heat 

was found to respond to the beat frequency [29]. Strong responses were found at three 

difference frequencies (8.3 THz, 15.3 THz, and 20.4 THz), the first two of which can be 

associated with the k=0, or zero group velocity, optical phonon frequencies of PdD (the 20.4 

THz frequency matches the upper k=0 frequency in PdH, but as yet there is no experimental 

evidence to support this). Once again, the dual laser beating effect is sensitive to laser 

polarization, and requires both laser beams to be oriented with p-polarization. 

5. Connection with low-level nuclear emission 

There has been much discussion over the years as to whether the low-level nuclear emissions 

which have been reported are related to the excess heat effect. Attempts to detect nuclear 

signatures at the time of an excess heat event have yielded no commensurate signals, and 

generally no low-level signals [30]. 

In Fleischmann-Pons experiments, excess heat is reported at relatively high current density 

(200-1000 mA/cm 2 ), while neutron emission tends to be seen at much lower current density 

(10-30 mA/cm 2 ). In [31] results from experiments that were run using Takahashi’s high-low 

current protocol showed that cathodes which produced excess heat (and no neutron emission) at 

high current density, also showed low-level neutron emission (and no excess heat) at low 

current density. Such observations indicate a connection, in this case an anticorrelation. 

5.1. Low-level deuteron-deuteron fusion 

Evidence for low-level neutron and proton emission consistent with deuteron-deuteron fusion 

has been put forth over the years. Jones first reported the effect in TiD in 1989, and subsequent 

measurements after 1989 have provided confirmation (some of this work is reviewed in [12]), 

and evidence that deuteron-deuteron fusion reaction products are seen in Fleischmann-Pons 

experiments in PdD at low current density. 

5.2. Other energetic emissions 

Cecil and coworkers have claimed the observation of low-level energetic particles from TiD 

up to and beyond 10 MeV [33,34], as well as protons consistent with deuteron-deuteron fusion. 

Lipson and coworkers have reported repeated observations of low-level nuclear emissions from 

PdD included protons near 3 MeV (consistent with deuteron-deuteron fusion), as well as alpha 

particles between 10 and 20 MeV [35,36]. 

590

5.3. Karabut’s x-rays 

Karabut has reported the collimated emission of x-rays between 1-1.5 keV from Ti and Pd 

cathodes in glow discharge experiments run in deuterium, as well as in other gases [37,38]. The 

x-ray energy from energy-integrated absorption appears to be correlated with the cathode 

metal, and discharge voltage. Ti and Pd do not have fluorescence lines in the range. These 

observations raise the possibility that the emission is of nuclear origin, and that the collimation 

arises from local phase coherence among the emitters (the collimation is observed to be normal 

from the cathode surface). It seems implausible that phase coherence could be established in 

the case of electronic transitions. 

6. Relevant beam experiments 

There are at least two different kinds of beam experiments that have been done with metal 

deuterides that are of note in this discussion. One of these addresses the question of screening, 

and the other concerns localization. 

6.1. Screening 

There was much discussion about the impact of screening between deuterons in metal 

deuterides back in 1989, with the general consensus that significant screening effects would not 

be expected in PdD. However, low-energy deuterium beam experiments over the past decade 

has shown strong screening effects for deuteron-deuteron fusion reactions in metals in general, 

and particularly strong screening in PdD in particular [39,40]. 

6.2. Kasagi effect 

In the mid-1990s, Kasagi and coworkers described beam experiments (in TiD and in PdD) 

where broad energetic proton and alpha signals were observed. Normally, deuteron-deuteron 

fusion produces two-body products, such as p+t and n+ 3 He. In this case, the reaction energy is 

sharp, with the reaction energy apportioned inversely to the mass. In a secondary reaction such 

as t(d,)n, there is a spread in the alpha energy due to the initial 800 keV energy of the triton. 

However, in the experiments described in [41], a much broader alpha and proton signal was 

seen. Such a broad signal could only come about from a three-body exit channel, which in this 

case was attributed to n+p+. The particles and end-point energies in this case are consistent 

with a three-body reaction d+d+d → n+p+, which would require two of the deuterons initially 

within the same to be localized on the 10 fm scale. 

7. Discussion 

Based on the discussion above, which is incomplete both in scope and in citations to the 

relevant literature (by necessity given the limitations of a proceedings paper), we can begin to 

discuss what experiment provides as input to theory. Perhaps the most significant feature is that 

experiment seems to support the notion of a new kind of nuclear reaction in which the reaction 

energy is not expressed through the kinetic energy of the products. This statement is very 

significant, in that as commented on above, local conservation of energy and momentum 

require that energetic particles result from an exothermic reaction. No such process has been 

observed previously in nuclear physics. We note that among those working on excess heat in 

the Fleischmann-Pons experiment, that many are convinced even now that commensurate 

591

energetic particles are produced, only to have escaped detection so far. Future experiments that 

address upper limits on the energy of possible reaction products would be helpful in this 

discussion. 

As to what it is that reacts, there is no general consensus at this time. However, deuterium 

seems implicated (since for the most part no excess heat is reported with Fleischmann-Pons 

experiments using Pd cathodes and light water), and the correlation of 4 He with the energy 

produced implicates it as the ash. The two experiments in which an effort was made to account 

for retained 4 He give results consistent with 24 MeV per 4 He, consistent with the mass 

difference between two deuterons and 4 He. However, there is agreement among a subset of 

workers that the mechanism involved converted deuterons to 4 He, while others contest this. 

Badly needed are new experiments which address the correlation of 4 He with energy, taking 

care to collect all helium produced. Also needed are experiments which address how close to 

the surface the retained helium is, which should help shed light on where the reactions occur. 

If the reaction energy is not expressed kinetically, then it is a reasonable question as to where 

it does go. In the end, the energy produced shows up as heat. There are no direct measurements 

of the energy produced in condensed matter modes prior to thermalization. The dual laser 

experiment may be relevant to this question, since the excess heat responds to the beat 

frequency, suggesting a nonlinear response, under conditions where the laser intensity is orders 

of magnitude too weak for any nonlinear response to be expected by conventional means. If the 

reaction energy were deposited into plasmon modes [keeping in mind that one would expect 

hybridization of low energy (2 eV) plasmon modes with optical phonon modes], then these 

internal modes may have sufficient excitation to provide a nonlinear response. Hence, there is 

an indirect argument for where the energy goes at least in one kind of experiment. The very 

high local power per unit volume production may be connected with the dual laser nonlinearity. 

What is really needed is some new experiment which can detect enhanced excitation in 

longitudinal plasmon modes and in optical phonon modes in association with excess heat 

production. 

Attention should be drawn to the three-body Kasagi experiment, which suggests the 

possibility of deuteron-deuteron localization on the fermi scale. If correct, this experiment is of 

great significance, and may provide a glimpse into part of the internal reaction dynamics. 

Deuteron-deuteron fusion anticorrelated with excess heat production is supportive of 

mechanisms involving deuterium, but this is not universally agreed on at present. The strong 

screening effects observed in beam experiments are thought by many to be related to the lowlevel 

fusion effect; however, neutron production seems to come in (hour long) bursts events, 

similar to excess heat bursts. Most likely, there is more involved in low-level deuterondeuteron 

fusion than simple screening effects. 

Attention should also be drawn to the energetic alpha signal. The key question here should 

be: where does the energy come from? There are no energetic particles with even greater 

energy present in the amounts needed for the disintegration of nuclei with alpha particles in the 

10-20 MeV range. So, the energy must come from somewhere else. But from where? The 

significance of the observation is in the implication that a large quantum may be communicated 

somehow by the local condensed matter environment leading to the disintegration of a nucleus. 

592

This would be unprecedented in nuclear physics, but seems to be a direct consequence of the 

Cecil and Lipson experiments. If such a large quantum can be so communicated, then the 

possibility of it somehow being chopped up into a large number of small quanta seems perhaps 

more plausible. 

The requirements on loading probably tell us something about the local environment needed 

for the reactions to occur. Arguments put forth over the years include: increased density results 

in increased conventional reaction probability; a connection with the D to Pd loading at which 

PdD becomes thermodynamically unstable; the development of a new phase; and a connection 

with the D to Pd loading at which host Pd vacancies are stabilized. Calculations indicate that D2 

cannot form inside bulk PdD due to occupation of antibonding orbitals, but perhaps the 

situation is different near vacancies where the electron density is lower. NMR experiments may 

be able to clarify this in the case of thin film samples of PdD with high vacancy concentration. 

There is no agreement on these issues at this time, and experiments have not yet clarified the 

role of loading. 

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Preparata, Proc. ICCF4 p. 19-1 (1994). 

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Garibaldi, M. Jodice, and G. M. Urciuoli, Proc. ICCF6 p. 3 (1996). 

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594

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595

A Theoretical Formulation for Problems in Condensed 

Matter Nuclear Science 

Peter Hagelstein 1 , Irfan Chaudhary 2 , Michael Melich 3 and Rodney Johnson 3 

1 Research Laboratory of Electronics, 

Massachusetts Institute of Technology, Cambridge, MA 

2 University of Engineering and Technology, Lahore, Pakistan 

3 Naval Postgraduate School, Monterey, CA 

Abstract 

Over the years theorists have adopted a wide variety of approaches to theoretical 

problems in condensed matter nuclear science. If one starts with a formulation 

adapted to condensed matter, then the resulting model may be well adapted to 

describing electrons and phonons, but perhaps less well adapted to describing 

nuclear states. If one starts with a formulation adapted to nuclear calculations, 

then the resulting model may be well adapted to structure and reaction 

calculations, but perhaps less well adapted to phonon or plasmon modes. We 

discuss here the use of a more general formulation based on nucleons and 

electrons which can be used for problems in condensed matter physics, nuclear 

physics, or for problems that involve interactions between nuclear and 

condensed matter systems. 


Excess heat in the Fleischmann-Pons experiment appears to be the result of a new kind of 

nuclear process [1]. The experimental arguments supporting this include: (a) the amount of 

energy measured greatly exceeds that which could be stored conventionally, or which could be 

of chemical origin; (b) 4 He is observed as an ash in amounts commensurate with the energy 

produced, where the amount of energy observed per 4 He is near 24 MeV (which is the mass 

difference between two deuterons and 4 He); and (c) low-level nuclear emissions have been 

observed in samples at low current density which produce excess heat at high current density. 

However, the excess heat is produced without commensurate energetic particle production, 

which is unprecedented. In a conventional exothermic nuclear reaction, the reaction energy is 

expressed as kinetic energy in the reaction products. In the Fleischmann-Pons experiment the 

excess heat is thought to be due to an exothermic nuclear process, but experiment shows an 

absence of corresponding energetic emissions. 

If the energy does not appear as kinetic energy, then it must be expressed through other 

channels, since ultimately it is seen in thermal measurements. The only available non-kinetic 

channels into which the energy might go are those of the host metal deuterides structure, which 

are condensed matter modes. From the results of single and dual laser experiments, there is 

indirect evidence that some of the energy may be going into plasmon or optical phonon modes 

prior to thermalization. As such, it seems reasonable to consider the theoretical question as to 

596

what kind of coupling occurs between these modes and the local nuclear systems which have 

been put forth in proposed reaction mechanisms. 

More generally, there are by now numerous experiments which show anomalies of one sort 

or another (beyond excess heat), in which nuclear and condensed matter effects are probably 

connected. To address such issues, theorists over the years have been using a variety of tools to 

develop models, and to make predictions. However, if a condensed matter approach is adopted, 

then there are issues associated with including nuclear effects. If the starting point is some kind 

of nuclear physics calculation, then there are issues as to how one includes condensed matter 

effects. Within the literature one finds a variety of approaches which have been employed, so 

far with no systematic formulation. For each problem and each author, one must often put in 

effort to understand both the underlying formulation as well as the result. 

Because of this, it seems worthwhile to see whether a formulation might be constructed 

which has a foundation sufficiently general to encompass aspects of condensed matter and 

nuclear physics on a uniform footing. If so, then we might be able to use it to advantage in 

modeling problems in areas where both are equally important in accounting for physical effects 

that are observed. In what follows, we describe one approach to such a formulation. In essence, 

if we do nothing more than start from a set of fundamental building blocks, such as electrons 

and nucleons, then the resulting formulation has the potential to speak to problems in the two 

disciplines on equal footing starting from a common foundation. Armed with such a 

foundation, we would be able to bring in results from the relevant literature in both disciplines 

within a unified framework to address problems of interest. Workers with backgrounds in either 

discipline could then have a common language that could be used to address such problems. 

2. Electrons and nucleons 

As a foundation, we consider models at the outset composed of a set of electrons and a set of 

nucleons. Within the isospin formalism, neutrons and protons are considered to be simply 

nucleons; identical particles differing only by whether they are isospin up (proton) or isospin 

down (neutron). This is similar to a set of electrons, which are identical particles, and which 

may have spin up or spin down. 

Computations of nuclear structure or dynamics can in many cases be described adequately 

from such a starting place, and over the years good models have been developed that describe 

the interaction between nucleons. Restricting ourselves to a description based on nucleons bars 

us from addressing more sophisticated problems in which quarks become important. However, 

given the difficulty of working with QCD at present in association with bound state problems, 

this limitation seems a good trade off against a much improved ability to perform calculations 

much more easily. 

Condensed matter computations in general assume electrons and nuclei, so that breaking 

down nuclei into their component nucleons greatly increases the complexity of what is already 

a pretty complicated theoretical problem. If one needs to account for the nuclear structure of 

every nucleus in a solid at the outset, then one would expect that subsequent calculations will 

quickly become a mess. Since the expanded formulation includes condensed matter physics as 

a subset, we are sure that it will be capable of address relevant problems in principle. However, 

597

at some point we will require tools to reduce our description in order to allow us to focus on 

important parts of a problem. Hence, using a starting point of a set of electrons and nucleons at 

the outset will have to be viewed as formal for condensed matter calculations, and we will need 

a way to collect the nucleons back into their constituent nuclei for those that are not directly 

involved in a reaction under consideration. 

Consequently, we require of our formulation a basic definition for the electron-nucleon 

Hamiltonian, and then we will need a systematic way to reduce problems so that we can focus 

on those parts which are particularly important for a specific calculation. 

2.1. The electronic part 

Focusing first on the electronic part, it seems clear that the place to start in general is with 

QED, which describes electrons and photons (the focus on electrons above is simplistic, since 

the interaction with electromagnetic fields is ubiquitous in condensed matter systems). In the 

literature over the years, one can find problems worked in configuration space (relativistic and 

nonrelativistic), in k-space, in second quantization, and using a wide range of approaches. We 

have no plans here to restrict in any way which part or formulation of QED to be used, and we 

would consider configuration space models that include only Coulomb interactions to be a 

good low-end example of a useful subset of QED. 

2.2. The nucleon part 

One can find much literature on structure and dynamics calculations of nuclei presented in 

configuration space, with empirical nucleon-nucleon potentials and Coulomb interactions. This 

would constitute a useful low-end example of the nucleon part of the problem. At the other end 

of the spectrum, there have been published nucleon-based field theories which are empirical 

generalizations of QED, including relativistic effects and coupling with the electromagnetic 

field (see for example [2] which discusses QHD). Such models would equivalently be suitable 

for the general formulation under discussion in this paper. In order to model beta decay, we 

assume that such models are augmented as needed with neutrinos and their associated weak 

interactions. 

2.3. A simple example of a configuration space Hamiltonian 

As an example of a minimal low-end model, we might adopt a Hamiltonian of the form 

In this model, the first two terms account for the (nonrelativistic) kinetic energies of the 

electrons (with mass m) and nucleons (with mass M); the third term describes Coulomb 

interactions between electrons; the fourth term describes strong force and Coulomb interactions 

between nucleons; and the final term describes the attractive Coulomb interaction between 

electrons and protons. 

598 

r r 

ˆ 

e e 

H V 

2 2 2 2 

2 2 

i 2m i 

2M 

 

i j ri rj 

 

n 

i, 

protons 

ri r

2.3. The nucleon-nucleon interaction 

The nucleon-nucleon potential is far more complicated than the simple Coulomb interaction 

(which could be used as a first approximation for the electron-electron potential). This is 

because nucleons are composite particles made up of quarks. In the past decades, nuclear 

physicists have developed empirical nucleon-nucleon potentials that are accurate for “low 

energy” (below a few hundred MeV) applications by fitting scattering data and bound state 

energies to appropriate functional forms [3]. One such potential that was proposed early on was 

the Hamada-Johnston potential [4]. A more modern example is the Argonne potential, which is 

now widely used [5]. More complicated nonlocal potential models have been developed in 

recent years [6,7]. 

2.4 Antisymmetrization 

Electrons are identical fermionic particles, so that the overall wavefunction must be 

antisymmetric under the exchange of any two electrons, which leads to constraints on the spin 

and spatial pieces. Nucleons in this kind of model are also identical fermionic particles, so that 

once again the overall wavefunction must be antisymmetric under the exchange of any two 

nucleons, which in this case leads to constraints on the spin, isospin, and spatial parts of the 

problem. The extra degree of freedom in the nucleon part of the problem makes the 

construction of properly antisymmetrized nuclear wavefunctions a more complicated exercise 

than in the electronic case. 

In the case of two electrons, there are two ways to construct an antisymmetric wavefunction: 

In the case of two nucleons, there are three ways to construct an antisymmetric wavefunction: 

 

 

 

 

 

 

antisymmetric in spin symmetric in space 

symmetric in spin antisymmetric in space 

antisymmetric in spin symmetric in isospin symmetric in space 

symmetric in spin antisymmetric in isospin symmetric in space 

symmetric in spin symmetric in isospin antisymmetric in space 

For three-nucleon or four-nucleon wavefunctions, there are many more combinations, and 

one needs to make use of group theory for classification and construction [8]. This issue is 

much more important for the nucleon part of the problem than for the electron part of the 

problem, since the Coulomb interaction is scalar, and since an independent particle 

approximation can provide a useful starting place. The independent particle approximation is a 

much poorer starting place in the case of few-nucleon problems due to the absence of a fixed 

attractive core. 

599

3. Matrix element example 

The approach under discussion is very powerful, and to illustrate this we consider a formal 

example in the case of a phonon exchange matrix element. The discussion that follows is a 

brief summary of one given previously in Ref. [9]. We consider phonon exchange associated 

with a nuclear transition mediated by the nucleon-nucleon interaction. We assume that the 

initial and final nucleon states are nearly stationary in the lattice, which means that the 

associated physical process is not energy conserving, so that the matrix element would describe 

a piece of a more complicated physical process that does conserve energy. 

3.1. Formal initial and final state wavefunctions 

We take as a formal starting place initial and final state wavefunctions that are much more 

general than will be needed, but which are consistent with the formulation under discussion 

 

Where the subscript j is used for electron position and spin variables, and is used for 

nucleon position and spin variables. The matrix element under discussion can be written 

formally as 

M fi f Vn 

i 

where Vn is the nucleon-nucleon interaction. At this point, since the wavefunctions are assumed 

to be properly antisymmetrized functions of the nucleon spin, isospin, and position variables, 

the matrix element is expressed appropriately for a calculation of the nucleon-nucleon 

interaction. Unfortunately, there is no hope of describing phonon exchange or condensed matter 

effects at this level with such a description. Starting from this formulation as a formal starting 

place, we need to reduce the problem systematically so that it might be amenable to 

computation. 

3.2. Spectator nuclei 

One thing that complicates matters is that most of the nuclei in the lattice do not participate in 

the reaction of interest, and contribute only through their center of mass coordinates. For 

example, consider a nuclear rearrangement of a local four nucleon system involving two 

deuterons; in this case, none of the host metal nuclei participate, and we should not need to 

carry around a description of the internal structure at the nucleon level. Hence, our first task is 

to eliminate individual nucleon coordinates of the spectator nuclei, and replacing them by a 

smaller number of nuclear center of mass coordinates. This can be done rigorously by 

expressing the parts of the spectator wavefunctions in terms of center of mass coordinates and 

relative coordinates, and then integrating over relative coordinates. In the end, we can denote 

this through 

r , , r , , r , , r , , , R 

 

r , , r , , 

r , , r , , 

i i j j 

 

f f j j 

i j j i j j k 

600

The electron variables remain the same, but now the set of nucleon coordinates under 

consideration is reduced, and we have explicit center of mass coordinates for the spectator 

nuclei. In this form, we are now much closer to a problem formulation suitable for the 

condensed matter part of the problem. 

3.3. Born-Oppenheimer approximation 

As long as we are interested in processes assumed to be adiabatic relative to electron 

dynamics, we can make use of a Born-Oppenheimer approximation in order to reduce the 

problem further. The associated product wavefunction can be written as 

r , , r , , , R 

i rj , j; r , , , Rk 

i 

r , , , Rk 

 

i j j k 

Where the first term is the electronic wavefunction given fixed nucleon and nuclei positions, 

and the second is the adiabatic nucleon and nuclei wavefunctions. If our focus is on phonon 

exchange, then we are interested in the second term, and it may be possible to integrate out the 

electronic part of the problem if we have some reason to believe that the electronic 

wavefunctions in the initial and final states are sufficiently alike. If not, then the overlap 

integral coupling to the relevant electronic states in the final state will have to be estimated. For 

simplicity, we will assume in the matrix element under consideration that there are no 

important electronic or plasmon excitations. This approximation has the effect of reducing the 

wavefunction according to 

r , , r , , , R 

r , , , R 

 

i j j k i k 

3.4. Phonons 

Our goal was to develop a description for phonon exchange, and we require yet one more 

modification of the problem in order to bring phonons into our description. One way to do this 

is to recast the local nucleon problem in terms of relevant center of mass and relative 

coordinates. For example, if there are two deuterons present, then two different center of mass 

coordinates would be appropriate. If a helium nucleus is present, then only a single center of 

mass coordinate would be appropriate. We can denote this through 

, i 

r R ξ 

This change in coordinates then leads to wavefunctions that we may denote through 

 

r , , , R 

ξ i , , , R 

 

i k i k 

601

Now the wavefunction on the RHS has a full set of center of mass coordinates, and from the 

Born-Oppenheimer approximation (or from experiment) we can in principle develop 

equilibrium positions and force constants, so that we can recast the center of mass position 

operators in terms of phonon mode amplitudes. This we can denote according to 

ξ , , , R 

ξ , , 

, q 

 

i i k i i i 

where qi is a vector that contains all of the initial state phonon mode amplitudes. The nucleon 

center of mass coordinates in this case can be expressed as phonon operators. 

3.5. Matrix element integrations 

We now have wavefunctions in a form suitable for describing phonon exchange matrix 

elements, at least formally. The matrix element can be written as [9] 

 

qi , q f ξ 

i, ξ f dqidq f dξidξ f 

M f ξ , , , q V ξ , , , q 

* 

fi f f n i i i 

where the center of mass coordinates of the initial state lattice must agree with the center of 

mass coordinates in the final state lattice 

qi , q f qi A q f b 

 

This is consistent with the linear relation between vibrational coordinates that is sometimes 

used in the case of Franck-Condon factors in polyatomic molecules [10,11] 

q f A qi b 

In addition, the individual nucleon coordinates in the initial state must agree with those for the 

same nucleons in the final state, which is imposed through 

f i 

ξ i, ξ f r r 

 

 

 

3.6. Coupling between phonons and internal nuclear coordinates 

In the expression for the matrix element Mfi above, the initial state and final state 

wavefunctions are expressed in terms of phonon coordinates and internal relative nuclear 

coordinates. To within an excellent approximation, these two degrees of freedom are 

independent, so that we could reasonably use product wavefunctions for both. If so, then the 

issue of the origin of coupling between them becomes of interest. The coupling between these 

degrees of freedom comes about implicitly in this formulation through the nucleon-nucleon 

interaction, which depends on the relative position of two nucleons. The nucleon coordinates 

themselves depend on the local nuclear center of mass coordinate (which itself is a function of 

the phonon mode coordinates), and the relative coordinates. As a result, under certain 

602

conditions (for example, if the intial state contains two deuterons, and the final state contains a 

4 He nucleus), Vn can cause a mixing between the phonons and internal relative coordinates. 

4. Discussion 

We can use this approach to address problems systematically in condensed matter nuclear 

science which involve both nuclear and condensed matter pieces. In order to handle nuclear 

models, we begin with a description at the outset in terms of nucleons and electrons. This 

allows us to specify the problem in a way that is consistent with the requirements for the 

nuclear part of the calculation. However, the wavefunctions and matrix elements that result 

initially are far too complicated to work with for the condensed matter part of the problem. The 

idea is to subsequently reduce the problem into a form suitable for condensed matter 

calculations by using successive transformations. 

We illustrated this in a formal example involving a phonon exchange matrix element. From 

this example, we see that the nucleon-electron starting place does indeed provide for a suitable 

starting point for a nuclear calculation. If the strong force is involved, then we need fully 

antisymmetric nucleon wavefunctions expressed in terms of nucleon variables, and the 

formalism outlined here provides for this. The utility of the approach for the condensed matter 

part of the problem is that it allows for a well-defined foundation that can be used as a starting 

point for approximations and transformations commonly used in condensed matter calculations. 

In the end, the formalism allows us to see explicitly how mixing between phonon modes and 

internal nuclear coordinates come about. 

Limitations imposed on the conference proceedings restrict us from any detailed 

consideration of other problems, but it should be clear that we can apply the method generally 

to problems that have arisen within the field. Should we wish to describe condensed matter 

screening effects in the same computation with deuteron-deuteron fusion reactions, the 

formulation outlined here can handle the problem systematically. If we are interested in 

coupling nuclear reactions with plasmon mode excitation, then we can start from the same 

place, but make different approximations and transformations to obtain a formula for a matrix 

element in a form suitable for computation. 

References 

1. P. L. Hagelstein, M. Melich, and R. Johnson, this proceedings. 

2. B. D. Serot, J. D. Walecka, Int. J. Modern Physics, 6 515 (1997). 

3. R. Machleidt, Advances in Nuclear Physics 19 189 (1989). 

4. T. Hamada and I. D. Johnston, Nucl. Phys. 34 382 (1962). 

5. R. B. Wiringa, R. A. Smith, and T. L. Ainsworth, Phys. Rev. C 29 1207 (1984). 

6. R. Machleidt, F. Sammarruca, and Y. Song, Phys. Rev. C 53 R1483 (1996). 

7. R. Machleidt, Phys. Rev. C 63 024001 (2001). 

8. G. Derrick and J. M. Blatt, Nuclear Physics 8 310 (1958). 

9. P. L. Hagelstein and I. U. Chaudhary, LANL ArXiV:cond-mat/0606585v2. 

10. F. Duschinsky, Acta Physicochimica 7 551 (1937). 

11. T. E. Sharp and H. M. Rosenstock, J. Chem. Phys. 41 3453 (1964). 

603

Theory of Low-Energy Deuterium Fusion in Micro/Nano- 

Scale Metal Grains and Particles 

Yeong E. Kim 

Purdue Nuclear and Many-Body Theory Group (PNMBTG) 

Department of Physics, Purdue University 

West Lafayette, IN 47907, USA 

Abstract 

A consistent conventional theoretical description is presented for anomalous 

low-energy deuterium nuclear fusion in micro/nano-scale metal grains and 

particles. The theory is based on the Bose-Einstein condensate (BEC) state 

occupied by deuterons trapped in a micro/nano-scale metal grain or particle. The 

theory is capable of explaining most of the experimentally observed results and 

also provides theoretical predictions. Experimental tests of theoretical 

predictions are proposed. Scalabilities of the observed effects are discussed 

based on theoretical predictions. 


The conventional deuterium fusion in free space proceeds via the following nuclear 

reactions: 

{1} D+D→p(3.02 MeV) + T (1.01 MeV); 

{2} D+D→n(2.45 MeV)+ 3 He(0.82 MeV); and 

{3} D+D→ 4 He+γ(23.8 MeV). 

The cross-sections (or reaction rates) for reactions {1} – {3} have been measured by beam 

experiments at intermediate energies ( ≥10 keV), and are expected to be extremely small at low 

energies (≤ 10 eV) due to the Gamow factor arising from Coulomb barrier between two 

deuterons. The measured cross-sections have branching ratios: (σ{1}, σ{2}, σ{3}) ≈ (1, 1, 

10 -6 ). 

From many experimental measurements by Fleischmann and Pons in 1989, and many others 

over 19 years since then [1], including the recent work by Szpak, Mosier-Boss, and Gordon [2] 

and the most recent work by Arata and Zhang [3], the following fact has been established. At 

ambient temperatures or low energies (≤ 10 eV), deuterium fusion in metal proceeds via the 

following reactions: 

{4}D(m) + D(m)→p(m) + T(m) + 4.03 MeV (m); 

{5} D(m) + D(m)→n(m) + 3 He(m) + 3.27 MeV (m); and 

{6} D(m) + D(m)→ 4 He(m) + 23.8 MeV (m), 

where m represents a host metal lattice or metal particle. Reaction rate R for {6} is dominant 

over reaction rates for {4} and {5}, i.e., R{6} >> R{4} and R{6} >> R{5}. Additional 

604

experimental observations include requirements of both higher deuteron loading (D/Pd ≥1) and 

deuterium purity (H/D d, is satisfied, 

where λdb is the de Broglie wavelength and d is interatomic spacing distance. 

In our nuclear BEC phenomenon, we have deuteron number density of ~ 6.8 x 10 22 cm -3 in 

metal, corresponding to an average separation distance of d ≈ 2.45 Å between deuterons. In 

order to achieve the nuclear BEC state of deuterons in metal, we need to have the average 

deuteron kinetic energy Td smaller than c 

T = 0.0063 eV, i.e. Td < d 

c 

requirement λdb > d. 

T d , in order to satisfy the 

The MB distribution is originally derived for weakly interacting dilute gas (ideal gas). For 

strongly interacting and dense systems such as mobile deuterons in metal, the MB distribution 

is not applicable and hence average deuteron kinetic energy of kT = 0.026 eV at T = 300 K is 

not applicable for deuterons in metal. 

Mobility of deuterons in a metal is a complex phenomenon and may involve a number of 

different processes [14]: coherent tunneling, incoherent hopping, phonon-assisted processes, 

thermally activated tunneling, and over-barrier jump/fluid like motion at higher temperatures. 

605

If mobile deuterons in a metal are confined by a confining potential provided by metal atoms 

and electrons, it may be possible that deuteron momentum or velocity distribution in a metal 

c 

may have the average deuteron kinetic energy smaller than T = 0.0063 eV, thus satisfying λdb 

d 

c 

> d. We note that T = 0.0063 eV corresponds to the average deuteron velocity of vc = 0.78 x 

d 

10 5 cm/sec while the average deuteron kinetic energy of kT = 0.026 eV with T = 300 K 

corresponds to the average deuteron velocity of vk = 1.6 x 10 5 cm/sec. Boundaries for 

micro/nano-scale metal grains and particles can act as barriers and may slow down mobile 

deuterons resulting in lower average velocity v < vc and smaller average kinetic energy Td < 

c 

T near boundaries. Therefore, it may be possible that the conditions, Td < d 

c 

T and λdb > d, are 

d 

achieved for mobile deuterons in localized regions of the metal without cooling as done in the 

atomic BEC case, and hence, it may be possible to observe experimentally the effects of the 

nuclear BEC. 

Mobility of proton and deuteron in metals: It is well know that the hydrogen ions are highly 

mobile within metal hydrides [14,15]. Hydrogen mobility takes various temperature dependent 

forms. The mobility extends to “fluid like” motion at temperatures comparable to the interstitial 

site or self-trapping, binding energy ~ 0.15 eV. At higher temperatures below the melting point, 

hydrogen ions no longer remain within the potential wells of interstitial sites but undergo free 

motion similar to the motion of atoms in gases [14]. It is expected that the mobility of hydrogen 

ions (or deuterium ions) will increase, as the loading ratio H/metal (or D/metal) of hydrogen 

atoms (or deuterium atoms) increases and becomes larger than one, H/metal ≥ 1 (or D/metal ≥ 

1). 

Theoretical formulation for single species case: For applying the concept of the BEC 

mechanism to deuterium fusion in a nano-scale metal particle, we consider N identical charged 

Bose nuclei (deuterons) confined in an ion trap (or a metal grain or particle). Some fraction of 

trapped deuterons are assumed to be mobile as discussed above. For simplicity, we assume an 

isotropic harmonic potential for the ion trap to obtain order of magnitude estimates of fusion 

reaction rates. N-body Schroedinger equation for the system is given by 

H E 

(1) 

with the Hamiltonian H for the system given by 

1 

H m r 

2m 2 

2 N N 

2 

2 2 

i i 

i1 i1 i j ri rj 

e 

where m is the rest mass of the nucleus. The detailed derivations are given elsewhere [5,6,7,16] 

for obtaining the approximate the ground state solution for Eq. (1) and the approximate 

theoretical formula for the deuteron-deuteron fusion rate in an ion trap (nano-scale metal 

particle). The use of an alternative method based on the mean-field theory for bosons (see 

Appendix in [6]) yields the same result. 

606 

(2)

Our final theoretical formula for the nuclear fusion rate Rtrap for a single trap containing N 

deuterons is given by 

Rtrap= ΩBNω 2 

3 c 

N 

 

(4) 

4 

m r 

2 

with 

3 

where r is the radius of trap/atomic cluster, r r , N is the average number of Bose 

nuclei in a trap/cluster, and B is given by B=3 Am/(8παħc), with A= 2SrB/(πħ), rB=ħ 2 /(2μe 2 ), 

and μ=m/2. S is the S-factor for the nuclear fusion reaction between two deuterons. For 

D(d,p)T and D(d,n) 3 He reactions, we have S ≈ 55 keV-barn. We expect also S ≈ 55 keV-barn 

for reaction {6}. Only one unknown parameter is the probability of the BEC ground state 

occupation, Ω. It may be proportional to N -1/3 , Ω N -1/3 , or to N -2 2 

, N . 

We can rewrite Eq. (3) as 

2 2 

3 / 2 N N 

R trap 43 / 4 

A (5) 

D D 

3 3 

trap trap 

where Dtrap is the average diameter of the trap, Dtrap 2 r 

The total fusion rate Rt is given by 

D 

Rt N trap Rtrap 

Rtrap 

 

3 

trap 

607 

. 

N 

N 

(6) 

N D 

where ND is the total number of deuterons and Ntrap = ND/N is the total number of traps. 

Two species case and selection rule: We consider a mixture of two different species of 

positively charged nuclear particles, labeled 1 and 2, with N1 and N2 particles, respectively, 

both trapped in a micro/nano-scale metal grain or particle. We denote charges and masses as 

Z1≥ 0, Z2≥ 0, and m1, m2, respectively. We use the mean-field theory [7,17] for a system of 

interacting bosons confined in a harmonic potential to derive the following selection rule: 

Z1 Z 2 

(7) 

m 

1 

m 

2 

The detailed derivations are given in reference [8]. We now apply the selection rule, Eq. (7). 

If we use m as mass number approximately given in units of the nucleon mass, we have [Z1 

(D)/m1 (D)] = ½, [Z2 (p)/m2 (p)] = 1, [Z2(T)/m2 (T)] = 1/3, [Z2 (n)/m2 (n)] = 0, and [Z2( 3 He)/m2 

( 3 He)] = 2/3. 

Since [Z1/m1] ≠ [Z2/m2] for reactions {4} and {5} they are forbidden or suppressed, and 

fusion reaction rates for reactions {4 and {5} are expected to be small, while reaction {6} is 

(3)

allowed since [Z1/m1] = [Z2/m2], and fusion reaction rate is expected to be large for reaction 

{6}. In summary, we obtain R{6} >> R{4} and R{6} >> R{5}. 

3. Theoretical Implications and Predictions 

Eqs. (3) and (6) provide an important result that nuclear fusion rates Rtrap and Rt do not 

depend on the Gamow factor in contrast to the conventional theory for nuclear fusion in free 

space. This could provide explanations for overcoming the Coulomb barrier and for the claimed 

anomalous effects for low-energy nuclear reactions in metals. 

This is consistent with the conjecture noted by Dirac [18] and used by Bogolubov [19] 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. 

For a single trap (or metal particle) containing N deuterons, the deuteron-deuteron fusion can 

proceed with the following three reaction channels. 

 

BEC 

 

N 2D' 

s D D 

 

* 

4 

He N 2D' 

s Q 23. 

84 MeV 

* T p N 2D' 

s 

Q 4. 

03MeV 

 

* 

3 

He n N 2D' 

s Q 3. 

27 

MeV 

where ψBEC is the Bose-Einstein condensate ground state (a coherent quantum state) with N 

deuterons and ψ* are final excited continuum states. Excess energy (Q value) is absorbed by 

the BEC state and shared by (N-2) deuterons and reaction products in the final state. 

We now consider the total momentum conservation. The initial total momentum of the initial 

P N 0 

 

Because of the total 

BEC state with N deuterons (denoted as D N ) is given by . D 

momentum conservation, the final total momenta for reactions {4}, {5}, and {6} are given by 

 

4 P N 2 

0, TD Tp TT Q 4 / N 

D 

pT 

5 P N 2 

3 0, TD Tn T3 Q 5 / N 

D 

n He He 

6 P 0, T T Q 6 / N 

N 2 

4 4 

D He D He 

where T represents the kinetic energy. 

For a micro-scale metal grain confined by grain boundaries of ~ 1μm diameter, we expect to 

have N ≈ 10 10 and Q{6}/N ≈ 10 -3 ~ 10 -4 eV, and hence we expect the excess heat and 4 He 

production due to reaction {6} but no nuclear ashes from some of the reactions described below 

in section 4. 

For nano-scale metal particles, the above consideration shows that excess energies (Q) lead 

to a micro/nano-scale fire-work type explosion, creating a crater/cavity and a hot spot with firework 

like star tracks. The size of a crater/cavity will depend on number of neighboring Pd 

nanoparticles participating in BEC fusion almost simultaneously. Since sizes of deuteron and 

-4 o 

Pd nucleus are of the order of ~10 A (~ 10 fm) while the average distance between two 

608

neighboring Pd atoms is ~ 2.5 o 

A , ~ 10 keV deuteron from the BEC deuterium fusion encounters 

mostly electrons and transfers its kinetic energy to electrons. Occasionally, ~ 10 keV deuteron 

may interact with Pd nucleus to initiate nuclear reactions, Pd(d,p)Rh, etc. When the BEC 

deuterium fusion takes place in a Pd nanoparticle, exploding deuterons are expected to damage 

and leave the host Pd nanoparticle, but some of the Pd nanoparticles may remain intact and 

may participate again in the BEC deuterium fusion after absorbing again a sufficient number of 

deuterons, D/Pd ≥ 1. 

4. Further Consequences of BEC Mechanism and of Selection Rule 

Effects due to deuterons: Deuterons with Q{6}/N ≈ ~10 keV energy from reaction {6} can 

undergo reactions {1} and {2} producing p(3.02 MeV), T(1.01 MeV), n(2.45 MeV), and 

3 He(0.82 MeV), which in turn will proceed with further reactions. 

Tritons produced by reaction {1} (1.01 MeV triton) and by reaction {4} (average kinetic 

energy of Q{4}/N ≈ ~keV) will interact with surrounding deuterons via the following reaction 

{7} T + D → 4 He(3.52 MeV) + n (14.07 MeV). 

Because of triton kinetic energies of 1.01 MeV or ~ keV, the reaction rate for {7} could be 

large enough to produce 14.07 MeV neutrons, which may have been recently observed by 

Forsley and Mosier-Boss [20]. We note that 4 He produced by reaction {7} has much higher 

kinetic energy (3.52 MeV) compared with deuterons from reaction {6} (Q{6}/N ≈ ~10 keV). 

Effects due to neutrons: Neutrons with 2.45 MeV kinetic energy from reaction {2}, neutrons 

with Q{5}/N ≈ ~ keV kinetic energy from reaction {5}, or neutrons with 14.07 MeV kinetic 

energy from reaction {7} can undergo further reactions, {8} and/or {9} below: 

{8} n + D →T + γ + 6.26 MeV 

{9} Neutron induced transmutation with other nuclei. 

In addition, 14.07 MeV neutrons from reaction {7} may initiate reactions, 12 C(n,n')3 4 He and 

12 C(n,n'α) 8 Be( 8 Be→2 4 He), which may have been recently observed by Mosier-Boss et al. [21]. 

Since reaction {8} produces more tritiums than neutrons, we expect R(T) > R(n), and also R 

(T) > R( 3 He). 

High deuterium loading requirement: D/Pd ≥ 1 is required for sustaining deuteron mobility 

in Pd metal. The mobility of deuterons is required for the BEC mechanism. 

Deuterium purity requirement: Because of violation of the selection rule, [Z1(D)/m1(D)] ≠ 

[Z2(p)/m2(p)], presence of hydrogens in deuteriums will surpress the formation of the BEC 

states, thus diminishing the fusion rate due to the BEC mechanism. The required H/D ratio is 

expected to be H/D < N -1 . For a 5 nm Pd nanoparticle with N ≈ 10 4 , H/D < 10 -4 , and hence 

99.99 % deuterium purity is required. 

Heat after death: There have been observations of continued heat generation after the input 

for experiment is switched off. This effect is known as “heat after death”. Because of mobility 

of deuterons in Pd particle traps, a system of ~ 10 22 deuterons contained in ~ 10 18 Pd particle 

609

traps (in 3g of Pd particles with average particle diameter of ~ 50 Å ) is a dynamical system. 

BEC states are continuously attained in a small fraction of the ~ 10 18 Pd particle traps and 

undergo BEC fusion processes, until the formation of the BEC state ceases or becomes 

negligible. 

Enhancement by electromagnetic fields and laser stimulation: Application of 

electromagnetic fields [2] and laser stimulation [22] have been shown to enhance the excess 

heat production and other anomalous effects. These effects may be due to a decrease of the 

average kinetic energy of mobile deuterons and/or to an increase of mobile deuterons 

participating in the BEC fusion processes. 

Increase of resistance: When the BECNF occurs, more mobile deuterons will be created. This 

in turn will increase the resistance of metal. This effect may have been recently observed by 

Celani et al. in deuterium gas loading experiments with Pd nanoparticles coated on a Pd wire 

[23]. 

5. Experimental Tests of Theoretical Predictions 

The first experimental test of the BEC mechanism for deuterium fusion with nano-scale Pd 

particles was carried out with Pd blacks loaded by high-pressure deuterium gas [16]. The result 

of this experiment shows no excess heat production. This may be due to the fact that Pd 

nanoparticles (Pd Blacks) used had too large sizes (80 nm – 180 nm) and were clumped 

together (not isolated). Furthermore, deuterium purity requirement was not satisfied. The recent 

report of deuteron gas-loading experiment by Arata and Zhang [3] show positive results of 

observing excess heat and 4 He production using ~ 5 nm Pd particles imbedded in ZrO2 and 

purified deuterium. For experimental tests of the predictions of the theory, it would be 

advantageous scientifically to use samples of Pd nanoparticles deposited on thin films such as 

Al2O3/NiAl(111) [24-26], even though bulk materials such as Pd nanoparticles imbedded in 

SiO2 aerogels [27] are more suitable for practical applications. Other possibilities are to use 

other metals such as Zr or Ti nanoparticles. In all cases, the theory requires that metal 

nanoparticles and micrograins are to be separated from each other by boundaries. 

Tests based on the average size of metal particles: From Eq. (6) with N=ND(π/6) D , we 

1 6 

1/3 2 

obtain R t(D trap) Dtrap or D trap, 

where Dtrap is the average trap diameter, assuming 

610 

3 

trap 

N or N , 

respectively. This can be tested experimentally. This result provides a theoretical justification 

for using 50 Å Pd nanoparticles to maximize the total fusion rates. 

Tests based on the temperature dependence: Since the probability Ω of the BEC ground 

state occupation increases at lower temperatures (Ω ≈ 1 near T ≈ 0), the total fusion rate Rt will 

increase at lower temperatures, Rt(Tlow) > Rt(Thigh). However, Rt is proportional to ND where 

ND is the total number of mobile deuterons. Since ND(Tlow) < ND(Thigh), we expect Rt[ND(Tlow)] 

< Rt[ND(Thigh)]. The above opposite temperature dependences for Rt will complicate analysis of 

the temperature dependence of Rt. 

Tests for reaction products and heat after death: Some examples of this type of tests are (1) 

to look for micro/nano-scale craters/cavities and hot spots with micro/nano-scale fire-work like

star tracks at Pd nanoparticle sites, before and after death, and (2) to measure neutron energies 

to check the reaction products carries kinetic energies of 2.45 MeV from the secondary reaction 

{2}, and Q{5}/N ~keV from reaction {5}. 

Tests for increase of resistance: Resistance of the metal should be measured to test predicted 

increase of resistance during the BECNF process. 

Tests for scalability: One example is a scalability test based on the total number of Ntraps. Since 

we have R N R N for the same R , we have theoretical prediction, 

t trap trap trap trap 

R 30g Pd particles 

t 

/ R 3g Pd particles 

≈10, etc., which can be tested experimentally. 

t 

6. Conclusion and Summary 

Theory of the BEC mechanism described in this paper provides a consistent conventional 

theoretical description of the results of many experimental works started by Fleischmann and 

Pons in 1989 and by many others since then [1], including the recent work of Szpak, Mosier- 

Boss, and Gordon [2] and the most recent work of Arata and Zhang [3]. Theory is based on the 

concept of nuclear Bose-Einstein condensate state for mobile deuterons trapped in a 

micro/nano-scale metal grain or particle, which acts as a confinement or trapping potential, 

similar to a magnetic trap used to observe the atomic BEC phenomenon with atoms in 1995 

[11-13]. To validate this new concept of the nuclear BEC phenomenon, experimental tests for a 

set of key theoretical predictions are proposed. Scalabilities of the observed effects are also 

discussed. 

References 

1. P.L. Hagelstein et al., “New Physical Effects in Metal Deuterides”, Proceedings of ICCF-11 

(Marseille, France, 2004), Condensed Matter Nuclear Science, pp. 23-59, World Scientific 

Publishing Co., Singapore (2006) and references therein. 

2. S. Szpak, P.A. Mosier-Boss, and F.E. Gordon, Proceedings of ICCF-11, Condensed Matter 

Nuclear Science, pp. 359-373 World Scientific Publishing Co., Singapore (2006); S. Szpak, 

et al., Proceedings of ICCF-14 (2008); S. Szpak, P.A. Mosier-Boss, and J.J. Smith, Physics 

Letters A 210, 382-390 (1996); S. Szpak, P.A. Mosier-Boss, and R.D. Boss, Fusion 

Technology 33, 38-51 (1998); P.A. Mosier-Boss and S. Szpak, Nuovo Cimento Soc. Ital. 

Fis. A 112, 577 (1999); S. Szpak, P.A. Mosier-Boss, C. Young and F.E. Gordon, 

Naturwissenschaften 92, 394-397 (2005) 

3. Y. Arata and Y.C. Zhang, J. High Temp. Soc 34 (2), 85 (2008) 

4. Y. E. Kim and A.L. Zubarev, Proceedings of ICCF-7, 186 (1998) 

5. Y.E. Kim and A.L. Zubarev, “Nuclear Fusion for Bose Nuclei Confined in Ion Traps”, 

Fusion Technology 37, 151 (2000) 

6. Y.E. Kim and A.L. Zubarev, “Ultra Low-Energy Nuclear Fusion of Bose Nuclei in Nano- 

Scale Ion Traps”, Italian Physical Society Proceedings (ICCF-8) 70, 375 (2000) 

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8. Y.E. Kim and A.L. Zubarev, Proceedings of ICCF-11, Condensed Matter Nuclear Science, 

pp. 711-717, World Scientific Publishing Co., Singapore (2006) 

611

9. S.N. Bose, Z. Phys. 26, 178 (1924); A. Einstein, Sitz. Preuss Akad. Wiss. 1924, 3 (1924) 

10. A. Griffin, et al., Bose-Einstein Condensation, Cambridge, New York, NY (1995) 

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12. C.C. Bradley, et al., Phys. Rev. Lett. 75, 1687 (1995) 

13. K.B. Davis, et al., Phys. Rev. Lett. 75, 3969 (1995) 

14. Y. Fukai, The Metal-Hydrogen System, Second Edition, Springer Berlin Heidelberg New 

York (2005) 

15. Q.M. Barer, Diffusion in and through Solids, Cambridge University Press, New York, NY 

(1941) 

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(Massachusetts, USA, 2003), Condensed Matter Nuclear Science, pp. 789-799, World 

Scientific Publishing Co., Singapore (2006) 

17. B.D. Esry, Phys. Rev. A 55, 1147 (1997) 

18. P.A.M. Dirac, The Principles of Quantum Mechanics, second edition, Clarendon Press, 

Oxford 1935, Chapter XI, Section 62. 

19. N. Bogolubov, “On the Theory of Superfluidity”, Journal of Physics 11, 23 (1966) 

20. P.A.Mosier-Boss,et al., Naturwissenschaften, DOI 10.1007/s 00114-008-0449-x, 

Supplemental Material 

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22. D. Letts and D. Craven, Proceedings of ICCF-11, pp. 159-170 (2006) 

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24. K.H. Hansen et al., Phys. Rev. Lett. 83, 4120 (1999) 

25. Sh. Shaikhutdinov, et al., Surf. Sci. 501, 270 (2002) 

26. M. Morkel, G. Rupprechter, and H.-J. Freund, Surf. Sci. 588, L209 (2005) 

27. Y.E. Kim, et al., Proceedings of ICCF-11, Condensed Matter Nuclear Science, pp. 703-710, 

World Science Publishing Co., Singapore (2006) 

612

Complexity in the Cold Fusion Phenomenon 

Hideo Kozima 

Cold Fusion Research Laboratory 

597-16 Yatsu, Aoi, Shizuoka, 421-1202 Japan 

Abstract 

Based on the similarity between cold fusion (CF) materials and such systems as 

cellular automata and a set of recursion relations that occur in phenomena 

characterized by complexity, we show that typical experimental data sets 

obtained in the cold fusion phenomenon (CFP) are qualitatively explained using 

concepts of complexity. Using the adjustable parameter nn introduced in the 

Trapped-Neutron Catalyzed Fusion model for the CFP, as a parameter 

specifying a set of recursion relations, classic experimental data sets such as 

those by Fleischmann et al. (1989), De Ninno et al. (1989), and McKubre et al. 

(1993) have been reexamined as typical examples showing some phases of the 

CFP related with complexity. Thus, we have to expect only qualitative or 

statistical reproducibility in the CFP and the controversial questions such as 

quantitative reproducibility and controllability of events in the CFP should be 

considered meaningless. 


It is well known now that complex dynamical systems consisting of many interacting 

components (sub-units or agents) exhibit behavior called complexity [1, 2] that is interesting 

but at the same time is not an obvious consequence of the known interaction among the agents. 

The complexity includes such phenomena as (1) emergence, which refers to the appearance of 

laws, patterns or order through the cooperative effects of the agents, (2) fractals, complex 

geometric shapes with fine structure at arbitrarily small scales [3] and (3) power-laws, the 

average frequency of a given size of event is inversely proportional to some power (close to 1) 

of its size [4] in out-of-equilibrium states, and (4) chaos, which appears in a property of some 

non-linear dynamical systems showing extreme sensitivity to initial conditions and long-term 

aperiodic behavior that seems unpredictable [5]. 

The cold fusion phenomenon (CFP) in CMNS (condensed matter nuclear science) or SSNP 

(solid-state nuclear physics) including various events occurs automatically or induced by 

external effects in various complex systems consisting of many interacting components 

(agents) in various manners [6, 7]. The external effects include thermal neutrons, electric field, 

temperature change, irradiation of laser or charged particle beam, etc. 

The relation between the complexity and the CFP has been explored in our works [6, 8]. 

There are several features of the CFP corresponding to characteristics of the complexity such as 

the inverse-power relation, the bifurcation and chaos; thus, we can understand that the CFP is a 

phenomenon characterized by nonlinear interactions between multi-component agents in the 

613

system composed of host nuclei and hydrogen isotopes both in periodic arrays and in ambient 

thermal neutrons. 

In this paper, we investigate qualitatively further relations between mathematical models of 

complexity and the CFP. It is shown that the cellular automaton and a set of recursion 

equations have common characteristics with CF materials where the CFP occurs. The 

mathematical tools used in these mathematical models could be used in investigation of events 

in corresponding events of the CFP. 

2. Complexity in Systems with Nonlinear Interactions between Components 

2.1 The Cellular Automata and the CFP 

A very interesting situation arises in systems consisting of a lattice of identical boolean 

components interacting locally in space. Such dynamic systems are referred to as cellular 

automata [1, §3.12]. A factor in the CFP closely related to the cellular automata is the 

occupation number of hydrogen isotopes in a host lattice if we assume the latter is perfect. The 

occupation number X(ri ; t) of D or H (D/H) at a site ri ≡ (xi, yi, zi ) and a time t satisfies the 

following relation: 

X(ri ; t +1) ≡ X(xi, yi, zi ; t +1) = Fi ({X(rj ; t)}) (2.1.1) 

where {X(rj ; t)} is a set of values X(rj ; t) for rj adjacent to ri and Fi({X(rj ; t)}) ≡ Fi is a 

function characterizing the change of the occupation number of D/H at ri by processes in the 

system such as (1) diffusion of D/H and (2) consumption of D/H by nuclear reactions n + d = t 

+ ф, n + p = d + ф and so forth (ф means phonons in these equations). 

The function Fi is therefore a function of the parameter nn (number density of thermal 

neutrons in the CF material) of the Trapped-Neutron Catalyzed Fusion model if we use the 

model to describe the CFP. 

2.2 Recursion relations and the CFP 

Recursion equations xn+1 = λ f(xn) have been investigated in nonlinear dynamics for its 

usefulness to describe a variety of problems [9]. From our point of view, it is interesting to 

notice that a few experimental data obtained in the CFP seems to have characteristics of the 

type seen in recursion equations, which suggests complexity in the CFP. 

2.2.1 Recursion Relations 

The recursion relations 

xn+1 = λ f(xn), (2.2.1) 

which have been well investigated in nonlinear dynamics, have interesting characteristics, as 

shown by Feigenbaum [9]. A large class of recursion relations (2.2.1) exhibiting infinite 

bifurcation possesses a rich quantitative structure – essentially independent of the recursion 

functions f(x) – when they have a unique differentiable maximum x. With f(x) – f(x) ~ |x – x| z 

(for |x – x| sufficiently small) and z > 1, the universal details depend only upon z. In particular, 

614

the local structure of high-order stability sets is shown to approach universality rescaling in 

successive bifurcations, asymptotically by the ratio α (α = 2.5029078750957… for z = 2) [9]. 

We can investigate the CFP from the point of view described by the recursion relations 

(2.2.1). The cold fusion phenomenon (CFP) contains events related to nuclear reactions 

accompanying excess energy production. In these events, we have experimentally determined 

parameters governing the occurrence of the CFP such as the loading ratio η (=D/Pd, H/Ni, etc.), 

temperature T, current density i to the cathode in electrolytic and discharge systems, etc. The 

events also show a characteristic of the recursion relations (2.2.1). 

2.2.2 Structure of the Population (Density) Equation 

The recursion equations (2.2.1) provide a description for a variety of problems. For example, 

a discrete population (density) satisfies the formula 

pn+1 = f(pn), (2.2.2) 

which determines the population (density) at one time in terms of its previous value [9]. 

The events we observe in the CFP seem to belong to this type of quantities obeying the 

relations (2.2.1) as we have partly shown in recent works [8]. 

If the population (or density) referred to is such that of a dilute group of organisms (or agents 

e.g. the density of trapped neutrons nn in the CFP), then the population (density) equations, 

pn+1 = b pn, 

accurately describe the population (density) growth with a growth rate b so long as it remains 

dilute, with the solution of the equation 

615 

(2.2.3) 

pn = p0 b n . (2.2.4) 

For a given species of organism (agent) in a fixed milieu, b is a constant – the static birth rate 

for the configuration. 

As the population grows, the dilute approximation will ultimately fail: sufficient organisms 

(agents) are present and mutually interfere. At this point, the next value of the population 

(density) will be determined by a dynamic or effective birth rate beff: 

pn+1 = beff pn 

with beff < b. Clearly, beff is a function of p, with 

(2.2.5) 

limp→0 beff (p) = b, (2.2.6) 

the only model-independent quantitative feature of beff. It is also clear that 

limp→∞ beff (p) = 0. (2.2.7) 

Accordingly, the simplest form of beff to reproduce the qualitative dynamics of such a 

population (density) should resemble Fig. 1, where beff (0) = b is an adjustable parameter.

A simple specific form of beff (p) is written with a constant a; 

so that 

beff (p) = b – a p, (2.2.8) 

pn+1 = beff pn – a pn 2 . 

By defining pn ≡ (b/a)xn, we obtain the standard form of logistic difference equations (l.d.e.) 

xn+1 = b xn (1 – xn). (2.2.9) 

In (2.2.9), the adjustable parameter b is purely multiplicative. With a different choice of beff, 

xn+1 would not in general depend upon b in so simple a fashion [9]. Nevertheless, the internal b 

dependence may be (and often is) sufficiently mild in comparison to the multiplicative 

dependence that at least for qualitative purposes the internal dependence can be ignored. Thus, 

with f(p) = p beff(p), any function like Fig. 1, 

pn+1 = bf(pn) (2.2.10) 

is compatible and representative of the population (density) equation discussed in [9]. 

Figure 1. Dependence of f(p) = p beff(p) on p after Feigenbaum [9]. 

To investigate the structure of the population (density) equation (2.2.9), we can use such a 

study of the l.d.e. as given by J. Gleick [5]. 

3. Discussion – The Cold Fusion Phenomenon in Composite Systems with 

Hydrogen Isotopes 

As discussed in the preceding two subsections, the CF systems where the CFP occurs have 

characteristics common with cellular automata and the set of recursion equations which are 

well investigated mathematically. We discuss further here only the relation of the CFP with 

cellular automata. 

616

Cellular automata, explained in Section 2.1, have a corresponding structure to the CF 

systems. In the present situation of analysis of the CFP, it is difficult to determine the exact 

form of the function Fi in Eq. (2.1.1) for an event in the CFP. A possible investigation of a 

cellular automaton in the CFP is facilitated on the quantal approach given by us [6 §3.7]. The 

number of neutrons ni(τ) is a function of values of ni(τ’) and ni’(τ’) where τ = τ’ + dτ’; 

ni(τ) = f(vnp(ii’j; τ’)). (3.1.1) 

Unfortunately, this approach is not complete, and we are far from a position of being able to 

determine the functional form Fi in Eq. (2.1.1) or f in Eq. (3.1.1) which will be objects of future 

works. 

Acknowledgement 

This work is supported by a grant from the New York Community Trust. 

References 

1. G. Nicolis and I. Prigogine, Exploring Complexity – An Introduction, Freeman and Co., 

New York, 1989. ISBN 0-7167-1859-6. 

2. R. Parwani, Complexity – A Lecture Note, Posted at National University of Singapore 

website; http://staff.science.nus.edu.sg/~parwani/c1/node2.html 

3. S. H. Strogatz, Nonlinear Dynamics and Chaos, Westview, 1994. ISBN-10 0-7382-0453-6, 

p. 398 

4. M. M. Waldrop, Chaos, Touchstone, 1992. ISBN 0-671-76789-5. p. 305 

5. J. Gleick, Chaos, Penguin books, ISBN 0-14-00.9250-1 

6. H. Kozima, The Science of the Cold Fusion Phenomenon, Elsevier Science, 2006. ISBN- 

10: 0-08-045110-1. 

7. E. Storms, The Science of Low Energy Nuclear Reaction – A Comprehensive Compilation 

of Evidence and Explanations about Cold Fusion, World Scientific, Singapore, 2007. 

ISBN-10 981-270-620-8 

8. H. Kozima, “The Cold Fusion Phenomenon as a Complexity (3) – Characteristics of the 

Complexity in the CFP” Proc. JCF8, pp. 85 – 91 (2008) and also Reports of CFRL (Cold 

Fusion Research Laboratory), 7-3, pp. 1 – 7 (2007); 

http://www.geocities.jp/hjrfq930/Papers/paperr/paperr13.pdf 

9. M. J. Feigenbaum, “Quantitative Universality for a Class of Nonlinear Transformations” J. 

Statistical Physics, 19, 25 – 52 (1978). 

617

Nuclear Transmutations in Polyethylene (XLPE) Films and 

Water Tree Generation in Them 

Hideo Kozima and Hiroshi Date* 

Cold Fusion Research Laboratory (hjrfq930@ybb.ne.jp) 

597-16 Yatsu, Aoi, Shizuoka, 421-1202, Japan 

*Recruit R&D Staffing Co., Ltd. 

Abstract 

An explanation of the nuclear transmutation (NT) observed in XLPE (crosslinked 

polyethylene) films is presented based on the neutron-drop model used in 

the theoretical investigation of the cold fusion phenomenon in other cold fusion 

materials (CF materials); transition-metal hydrides/deuterides. The NT’s, K → 

Ca, Mg → Al, 56 26Fe → 57 26Fe and Fe → Ni, are explained by a single-neutron 

absorption with or without a succeeding beta-decay to get final nuclides. On the 

other hand, the NT’s, 56 26Fe → 64 30Zn and 56 26Fe → 60 28Ni, are explained by an 

absorption of a neutron drop 8 4Δ and 4 2Δ, respectively, in the cf-matter formed in 

CF materials. Production of extraordinary elements Li, Pb and Bi is discussed 

from our point of view. Thus, we concluded that the generation of water trees in 

XLPE samples is caused by nuclear reactions induced by cold fusion 

phenomenon at around spherulites. The NT found in XLPE may have a relation 

with the NT’s found in biological bodies (biotransmutation). 


We have tried to explain the wide-spread experimental facts in the cold fusion phenomenon 

(CFP) from a unified point of view using a phenomenological models, the trapped neutron 

catalyzed fusion model (TNCF model) at first [1] and then the neutron-drop model (ND 

model), a generalized version of the former [2]. It should be remembered here that the 

development of the model demands an explanation for NT’s with large changes of the nucleon 

and proton numbers observed in the CFP. 

In the process of verification of the basic premises of these successful models, we have 

developed a quantal investigation of the CF materials such as transition metal 

hydrides/deuterides composed of a host lattice of transition metals and interlaced lattice of 

interstitial protons/deuterons [3]. It was shown that it is possible for cf-matter to exist when it is 

composed of neutron drops A ZΔ with Z protons, Z electrons and (A – Z) neutrons in a dense 

neutron liquid at boundary /surface regions of the crystals. 

Recently, Kumazawa et al. [4, 5] observed the nuclear transmutation (NT) in XLPE 

(closslinked polyethylene) including water trees, and then detected weak mission of gamma or 

X-rays from similar samples [6]. Their results show, generally speaking, that water trees are 

formed macroscopically at boundaries of XLPE samples and microscopically at amorphous 

618

portions of the sample among spherulites composed of crystalline lamellae. Use of heavy water 

instead of light water did not show any positive effect on the occurrence of NT [5] 

The NT observed in the XLPE films by Kumazawa et al. [4–6] has characteristics in 

common with CF materials as a part of the CFP. Therefore, it is natural to apply the same 

model (TNCF model) [1, 2] to explain the NT in XLPE that successfully explained the NT in 

the CF materials [3]. 

2. Experimental Facts about Water Tree in Cross-linked Polyethylene 

(XLPE) 

We give an explanation of characteristics of the experimental data sets obtained by 

Kumazawa et al. [4 – 6] in this section. 

2.1 Summary of Experimental Data Sets obtained by Kumazawa et al. 

We can summarize the experimental results obtained by Kumazawa et al. [4–6] as follows: 

In the experiments, a XLPE (cross-linked polyethylene) sheet 0.5 mm thick was used. Au 

was deposited as a ground electrode onto the bottom surface of the sample. Then, the sample 

was dipped in aqueous solutions of electrolytes (a) KCl, (b) NaCl and (c) AgNO3 to make the 

Blank samples. The Blank samples were placed in the aqueous solutions, and electric fields 

with high -frequency (2.4–3.0 kHz) and high-voltage (3.0 – 4.0 kV/mm) were applied between 

the voltage application wire above the sample and the ground electrode for 140 – 320 hours to 

obtain “the samples after voltage application” (let us call them the Experimental samples, for 

simplicity). Quantitative analysis of elements were performed for (I) the Original, (II) the 

Blank and (III) the Experimental samples for three electrolytes (a) KCl, (b) NaCl and (c) 

AgNO3. In the case (c), there are no data on the blank samples but data on the two distinct 

regions selected visually (i) with water trees and (ii) without water trees. 

Characteristics in the changes of elements from (I) the Original to (II) the Blank and (III) the 

Experimental samples were summarized as follows: 

In case (a) (KCl), 

(1) K decreased and Ca increased, 

(2) 56 Fe decreased and 57 Fe increased, 

(3) 64 Zn increased while other isotopes of Zn decreased. 

In case (b) (NaCl), 

(4) Mg decreased and Al increased in which the gross weight of the two elements was hardly 

different compared to the Blank or the Original samples. 

In case (c) (AgNO3), 

(5) Fe decreased and Ni increased, 

(6) New elements Li, Na, Pb and Bi were detected, and 

(7) There are changes of elements in both regions with and without water trees. 

619

Furthermore, there are interesting features of the blank samples (II) in case (a); 

(8) In Blank samples, Mg and Ca are increased from those in the Original one while Fe is 

decreased. 

In their second paper, [5] Kumazawa et al. reported detection of weak and burst-like 

radiation, which they assumed was low energy gamma or X-rays. In the CFP, there are a few 

observations of gamma and X-rays but they are peripheral (cf. Section 6.3 of [1] for the data of 

gamma ray observation). We concentrate our investigation in this paper to the data reported in 

the first paper [4]. 

3. Explanation of Nuclear Transmutation in XLPE by the TNCF Model 

3.1 Microscopic Structure of Polyethylene (PE), Lamella and Spherulites in XLPE 

The lengths of the C-C and C-H bonds of PE are estimated as 1.54 and 1.09Å, respectively. 

The carbon chain is composed of tetrahedrally connected carbons with an angle between two 

C-C bonds of 109.5 degree. A lamella has a lattice structure with ordered carbon nuclei (lattice 

nuclei) interlaced with ordered protons even when the structure is not so simple, as in the case 

of transition-metal hydrides/deuterides. The size of spherulites, crystal components of solid 

polyethylene, also depends on conditions in which the sample is produced and ranges from ≃ 1 

μm to ≃ 1 mm, in general. The ratio of portions occupied by crystalline component and 

amorphous component of a solid PE sample depends also on the conditions. 

3.2 Cold Fusion (CF) Matter in XLPE 

It is natural to investigate nuclear transmutations observed in XLPE with the same 

phenomenological approach as that used to analyze the CFP observed in transition-metal 

hydrides/deuterides as a first step. 

We have to notice common factors in transition-metal hydrides/deuterides and XLPE if we 

take the point of view explained above. First of all, (1) there are crystalline structures of host 

and hydrogen isotopes in both cases. Second, (2) the reaction products of nuclear 

transmutations were found localized in boundary or surface regions of crystalline structure in 

both cases. Third, (3) the neutron affinity we have defined to specify responsibility of nuclides 

for the CFP [1, 2] is positive (favorable for the CFP) for C (2.22 MeV for 6 12C) in XLPE and Ti 

(0.602 for 22 48Ti, for instance), Ni (4.80 for 28 58Ni), Pd (2097 for 46 105Pd) in transition-metal 

hydrides/deuterides. Lattice constants of CF materials are tabulated in Table 1. 

Table 1. Lattice constants of host nuclides lattices 

Host nuclides Lattice constants (Å) 

Ti (hcp) a = 2.95, c = 4.792 

Ni (fcc) a = 3.52 

Pd (fcc) a = 3.89 

XLPE 

(orthorhombic) 

a = 7.40, b = 4.93, c = 2.53 

620

From our point of view, the super-nuclear interaction between neutrons mediated by 

protons/deuterons in lattice nuclei (carbon in the case of XLPE), cross-linking in XLPE is 

decisive; cross-linking protons (covalent bonded to two carbon atoms) mediate the interaction 

of neutrons in carbon nuclei 12 6C on adjacent PE chains. 

3.3 Explanation of Nuclear Transmutation in XLPE where observed Water Trees 

We give explanations of the seven characteristics of the nuclear transmutations (NT) in 

XLPE giving counterparts in the CFP for reference. 

(1) Decrease of K and increase of Ca in the case (a) are explained by such a reaction in the 

solids by absorption of a neutron followed by beta decay with a liberated energy ΔE = 1.31 

MeV; 

n + 39 19K → 40 20K * → 40 20Ca + e — + νe, (σnK39 = 2.10 b) (3-1) 

where νe is an electron neutrino. As a measure of the reaction cross-section in solids we cited 

the value in free space in the parenthesis behind the equation. 

(2) Decrease of 56 26Fe and increase of 57 26Fe in the case (a) are similarly explained but without 

beta decay due to the stability of 57 26Fe with an energy Q = 1.15 keV transferred to the lattice 

system instead of gamma ray emission in free space; 

n + 56 26Fe → 57 26Fe + Q. (σnFe56 = 2.81 b) (3-2) 

(3) Increase of 64 30Zn and decrease of 66 30Zn, 67 30Zn and 68 30Zn in the case (a) are explained by 

using the neutron drop A ZΔ, for example; 

56 26Fe + 8 4Δ → 64 30Zn. (3-3) 

The decrease in other isotopes may be explained by nuclear reactions to transform them into 

other elements but its details are left for another work. 

(4) Increase of Al and decrease of Mg in the case (b) are explained by reactions similar to (3-2) 

with Q = 7.08 MeV and Q’ = 12.11 MeV and a reaction similar to (3-1) with ΔE = 2.61 MeV. 

n + 24 12Mg → 25 12Mg + Q. (σnMg24 = 0.05 b) 

n + 25 12Mg → 26 12Mg + Q’. (σnMg25 = 0.19 b) 

n + 26 12Mg → 27 12Mg * → 27 13Al + e — + νe. (σnMg26 = 0.04 b) 

(5) Decrease of Fe and increase of Ni in the case (c) are explained similarly with use of the 

neutron drop, for example; 

56 26Fe + 4 2Δ → 60 28Ni. 

Thus, we may imagine the following scenario of growth of a water tree: (i) a NT of impurity 

nuclides occurs at a boundary region heating there by a liberated energy, (ii) a seed of a water 

tree is induced by the liberated energy, and (iii) the applied high-frequency electric field makes 

the water tree grow. 

621

The NT’s in phenanthrene [7] may have close relation with that in XLPE discussed in this 

paper. 


The authors would like to express their thanks to Hiroshi Yamada of Iwate University and 

Takao Kumazawa of Chubu Electric Power Co. for their valuable discussions on the work by 

Kumazawa et al. 

This work is supported by a grant from the New York Community Trust. 

References 

1. H. Kozima, Discovery of the Cold Fusion Phenomenon – Evolution of the Solid State- 

Nuclear Physics and the Energy Crisis in 21st Century, Ohtake Shuppan KK., Tokyo, 

Japan, 1998. ISBN 4-87186-044-2 (§10.1 Bio- transmutation) 

2. H. Kozima, The Science of the Cold Fusion Phenomenon, Elsevier Science, 2006. ISBN- 

10: 0-08-045110-1. 

3. H. Kozima, “Physics of the Cold Fusion Phenomenon” Proc. ICCF13 (2007, to be 

published). 

4. T. Kumazawa, W. Nakagawa and H. Tsurumaru, “A Study on Behavior of Inorganic 

Impurities in Water Tree” Electrical Engineering in Japan 153, 1 – 13 (2005). 

(Experiment with Light Water) 

5. T. Kumazawa, W. Nakagawa and H. Tsurumaru, “Experimental Study on Behavior of 

Bow-tie Tree Generation by Using Heavy Water” (in Japanese) IEEJ Trans. FM, 126, 863 

– 868 (2006). (Experiment with Heavy Water) 

6. T. Kumazawa and R. Taniguchi, “Detection of Weak Radiation Involving Generation and 

Progress of Water Tree” (in Japanese) IEEJ Trans. FM, 127, 89 – 96 (2007). (Experiment 

with Light Soft and Hard Waters) 

7. T. Mizuno, K. Kurokawa, K. Azumi, S. Sawada and H. Kozima, “Heat Generation during 

Hydrogenation of Carbon (Phenanthrene)”, Proc. ICCF14 (to be published). 

622

Exploring a Self-Sustaining Heater without Strong Nuclear 

Radiation 

Xing Z. Li 1 , Bin Liu 1 , Qing M. Wei 1 , Shu X. Zheng 2 and Dong X. Cao 2 

1 Dept. of Physics, and 2 Dept. of Engineering Physics, Tsinghua University, Beijing, CHINA 

Abstract 

The comparison between the new 3-parameter formula and the old 5-paramter 

formula for five major fusion cross-sections strongly confirms the selective 

resonant tunneling model which forms the physical basis of a self-sustaining 

heater without strong nuclear radiation. The development of condensed matter 

nuclear science is not contrary to all understanding gained of nuclear reactions 

in the last half century, but instead it improves our knowledge of the nuclear 

physics of resonant tunneling of the Coulomb barrier. The detection of neutrino 

emission from metal deuterides is proposed as a decisive step to further develop 

this model. 


Building a self-sustaining heater without strong nuclear radiation is the fundamental goal of 

the world-wide research into cold fusion, or condensed matter nuclear science (CMNS). After 

19 year we have reached the stage of demonstration (Arata and Zhang’s experiment[1]), 

correlation between the excess heat and the surface features (Violante et al. [2]). We still need 

an explanation of why there is no strong neutron emission or gamma radiation from CMNS 

experiments. The study on the nuclear fusion cross-section of the light nuclei just provided 

such an explanation. 

Early in 1972, Duane[3] did a survey on the theory of the nuclear fusion of the light nuclei. 

He found that there was not enough experimental data to do a detailed study. However, based 

on the Breit-Wigner formula, he developed a 5-parameter formula to describe the available 

experimental data. He tried to reduce the number of the parameters, but he found that at least 5 

parameters were necessary to fit the cross-sections for major fusion reactions. This 5-parameter 

formula was adopted in a Handbook of Plasma Formulary edited by Naval Research 

Laboratory (NRL) in 1978[4]. As a result, this 5-parameter formula has been widely cited in 

the plasma fusion community. In 1992, Bosch and Hale[5] developed a better 9-parameter 

formula based on the newly available experimental data and the R-matrix theory for nuclear 

reactions. Bosch and Hale pointed out that the 5-parameter formula was not correct at the low 

energy region, because it did not give the right dependence on energy. Nevertheless, this 5parameter 

formula is still cited in the Plasma Formulary even in the new edition in 2007[6]. 

In 1999, an identity was derived for the nuclear fusion cross-section[7]. This new identity 

clearly showed the resonant effect using a complex quantity: W defined as the cotangent of the 

phase shift. When the real part of W equals 0, there will be a resonance. When the imaginary 

part of W equals (-1), the resonant effect will reach its maximum possible. This new identity 

623

explains why there is no neutron emission or gamma radiation accompanied with the “excess 

heat” in CMNS. We call it selective resonant tunneling theory. In 2008, it was found that the 

real part of W depended on the incident energy linearly, and the imaginary part of W was 

almost a constant. This immediately led to a 3-parameter formula for the fusion cross-section of 

the light nuclei. This new 3-parameter formula gives an even better fit with newly available 

experimental data than the 5-parameter formula does, because the astrophysical S-function in 

the 3-parameter formula includes a new term which is directly related to the selectivity of the 

resonant tunneling[8]. Therefore, the comparison with experimental data has confirmed the 

existence of the cold fusion phenomenon. 

2. 3-parameter formula 

The nuclear fusion cross-section may be written as [7]: 

( 4Wi 

) 

( E) 

2 2 

2 

k Wr 

( Wi 

1) 

(1) 

if the S-partial wave is dominant. Here, W is related to the phase shift, , of the S-partial wave 

as W Cot 

. When Coulomb field is applied to describe the repulsion between two charged 

reactant nuclei, W is the coefficient in the linear combination of the regular and irregular 

Coulomb wave functions. We have shown that the main dependence of W on energy is in the 

form of Gamow factor[7,8]: 

2 

W w. 

(2) 

 

2 

Exp[ 

] 1 

kac 

. 

2 

(3) 

Here, k is the wave number of the interacting particle in the system of mass center; ac is length 

2 

4 

o 

of the Coulomb unit. w is defined as the reduced coefficient. ac 

. Z 2 1e and Z 2e are 

Z Z e 

the electrical charges of the colliding nuclei, respectively. is the Planck constant divided by 2 

, is the reduce mass, o is the dielectric constant of the vacuum. We found that the real 

part of this reduced coefficient, w, may be written as 

wr C1 

C2E 

, (4) 

The imaginary part of w may be approximated by a constant. Here, E is the kinetic energy of 

the incident particle in the laboratory system. Consequently, the fusion cross-section may be 

expressed as a function of 3 parameters (C1,C2,and wi) only, 

1 ( 4wi 

) 1 ( 4wi 

) 

( E ) 

 

(5) 

2 2 

2 2 

k 2 1 2 

2 1 2 

w ( ) 

 

r w 

k 

i 

( C 

2 

1 C2E) 

( wi 

) 2 

 

 

624 

1 

2

The upper row of Fig. 1 shows the results of fitting this 3-parameter formula (5) to the 

experimental data for D+T, D+ 3 He, and D+D fusion reactions, respectively. 

3-Parameter Selective Resonant Tunneling Formula 

Figure 1. Selective resonant tunneling formula for D+T, D+ 3 He, and D+D 

The upper row of Fig. 2 shows the results of fitting this 3-parameter formula (5) to the 

experimental data for T+T and T+ 3 He fusion. Table I gives the values of three parameters (C1, 

C2, and wi) for each case. In these figures, the black points are the experimental data from The 

National Nuclear Data Center (ENDF/B VII.0 [9]). The solid lines are the results of calculation 

using 3-parameter formula (5). The dotted lines in the lower row of figure 1 and 2 are the 

results of calculation using the following 5-parameter NRL formula (6) with the parameters 

(A1, A2, A3, A4 and A5) listed in that NRL Plasma Formulary[4,6]. 

 

1 1 A 

2 

( E) 

A5 

2 

A 

 

 

E 1 ( A4 A3 

) 1 

exp[ ] 1 

E 

 

E 

5-Parameter NRL Formula 

D+T D+He3 D+D 

625 

(6)

T+T Fusion CrossSection (Barn) 

T+T Fusion Cross Section (Barn) 

0.18 

0.16 

0.14 

0.12 

0.10 

0.08 

0.06 

0.04 

0.02 

0.00 

0 1000 2000 3000 4000 

0.18 

0.16 

0.14 

0.12 

0.10 

0.08 

0.06 

0.04 

0.02 

3-Parameter Selective Resonant Tunneling Formula 

Triton Energy in Lab. (keV) 

ENDF/B VI 

3-Parameter Fit 

0.00 

0 1000 2000 3000 4000 

Triton Energy in Lab. (keV) 

T+T 

Figure 2. Selective resonant tunneling formula for T+T and T+ 3 He fusion. 

Table I. PARAMETER LIST FOR 3-PARAMETER FORMULA 

D+T D+ 3 He D+D (p+T&n+ 3 He) T+T T+ 3 He 

C1 -0.54168 -1.13575 -60.2913 -36.7805 2.78836 

C2 * 

0.0055601 0.0030453 0.05068 0.00927803 0.000959464 

wi -0.39189 -0.67162 -55.0122 -24.5337 -1.04059 

*C2 is in unit of (1/keV) when E in the Eq. (5) is the incident energy in the laboratory system in 

units of keV. 

It is clear that the 5-parameter formula gives a comparable result only in the case of the D+T 

fusion. In all the other cases, NRL 5-parameter formula is not able to give the right position of 

the peak and the height of peak of the cross-section. On the other hand, this new 3-parameter 

formula is able to give the right position and the height of the peak of the cross sections, 

626 

T+He3 Fusion Cross Section (Barns) 

T+He3 Fusion Cross Section (Barns) 

0.05 

0.04 

0.03 

0.02 

0.01 

5-Parameter NRL Formula 

ENDF/B-VI 

5-Parameter Fit 

3-Parameter SRT Formula (Barn) 

ENDF/B VII.0 (Barn) 

0.00 

0 200 400 600 800 1000 

0.05 

0.04 

0.03 

0.02 

0.01 

Triton Energy in Lab. System (keV) 

ENDF/B VII.0 (Barn) 

5-Parameter NRL Formula (barn) 

0.00 

0 200 400 600 800 1000 

Triton Energy in Lab. System (keV) 

T+He3

ecause this new 3-parameter formula includes a new term in its denominator with a strong 

1 2 

2 

2 

energy dependence: i.e. ( wi 

) ( w 

) 

2 

i 

. 

 

2 

Exp[ 

] 1 

ka 

3. A New Term in the Astrophysical S-function 

The astrophysical S-function was introduced in astrophysics and nuclear physics in order to 

1 

extract the geometric factor, , and the Gamow factor, from the cross-section. It was 

2 

2 

k 

 

thought that the remaining astrophysical S-function is supposed to be a slowly varying function 

to express the INTRINSIC nature of the nuclear state. In Duane's 5-parameter formula, only 

2 

the ( A4 A3E 

) term shows the resonant nature of the nuclear state. Bosch and Hale attempted to 

improve the energy-dependence of the astrophysical S-function using 2 polynomials with 9 

parameters. In this 3-parameter formula, a new term has been introduced into the denominator 

of the astrophysical S-function. This new term depends on the energy as rapidly as the Gamow 

factor does. The comparison with the experimental data strongly confirmed that it is important 

to include this new energy-dependence in the denominator of the astrophysical S-function, and 

it is not simply an expression of the INTRINSIC nature of the nuclear state only(it includes a 

factor related to Coulomb field outside the nuclear potential well). 

4. The Matching of the Channel Width of Energy 

In order to see the physical meaning of this new term, we rewrite the cross-section in the 

form of Breit-Wigner formula. 

( ain 

) 

( E) 

; 

2 

k 

2 a 

in 

2 

( E E 0 ) ( ) 

2 

 

2 

2wi 

C1 

with in 

; ; E0 

. 

2 

a 

(7) 

C2 

C2 

C2 

2 

This new term is related to the incident channel width, in , and the parameter wi is 

2 

C2 

2wi 

related to the absorption channel width, a 

C2 

. It is well known that the matching between 

the incident channel width and the absorption channel width is very important for the resonant 

C1 

tunneling process. When the incident energy, E, approaches the resonant energy, E0 , 

C2 

the cross-section has a peak. The height of the peak depends on the matching strongly. Only if 

the incident channel width matches the absorption channel width, a in ; then, cross-section of 

resonance reaches its maximum possible. Otherwise, even if there is a resonance, it might not 

be observable because of the mismatching between the incident channel width and the 

absorption channel width( a in or a in ). In the case of condensed matter nuclear 

627 

c

science, the incident energy is so low that the incident channel width, in , is very narrow. This 

means that the absorption channel width, a , must be very narrow in order to observe the 

resonant tunneling process. Therefore, only the long lifetime resonant state might appear as a 

result of resonant tunneling at low energy. The neutron emission or gamma radiation could not 

be the products of the resonant tunneling at low energy because their lifetimes of resonant state 

are too short to match the incident channel width (i.e. a in 

628 

). Only the weak interaction 

process might be involved in low energy resonant tunneling of Coulomb barrier. This explains 

the cold fusion phenomenon “excess heat” without commensurable neutron emission or 

gamma radiation. This is just the physical basis we have sought for 19 year in pursuit of a selfsustaining 

heater without strong nuclear radiation. 

5. Hot Fusion Data Imply Existence of Cold Fusion Phenomena 

If we use a spherical square-potential well to describe the nuclear interaction inside the 

nuclear potential well, the real part and the imaginary part of the potential depth and the radius 

of the potential well (U1r, U1i, and a) are just the 3 parameters related to these 3 parameters in 

our formula (C1, C2, and wi). Hence, it is possible to use the hot fusion data to figure out the 

nuclear potential well. Once we have the nuclear potential well, it is possible to predict if there 

is a resonance when the incident energy is approaching zero (i.e. in the case of CMNS). 

In mathematics, the resonance simply means the wave function reaches almost its maximum 

at the interface between the nuclear potential well and the Coulomb barrier, because this 

boundary condition of the wave function will make the amplitude of the wave function 

enhanced inside the nuclear potential well. Figure 3 shows the hot fusion data for the p+D → 

3 He+γ fusion process. 

P+D Fusion Cross Section (Barn) 

6.0x10 -8 

5.0x10 -8 

4.0x10 -8 

3.0x10 -8 

2.0x10 -8 

1.0x10 -8 

NNDC(CSISRS) 

3-Parameter 

0.0 

0 5 10 15 20 25 30 35 

Proton Energy (Lab.) keV 

3 

Figure 3. p D 

He

We may fit these hot fusion data using U1r=-43.90 MeV, U1i=-0.0233 eV, and 

a=3.9458×10 -15 m, as shown in Fig. 4. 

Figure 4. When Coulomb field is replaced by molecular well in a crystal, the nuclear potential is assumed 

unchanged 

When the deuteron and proton are trapped in palladium crystal, the nuclear potential is 

supposed to be the same as that in the beam-target situation. Then we are able to calculate the 

phase of the wave function at the boundary between nuclear potential well and the molecular 

well in crystal (Fig. 4): 

2 

 

Re[ k1a] Re[ ( E U 2 

1r iU1i ) a] 

2.98 ( ) 

E0 

 

2 

629 

(8)

When the incident energy approaches zero, the phase of wave function just approaches 3π/2. 

This means that the wave function reaches almost the maximum at the interface between the 

nuclear potential well and the molecular well in crystal. (See the dot-dash-dot line for the wave 

function in Fig. 4). Hence, it predicts that the resonant tunneling may appear when deuteron 

and hydrogen are trapped inside the palladium crystal lattice. 

The match between the incident channel width and the absorption channel width implied that 

the product of resonant tunneling in CMNS should be the product of a weak nuclear interaction. 

The calculation shows that K-capture of electrons by deuteron followed by a decay of triton is 

the possible candidate for this weak interaction[10]: 

 

p d e T 

( 5. 

474MeV 

) 

3 

T 

He e 

~ ( 18 keV) 

3 

p d 

He 

 

~ ( 5. 

492MeV 

) 

The anomalous helium-3 and the triton in condensed matter nuclear processes are the 

experimental evidence [11] for this assumption. The recent successful repetition of 3 deuteron 

fusion reaction experiments at NRL provided an additional strong evidence of this long lifetime 

2 deuteron resonant state in the titanium crystal as well[12]. 


(1) Nineteen years ago, some nuclear physicists alleged that the cold fusion phenomenon is 

contrary to all understanding gained of nuclear reactions in the last half century [13]. Indeed, 

after careful study of the nuclear physics accumulated in the last half century it is found that the 

hot fusion data themselves imply the existence of the cold fusion phenomenon. 

(2) A 3-parameter formula is proposed to replace that 36 years old 5-parameter formula with 

better fit to experimental data: 

 

 

2 

4 

wi ( ) M 

 

a 

1 1 

 

( E) 

 

E 2 

 

exp[ ] 1 

 

 

 

2 

Z 2 2 

aZ be M a ( C1 C2E ) ( wi 

 

) 

2 

2 0 

2E 

Za Zbe M a 

exp[ ] 1 

2 0 2E 

 

 

 

Here E is the incident energy in the laboratory system, (Ma, Zae) and (Mb, Zbe) are the mass 

and electrical charge of the projectile and target, respectively. For convenience, we substitute 

all the constants in the formula, and leave only (ma, Za) and (mb, Zb) in this unified formula as: 

630 

(9) 

(10)

2 

16389 wi ( ma mb 

) 

( Elab 

) 

(11) 

 

 

2 31.4Za Zb 

2 2 

2 

mamb E 

 

lab Exp 

 

1 

 

 

 

[( C1 C2Elab ) ( wi 

 

) ] 

E 

lab 

 

 

 

m 

a 

31.4Z 

aZ b 

Exp 

 

1 

 

 

 

E 

lab 

 

m 

a 

Here, Elab is the incident energy in the laboratory system in unit of keV. For deuteron incident, 

(ma, Za)=(2,1), etc. (C1, C2, wi) is from Table I and II. 

(3) Detection of neutrino emission from the metal deuterides would be a critical step for the 

research of the condensed matter nuclear science because the selective resonant tunneling of 

Coulomb barrier at very low energy must be accompanied neutrino emission which is the 

necessary products of any weak interactions. 

There are four possible sites for neutrino detection: DUSEL (South Dakota, USA), KamLand 

(Japan), Gran Sasso(Italy), and Da-Ya Bay (Canton, China). The positive results of neutrino 

detection from the metal deuterides would finally turn over the world view on CMNS research 

Acknowledgments 

This research is supported by the Natural Science Foundation of China(#10475045), the 

China Association of the Science and Technology, The Ministry of Science and Technology 

(Fundamental Research Division), Tsinghua University (Basic Research Fund (985-II)). 

References 

1. Arata, Y., and Zhang, Y-C., Proceedings of ICCF-14, Washington D.C., Aug. 10-15, 2008. 

2. Violante,V. et al., Proceedings of ICCF-14, Washington D.C., Aug.10-15, 2008. 

3. Duane, B. H., “Fusion cross section theory”, in annual Report on CTR Technology 

1972(WOKENHAUER, W.C. Ed.), Rep.BNWL-1685, Battelle Pacific Northwest 

Laboratory, Richland, WA (1972). 

4. Book, D. L., NRL Plasma Formulary, Naval Research Laboratory, Washington D.C. 

(Revised 1980) p.44. 

5. Bosch, H. S., Hale, G. M., Nuclear Fusion 12 (1992) 611. 

6. Huba, J. D., NRL Plasma Formulary, Naval Research Laboratory, Washington D.C. 

(Revised 2007) p.44.( Indeed there was another mistake in the citation of NRL Plasma 

Formulary. The reference [28] there “Rept.BNWL-1685 (Brookhaven National Laboratory, 

1972) ” should be corrected as “Rept.BNWL-1685(Battelle Pacific Northwest Laboratory, 

1972), p.76”. This mistake was pointed out early in 2002[14].) 

7. Li, X. Z., Tian, J., Mei, M. Y., and Li, C. X., Phys. Rev. C 61 (2000) 024610. 

8. Li, X. Z., Liu, B., Chen, S., Wei, Q. M., and Hora, H., Laser and Particle Beams 22 (2004) 

469. 

631

9. Chadwick, M. B., Oblozinsky, P., Herman, M., at al.,"ENDF/B-VII.0: Next Generation 

Evaluated Nuclear Data Library for Nuclear Science and Technology", Nuclear Data Sheets, 

vol. 107, pp. 2931-3060, 2006. 

10. Chen, S., Li, X. Z., “Tritium Production and Selective Resonant Tunneling Model”, 

Proceedings of ICCF-9, May 19-24, 2002, Beijing China, Ed. X. Z. Li, (Tsinghua Univ. 

Press), p.42 

11. Mamyrin, B. A., Khbarin, L. V., and Yuderich, V. S., “Anomalously High Isotope Ratio 

3 4 

He/ He in Technical-grade Metals and Semiconductors,” Sov. Phys. Dokl. 23(8). Aug. 

1978, p. 581. 

12. Hubler, G. K., et al., private communication. August, 2008. 

13. ERAB, Report of the Cold Fusion Panel to the Energy Research Advisory Board. 

November, 1989, Washington, DC. DOE/S-0073 DE90 005611 

14. Li, X. Z., Fusion Sci. and Tech. 41 (2002) 63. 

632

A Model for Enhanced Fusion Reaction in a Solid Matrix of 

Metal Deuterides 

K. P. Sinha a and A. Meulenberg b 

a Department of Physics, IISc, Bangalore 560012, India (kpsinha@gmail.com) 

b HiPi Consulting, Frederick, MD, USA (mules333@gmail.com) 

Abstract 

Our study shows that the cross-section for fusion improves considerably if d-d 

pairs are located in linear (one-dimensional) chainlets or line defects. Such nonequilibrium 

defects can exist only in a solid matrix. Further, solids harbor 

lattice vibrational modes (quanta, phonons) whose longitudinal-optical modes 

interact strongly with electrons and ions. One such interaction, resulting in 

potential inversion, causes localization of electron pairs on deuterons. Thus, we 

have attraction of D + – D - pairs and strong screening of the nuclear repulsion 

due to these local electron pairs (local charged bosons: acronym, lochons). This 

attraction and strong coupling permits low-energy deuterons to approach close 

enough to alter the standard equations used to define nuclear-interaction crosssections. 

These altered equations not only predict that low-energy-nuclear 

reactions (LENR) of D + – D - (and H + – H - ) pairs are possible, they predict that 

they are probable. 

Introduction 

The central idea of this paper is that the solid matrix in which LENR takes place provides 

conditions such as: (1) confinement of deuterons (or deuterium atoms) in linear chains or in 

line defects, (2) dynamical solid-state modes (phonons), which can store and exchange energy, 

and (3) the strong interaction between appropriate phonon modes (particularly longitudinaloptical 

modes) with electrons and ions. The resultant resonant D + -D - pairs in this environment 

permit attractive forces and/or strongly-screened repulsive forces, rather than the normallyexpected 

strong-repulsive Coulomb forces between positively-charged nuclei. These options 

are not available in a gaseous plasma, or in materials that lack (at least) short-range order. 

It is a goal of this paper to provide an understandable, standard-physics basis (under special 

conditions) for the extensive body of results presently available from LENR. 1 

Model 

Let us consider a linear chain of deuterons surrounded by an equal number of electrons. The 

Hamiltonian for such a system is 2 

where the electron contribution is 

H = He + HL + HeL + A, (1) 

633

He = Em C + m Cm + tmn (C + m Cm + h.c). (2) 

Here the C + m (Cm) denote the electron creation (annihilation) operators in the Wanneir state 

|m>, at site “m” with spin . Em is the onsite single-particle energy of the electron and tmn = - 

|t| is the nearest-neighbor hopping integral. The lattice Hamiltonian is 

HL = ħD m (d + m dm + ½ ), (3) 

where D is the vibration frequency of the deuterium atom D (taken as an Einstein oscillator) 

and with d + m (dm) denoting the phonon creation (annihilation) operators. 

The interaction of electrons with the above phonon modes is described by 

HeL = għD C + m Cm (d + m + dm), (4) 

where g is a dimensionless coupling constant. The last term in Equation 1, A, is a constant 

negative energy due to negative space charge in the channel. Note that in a low-dimension 

(one or two) structure, the potential energy between two deuterium atoms is much deeper and 

negative, relative to that of atoms in a 3-D lattice. 3 A suitable unitary transformation 4,5 leads to 

a displaced harmonic oscillator [d ' m (dm + )] and, in the transformed total Hamiltonian, the 

on-site single-electron energy E * m = Em – Ed, with Ed = g 2 ħD; the hopping integral (in 

Equation 2) 

and the electron effective mass 2 

t * mn = tmn exp(-g) 2 ; (5) 

m * = me exp[Ed /ħD] = me exp[g 2 ]. (6) 

Even for a very conservative value of g 2 = 1.6, this will give m * = 5me (see below Equation 9). 

Let us now consider the situation of two deuterons and two electrons in a chain. This 

introduces Coulomb repulsion (Ue) between two electrons about an atom at site “m” in the 

same orbital state |m>, but having opposite spin. The displacement transformation 

(C + m) * = C + m exp [-g (dm – d + m)], (7) 

gives the effective Hamiltonian and the various parameters are obtained as 

E * m = Em - Ed; Ue * = Ue – 2 Ed ; and t * = |t| exp [- g 2 ] (8) 

For U < 2Ed, U * becomes negative. Thus, there is potential inversion for the 2 electrons in the 

singlet state and they will form a small on-site localized pair, a sort of composite boson 

(lochon) 2,6 . Under this condition, the D - state will be more stable (has lower energy) than the 

neutral atom D (though not necessarily more stable than the D + = d state). This would lead to 

the existence of D + -D - pairs. They would exist in the resonating state, D - -D + D + -D - , further 

reducing their energy and inter-nuclear distance. 

Strong Screening 

Bound electrons reduce the effective charge of nuclei. An occasional transfer of one such 

electron between two deuterium atoms forms a transient electron pair within a D + -D - pair. At 

634

separations larger than the orbital radius of the electrons, this transfer changes a neutral 

relationship to an attractive one. At separations smaller than a fraction of the orbital radius of 

the electrons, it still gives a significant reduction in “effective” Coulomb repulsion between the 

nuclei. This effective potential will be represented by 

Ud* = ((e * ) 2 /r ) = (e 2 /r) (1- exp [-as/L]) , (9) 

where as is the strong-electron-screening length, L = (ħ/mL * L) is the rationalized deBroglie 

wavelength 1 of the lochon, mL * being the effective mass of the lochon, and L its speed (as 

determined from its energy in the atomic and molecular potential wells of the two deuterons) . 

This screening by lochons is a short-range effect and reduces the repulsive potential between 

reacting nuclei (deuterons here). Screening by itinerant electrons is weak in this range 

(relative to that of the bound electrons) and hence not considered here. 7 

The coupling into an optical-phonon mode, along with the attractive potential of the D + -D - 

pair, briefly produces a nearly 1-D encounter that greatly increases the potential-well depth of 

this short-lived “molecule.” 

Penetration Factor and Cross Section 

Next, we discuss the fusion reaction of a screened d-d reaction in 1-D. For an incident 

particle of effective charge e * , the penetration factor P(l, Ea) decreases rapidly with its 

decreasing total energy, Ea, where l is its orbital angular-momentum state. In this low-energy 

situation, particles in an l = 0 state contribute most. 8 We have: 

1/2 

2 

2 2 

P(0, E ) (V (R)/E ) exp[-2 

(| k - (2M / )(e*) /r) |) 

a 

o 

a 

 

635 

r0 

R 

 

r0 

1/2 

1/2 

(V (R)/E a ) exp [-2 k (| 1- 

(r /r) |) dr] , (10) 

o 

where k is the wave vector of particle a, Md is the reduced mass of two deuterons, and with 

Vo(R) = (e *2 )/R: 

R 

o 

d 

1/2 

dr] 

ro = (e * ) 2 2Md/ħ 2 k 2 , R

where k 2 = (2 Md Ea / ħ ) = Md 2 r 2 / ħ and Md, Ea, as , and L are as above. The critical 

difference between this development 9 and the prior work (standard model) is a factor of 2 in 

the exponent that exists in the regular solution and is gone here (valid at least for r => R). 

The key values in the present model are those calculated for the deBroglie wavelengths for 

the lochon and the deuterons, as a function of d-d gap, and the value taken for as. This value is 

the screening provided by the bound electrons/lochon and is given in Ichimaru 7 (page 9) based 

on the ion-sphere model. Normally this is ½ the sum of the atomic-orbital radii for the charge 

state of the two atoms [aij = (ai + aj)/2]. In our model, aij = 0.53A for the D-D case and, since 

we can ignore the radius of the bare deuteron, aij = ~ 0.3A for the D + - D - case. So, we assume a 

range of values between the initial value as = aij /2 (the Bohr radius divided by 2 since we 

are using L in the equation) and that of the 1-D case (as described above and under the 

appropriate circumstances), which will reduce as by up to an order of magnitude. 

The value of L varies from ~10 -9 down to ~10 -10 cm, while the lochons accelerate between 

the deuterons and the Coulomb field grows as the gap shrinks. This large lochon size, relative 

to the nuclear-interaction distances, is a major limitation for strong screening. However, being 

bound, the electron/lochon screening of the deuterons increases with kinetic energy (i.e., as 

orbits shrink), rather than decreasing as is the case for free electrons. The 1-D nature of the 

problem affects the electron s-orbital orientation, in that the electron/lochon direction of motion 

is along the d-d axis, and therefore this localization and the velocity-induced shrinkage of L 

(along the d-d axis) aids in the screening. 

Reaction Rate 

The reaction rate (per cm 3 per second) for d-d- fusion with lochon screening is given by 

Rdd = r * dd KBTL 2 Nd 2 /ħ [(e 2 /ħ r) (1 – exp (-as/ L)] 

x exp [-(e 2 /ħ r )(1 – exp (-as/ L))] ; (14) 

where r * dd = ħ 2 /2 MN e 2 is the nuclear Bohr radius for a pair of deuterons; MN is the average 

mass per nucleon 1.66 x 10 -24 gm; KB is the Boltzmann constant; T is the temperature (with 

KBTL 2 having dimensions of energy x area); and Nd is the concentration of deuterons per unit 

volume. 

The model presented in the foregoing section is more appropriate for reaction on the surface 

or defect-plane in the lattice. The reaction rate is the number of effective collisions of 

deuterons per unit area per sec. To convert to this picture, set KBTL 2 => KBTL = energy x 

length and set Nd => NS = number of deuterons per unit area (rather than per unit volume). 

636

637 

The results of Equation 14, 

modified for surfaces, are 

plotted in Figure 1, taking some 

acceptable values of the 

parameters involved. However, 

the figure plots the reaction rate 

assuming that 100% of the 

available lattice sites are 

actively involved. It is likely 

that only a percentage of the 

sites can be made to contribute 

to LENR. Three values of as/L 

(1, 0.2, and 0.1) have been 

selected for the lochon case. 

Figure 1 The D + - D - reaction 

rate (for a surface), as a 

function of D + - D - separation 

distance, for three ratios of 

as/L (1, 0.2, & 0.1). 

Conclusion 

In the foregoing sections, we have presented a model incorporating conditions in the 

condensed matter state that can facilitate fusion of deuterons aided by interaction of electrons 

with phonon modes of the system. The cross-section of the reaction improves considerably 

owing to the presence of d-d pairs in line defects and with strong screening provided by bound 

electron pairs (lochons). However, only a mechanism, such as D + and D - pairing can bring the 

deuterons close enough to permit a modified standard nuclear model to predict LENR. 

Recent experiments by several workers, in which the material (e.g., powder or particles), is 

taken to be in the nanometer range, suggest that the creation of large surface area plays an 

important role. 10 These surfaces may provide the required active sites, in the 2-D geometry that 

can harbor lochons and D + + D - ion pairs. Our computed reaction rate is found to be > 10 14 per 

cm 2 per second (Figure 1) for two-dimensional surfaces, in agreement with the estimate of 

some workers. 

The role of optical-phonon modes is important for their bringing the D + + D - pairs together, 

for coupling of ions to electrons, and as a source of resonant coupling to provide the required 

surface-mode excitation (surface plasmon or phonon) that can lead to enhanced-optical 

potentials. Recent work, on excitation of surface plasmon/polaritons with “tuned” lasers, 11,12 

indicates the importance of this mechanism, where the induced-optical potential aids the fusion 

reaction by several orders of magnitude. The known presence of resonant D + + D - ion pairs in 

the solid state (coupled via optical phonons) greatly increases the d-d interaction cross-section

y altering the shape of the Coulomb barrier to the extent of requiring a change in the equations 

normally used in nuclear physics. 


This work is supported in part by HiPi Consulting, New Market, MD, USA, by the Science 

for Humanity Trust, Bangalore, 560094, India, by the Science for Humanity Trust, Inc, Tucker, 

GA, USA, and by the Indian National Science Academy. 

References 

1. P. L Hagelstein, M. McKubre, D. J. Nagel, T. A. Chubb and R. J. Jekman, Report to DOE, 

USA (2004). 

2. K. P. Sinha, Infinite Energy 29, 54 (2000). 

3. S.H. Patil, J. Chem. Phys. 118, 2197 (2003). 

4. A. P. B. Sinha and K.P. Sinha, Ind. J. Pure and Appl. Phys. 1, 286 (1963). 

5. I. G. Lang and Yu. A. Firsov, Sov. Phys. JETP, 16, 1301 (1963). 

6. P.W. Anderson, Phys. Rev. Lett. 34, 953 (1975). 

7. S. Ichimaru, Statistical Plasma Physics, Vol II, Condensed Plasmas (Addison – Wesley 

Pub. Comp. 1994). 

8. J. M. Blatt and V. F. Weisskopf, Theoretical Nuclear Physics, (Wiley & Sons, N.Y., ‘52). 

9. K. P. Sinha and A. Meulenberg, “Lochon Catalyzed D-D Fusion in Deuterated Pd in the 

Solid State,” Nat. Acad. of Sc. (India) Letters, Vol.30, No. 7&8, 2007, 

(arXiv:0705.0595v1) 

10. D. J. Nagel, “Proc. of the 13 th International Conf. on Cold Fusion, Sochi, Russia (2007). 

11. K.P. Sinha and A. Meulenberg, Current Science, 91, 907 (2006), (arXiv:condmat/0603213). 

12. D. Letts and P. L. Hagelstein, “Stimulation of Optical Phonons in Deuterated Palladium,” 

this proceedings. 

638

Optimal Operating Point Manifolds in Active, Loaded 

Palladium Linked to Three Distinct Physical Regions 


JET Energy, Inc. Wellesley, MA (USA) 




639

Analysis and Confirmation of the “Superwave-as- 

Transitory–OOP-Peak” Hypothesis 

Mitchell R. Swartz 1 and Lawrence P.G. Forsley 2 

1 JET Energy, Inc. Wellesley, MA 02481 (USA) 

2 JWK Technologies Corporation, Annandale, Virginia 




653

Dynamic Mechanism of TSC Condensation Motion 

Akito Takahashi 

Technova Inc. 

The Imperial Hotel Tower, 13 th Fl., 1-1, Uchisaiwai-cho 1-chome, Chiyoda-ku, Tokyo 100- 

0011 Japan 

Abstract 

This paper gives further discussions and explanations on the time-dependent 

quantum-mechanical behaviors of electron-clouds in 4D/TSC condensation 

motion by Langevin equation, in comparison with steady ground state electron 

orbits and their de Broglie wave lengths for D-atom and D2 molecule. 


The formation of 4D/TSC (tetrahedral symmetric condensate) at T-sites of a regular PdD 

lattice under D-phonon excitation, or on topological (fractal) nano-scale surface of PdDx and/or 

along interface of metal-oxide-metal nano-composite was proposed as seeds of deuteron-cluster 

fusion to produce heat with helium-4 as 4D fusion ash 1) . Dynamic motion of TSC condensation 

was quantitatively studied by the quantum-mechanical stochastic differential equation 

(Langevin equation) for many-body cluster systems of deuterons and electrons under Platonic 

symmetry 2-6) . 

This paper gives further discussions and explanations on the time-dependent quantummechanical 

behaviors of electron-clouds in 4D/TSC condensation motion, in comparison with 

steady ground state electron orbits and their de Broglie wave lengths for D-atom and D2 

molecule. 

2. Condensation Motion of 4D/TSC by Langevin Equation 

The basics of methods with Langevin equations for D-cluster dynamics, especially for Datom, 

D2 molecule, D2 + ion, D3 + ion, 4D/TSC (tetrahedral symmetric condensate) and 6D 2- 

/OSC (octahedral symmetric condensate) are described in our latest paper 4) and book 6) . 

First one-dimensional Langevin equations for D-clusters with the Rdd (d-d distance) are 

formulated under the Platonic symmtery 2,6) of multi-particle D-cluster systems with deuterons 

and quantum-mechanical electron centers. Under the orthogonally coupled Platonic symmetry 

for a Platonic deuteron-system and a Platonic electron system, dynamic equations for so-manybody 

system of deuterons and electrons with metal atoms a simple one-dimensional Langevin 

equation for the inter-nuclear d-d distance Rdd can be formulated, as we showed in our previous 

papers 4,6) . The Langevin equation of electron-cloud-averaged expectation value of d-d distance 

Rdd for D-cluster is given by, 

N 

e 

m 

d 

2 

d R 

2 

dt 

k 

2 

R 

 

N 

f 

V 

R 

s 

 

f ( t ) 

663 

(1)

This is the basic Langevin equation for a Platonic symmetric D-cluster having Ne d-d edges and 

Nf faces of “d-d-e” (D2 + ) or “d-e-d-e” (D2) type. Here, R is the d-d distance and md is the 

deuteron mass, Vs is the d-d pair trapping potential of either “d-e-d-e”-type (i=2) or “d-d-e”type 

(i=1) molecule. The first term on the right side in Eq. (1) is the total Coulomb force 

converted to a one-dimensional variable R, of D-cluster system, and f(t) is the fluctuation of 

force for which we introduce quantum mechanical fluctuation of deuteron positions under 

condensation motion. The quantum mechanical effect of electron clouds is incorporated with 

the second term of right hand side as “friction” in Langevin equation. Parameters for different 

D-clusters are given in Table 1. 

Cluster Ne: Number of 

d-d edges 

Table 1: parameters of D-cluster Langevin equation 

K: Total 

Coulomb Force 

parameter 

(keVpm) 

664 

Type of electron 

trapping 

potential on a 

surface 

Nf: number of 

faces 

D2 1 0 i = 2 1 

D2 + 

1 0 i = 1 1 

D3 + 

3 6.13 i = 1 6 

4D/TSC 6 11.85 i = 2 6 

6D 2- /OSC 12 29.3 i = 1 24 

By taking QM ensemble average with d-d pair wave function, assumed as Gaussian 

distribution, we derived Langevin equation for 4D/TSC. By taking QM ensemble average we 

obtained Eq. (2) for expectation value we obtained the time-dependent TSC-cluster 

trapping potential 3) shown in Eq. (3). 

6 m 

V 

tsc 

d 

d 

( R 

2 

': 

dt 

R 

R 

dd 

2 

dd 

11 . 85 

 

2 

R 

dd 

 

6 

V 

s 

( 

 

R 

dd 

R 

; m , Z ) 

 

dd 

6 . 6 

( R ' 

R 

R 

dd 

4 

dd 

11 . 85 

R ' 

R dd ( t ) 

( t )) 6V 

s ( R dd ( t ); m , Z ) 2 . 2 

(3) 

4 

R ( t ) 

[ R ( t )] 

dd 

Similar Langevin equation and trapping potential were derived for 6D 2- ion molecule also 4,6) . 

We compared central potential curve (at R’=Rdd ) in Fig. 1. The balancing to the Platonic 

symmetry after distortion (deviation from symmetry) works by the 3 rd term of Eq. (3). We 

found that 4D(or H)/TSC can condensate ultimately to very small charge neutral entity and has 

no stable or ground state. This may be the reason that we do not observe D4 molecule in nature. 

On the contrary, the 3D + molecule and 6D 2- molecule have stable and ground states 4,6) . 

Equation (2) was numerically solved by the Verlet method 3,6) , and the result is shown in Fig. 2. 

Time dependent barrier penetration probabilities (as a function of Rdd, since we have one-toone 

relation between elapsed time and Rdd(t)) were calculated by the Heavy-Mass Electronic 

Quasi-Particle Expansion Theory (Heavy Mass EQPET, HMEQPET) method 3,6) . 

dd 

) 

2 

3 

(2)

Figure 1. Comparison of cluster trapping potential between 4D/TSC and 6D 2- /OSC. TSC condenses 

ultimately to very small Rdd value (ends at Rdd-min=about 20 fm), while OSC converges at Rdd=about 40 pm 

(corresponding to the ground state). 

Figure 2. Numerical solution of Eq. (2) by the Verlet method 3) . Time is reversed starting from the 

condensation time 1.4007 fs. 

665

The fusion rate is calculated by the following Fermi’s golden rule 3,4,6) , 

nd 

2 

 

 

W 

21 

Pnd 

( r0 

) 3. 

04 10 Pnd 

( r0 

) W 

(4) 

Here Pnd is barrier factor for nD-cluster and is the averaged value of imaginary part of 

nuclear optical potential 3,4) . The extrapolation of value to 4d fusion was made 3) by using 

the scaling law W 

5 

( PEF ) with PEF-value which is given in unit of derivative of one pion 

exchange potential (OPEP) (a simple case of Hamada-Johnston potential 4) for the pion 

exchange model). We estimated the next value of 4D fusion yield per TSC generation, 

t c 

1 exp( ( t ) dt ) 

(5) 

4 d 0 

4 d 

Using time-dependent barrier factors, we obtained 3) 

4 1. 

0 d . This result means that we 

have obtained a simple result that 4D fusion may take place with almost 100% yield per TSC 

generation, so that macroscopic 4d fusion yield is given simply with TSC generation rate Qtsc in 

the experimental conditions of CMNS. 

The ultimate condensation is possible only when the double Platonic symmetry of 4D/TSC 

is kept in its dynamic motion. The sufficient increase (super screening) of barrier factor is 

also only possible as long as the Platonic symmetric 4D/TSC system is kept. Therefore, 

there should be always 4 deuterons in barrier penetration and fusion process, so that 4d 

simultaneous fusion should take place predominantly. The portion of 2D (usual) fusion 

rate is considered to be negligible 3) . The order (or constraint) of condensed matter incubates 

this 6) . Typical nuclear products of 4D fusion are predicted to be two 23.8 MeV α-particles, 

although the final state interaction of 8 Be* is complex, and yet to be studied 5,6) . 

3. Time Dependent QM Behavior of Electron Clouds 

We consider now the principle of dynamic condensation motion of TSC in the view of 

Heisenberg uncertainty principle (HUP). 

At the starting condition of 4D/TSC (t=0), d-d distance Rdd was estimated to be the same 

value (74.1 pm) as that of a D2 molecule. At this starting point, the mean electron kinetic 

energy of one “d-e-d-e” face EQPET molecule out of TSC 6 faces was 17.6 eV (19 eV by 

semi-classical model 6) ). During the non-linear condensation of TSC, the size of “d-e-d-e” 

EQPET molecule as a face of 4D/TSC decreases from Rdd=74.1 pm at t=0 to Rdd=20.6 fm at 

t=1.4007 fs. In the view of HUP, electron wave length should decrease accordingly to the 

decrement of Rdd. At around t=1.4007 fs, the mean kinetic energy of electron for “d-e-d-e” 

EQPET molecule was estimated 3) to be 57.6 keV. The original Langevin equation for D2 

molecule, before the quantum-mechanical ensemble averaging is done, as given by, 

2 

2 

2 

d Rdd 

e 2meve 

Vs2 

( Rdd 

; 1, 

1) 

md 

( 

4 2 2) 

 

f ( t) 

(6) 

2 

2 

dt 

Rdd 

( Ree 

/ 2) 

Rdd 

We consider the averaged force-balance between the first term and the second term of right 

side of Eq. (6), with ensemble averaging by weight of “adiabatic electron wave function” of 

666

modified 1S wave function with decreased de Broglie wave length during every small time step 

interval. Ree is the distance between two quantum mechanical electron centers. 

We understand that the effective quantum mechanical wave length of trapped electron in 

TSC has decreased dramatically in the 1.4007 fs condensation time. The estimated trapping 

potential depth of TSC at t=1.4007 fs was -130.4 keV. This state is understood as an adiabatic 

state in very short time interval (about 10 -20 s) to trap such high kinetic energy (57.6 keV) 

electrons in very deep (-130.4 keV) trapping potential, to fulfill the HUP condition. By the 

way, mean kinetic energy of relative d-d motion was estimated 3) to be 13.68 keV at this 

adiabatic state, which also diminished relative deuteron wave length trapped in the adiabatic 

TSC potential. In this way, very short Rdd (in other words, super screening of mutual Coulomb 

repulsion) was realized in the dynamic TSC condensation in very fast condensation time 

(tc=1.4007 fs) to give however a very large 4D simultaneous fusion rate 3,4) . 

We know that the ground state electron orbit (sphere) of D (or H) atom is the Bohr radius 

(RB=52.9 pm). The mean kinetic energy of 1S electron is 13.6 eV, the de Broglie wave length 

of which is 332 pm. And we know 2πRB=332 pm to satisfy the continuation of 1S electron 

wave function (same with the Bohr’s condition) by one turn around the central deuteron. No 

other states with shorter or longer wave length can satisfy the condition of smooth continuation 

of wave function, as ground state, for which we must in addition keep the condition that mean 

centrifugal force equals mean centripetal force. 

On the other hand, electron orbit in a “d-e-d-e” quasi-molecular system of a face of 4D/TSC 

under time-dependent condensation makes a spiral track, finally getting to the center-of-mass 

point of TSC, with tail of time-varying “relatively long” effective wave length. 

Similarly to the case of a D-atom, the ground state electron wave function of D2 molecule has 

a steady ground state torus (ring) orbit of two centers of electron clouds 4,6) . The mean kinetic 

energy of a centrifugal electron motion around the center-of-mass point (middle point of d-d 

distance) was calculated to be 17.6 eV, de Broglie wave length of which is 234 pm and equals 

to 2πRB/1.4142 to satisfy the smooth continuation of electron wave function along the torus 

orbit around the center-of-mass point. Dynamic motion of “d-e-d-e” 4 body system by 

Langevin equation (Eq. (6)) is illustrated in Fig. 3-a. When starting with an arbitrary electron 

wave length (or momentum), the center of electron cloud draws spiral orbit to converge finally 

to the steady torus (ring or circle) orbit with 234pm one turn length which equals to the ground 

state effective electron wave length of D2 molecule. When we have the strong constraint of 

TSC trapping potential, center of electron cloud draws spiral orbit time-dependently as shown 

in Fig. 3-b without converging ground state. Calculated mean (eigen) energy-values of D2 

molecule are Egs (ground state system energy) = -35.1 eV, Ec (mean Coulomb energy) = -70.3 

eV, Ed-d (mean relative deuteron energy) = 2.7 eV and Eke (mean electron kinetic energy) = 

35.2 eV for two electrons (17.6 eV per electron) 3,6,7) . 

As a result, centrifugal electron motion in a “d-e-d-e” face draws a spiral curve conversing to 

the central focal point as illustrated in Fig. 3-b. If we do not have the strong centripetal 

Coulombic condensation force by the first term of Eq. (1) right side, for 4D/TSC, “d-e-d-e” 

667

EQPET molecule must go back and converge to the ground state orbit of D2 molecule, as 

drawn in Fig. 3-a. 

4D/TSC has no steady ground state and effective electron wave length of a “d-e-d-e” face 

varies from time to time as illustrated in Fig. 3-b. 

The spiral motion of an electron center under 4D/TSC condensation is illustrated with an 

expanded scale (right figure), compared with the estimation of mean rotation number of 

electron in each discrete change of Rdd steps, as given in Fig. 7 of our detailed paper to 

JCMNS 7) . 

The electron center rotates about 6 times in each step of Rdd changes, as shown in Fig. 7 of 

Ref. 7. This means the time-dependent electron wave function distributes with “long” tail along 

the spiral orbit. This situation does not contradict the Heisenberg uncertainty principle, as 

steady ground state does not exist and particles are non-linearly moving from time to time. 


A further explanation on 4D/TSC condensation motion by quantum-mechanical stochastic 

differential equations (Langevin equations) has been given in this paper. 

Figure 3. Time dependent behavior of effective electron wave length, a) D2 molecule, b) “d-e-d-e” EQPET 

molecule of 4D/TSC 

The electron orbit in a “d-e-d-e” quasi-molecular system of a face of 4D/TSC under timedependent 

condensation makes a spiral track, finally getting to the center-of-mass point of 

668

TSC, with a tail of time-varying effective wave length. This does not contradict the Heisenberg 

uncertainty principle. A more detailed paper on this work will appear in JCMNS 7) . 

References 

1) A. Takahashi: A theoretical summary of condensed matter nuclear effects, J. Condensed 

Matter Nuclear Science, 1(2007)129-141 

2) A. Takahashi, N. Yabuuchi: Condensed matter nuclear effects under Platonic symmetry, 

Proc. ICCF13, Sochi, Russia, 2007 (to be published) 

3) A. Takahashi, N. Yabuuchi: Study on 4D/TSC condensation motion by non-liniear 

Langevin equation, LENR Source Book, American Chemical Society, 2007, to be published 

from Oxford Univ. Press, August 2008 

4) A. Takahashi, N. Yabuuchi: D-cluster dynamics and fusion rate by Langevin equation, Proc. 

8 th Int. Workshop on Anomalies in D/H Loaded Metals, Catania, Italy, 2007, to be 

published in 2008 

5) A. Takahashi: A chronicle of condensed cluster fusion models, Proc. JCF8, Kyoto, 2007, 

pp.51-62, Japan CF Research Society, 2008 

6) Akito Takahashi: “Cold Fusion 2008 – mechanism of condensed cluster fusion” (in 

Japanese), Kogakusha, Tokyo, 2008 

7) Akito Takahashi: Dynamic Motion of TSC Condensation Motion, submitted to JCMNS, 

September 2008 

669

Introduction to Challenges and Summary 

The field of LENR has all the challenges of any accepted part of science, plus the burden of 

gaining acceptance and recognition as a legitimate field of scientific inquiry. The normal 

challenges include the design and performance of sound experiments, and the development and 

application of theories to explain past observations or make predictions. They also include 

communications of results through discussions, presentations and journal articles. Now, all of 

these things do apply to LENR, although it is difficult or impossible to get many of the 

appropriate journals to even consider papers from scientists in the field. 

The problem of LENR becoming a recognized field of scientific research is very challenging. 

Acceptance as a part of science would have far reaching consequences. Now, in the US, 

responsible people in both the Congress and the Administration correctly assert that they are 

not scientists. They are waiting for the scientific community to examine LENR and pronounce 

judgment, not on its details, but only whether or not it should be considered as a science. 

Administrators in the US Patent and Trademark Office, who are not scientists, have the same 

refrain. They await scientists with relevant competencies to examine information on LENR and 

render an opinion on its being, or not being, part of science. Those responsible for 

documentation and communication of scientific results, the editors of scientific journals and 

magazines, also correctly assert note that they are not scientists (even though many of them 

were scientists earlier in their careers). They want others, who are now practicing (publishing) 

scientists, to examine results on LENR and say what they think about the field as a science. 

So, why is are key scientists individually and the scientific community, broadly considered, 

unwilling to (a) examine the evidence, (b) draw conclusions about the nature of work on LENR 

and (c) communicate them to other scientists and the public? Part of the reason is that most 

scientists are busy with their own research, and not willing to spend time on examining LENR 

information. There is, after all, little likelihood of either support or fame in such an activity. 

Some scientists are fear-filled as a result of the residual poor reputation of the field. They are 

afraid that their reputations would be tainted and, maybe, their careers destroyed. Then, there 

are a few very prominent and vocal ex-scientists who speak out against the field even though 

they seem not to be aware of key results from LENR research. They may have had strong 

scientific careers at one time, but they no longer contribute to the advancement of knowledge 

by actually doing research and publishing the results. Whatever motivates these people, money 

or ego or anything else, they do themselves and the field a real disservice. This is especially 

true in the case of LENR. 

It is uncertain if and when the current research phase of LENR will be the basis for practical 

energy sources. However, the prospects of small distributed nuclear power sources, without 

dangerous prompt radiation nor significant radioactive waste, deserves consideration. Those 

possibilities are in addition to the wonderful scientific challenge of understanding how it is 

possible to stimulate MeV nuclear reactions by using eV chemical energies. 

Whether or not LENR energy sources prove to be important, there are some basic 

requirements for the operation of LENR experiments. One of the most fundamental is 

replication. Hence, this conference included an invited paper by McKubre on replication. He 

670

defines it as the ability to demonstrate an effect of interest on demand. In that paper, McKubre 

provides an important summary of the temperature dependence of the ability to produce excess 

heat, as summarized in this table: 

Temperature Range Energy Gain in a LENR experiment 

Below 70°C 0 to 5 % 

70 to 99°C About 10 % 

At boiling Up to 150 % 

McKubre ends with the assertion that replication, however significant, is not as important as 

proving that the energy produced in LENR experiments is nuclear and not chemical. 

Swartz confronted the critical challenge of getting enough electrical power out of a LANR 

cell to do useful electrical work, and to feed back power to drive the cell in a steady-state 

condition, which he calls “renewable electricity”. Such as system is termed a “Self Sustaining 

Electrical Generator”. Swartz is particularly concerned with the poor energy conversion in 

going from heat to electricity, which he found to be in the range 13-19%. He also measured the 

ability to use energy from LANR to operate fuel cells. But, that was found to have high loses in 

both gas generation (13-20%) and water (energy) generation (54-69%). While high efficiencies 

were not achieved, this is an important start on the serious electrical generation from the heat 

generated by LANR electrochemical cells. 

The paper by David and Giles is in a class by itself. It seeks to directly convert the results of 

LENR into a voltage, rather than into heat that might then be transformed into electricity. Their 

gas phase device contains a mixture of powders of Pd and semiconductors. Voltages of 0.5 V 

have been measured. These authors note that the power to weight ratio in their device is similar 

to that of the first atomic pile made by Fermi and his team in Chicago in 1942. 

The question of the Fleischman-Pons effect being real and nuclear is the focus of two other 

papers in this section. In the first, Johnson and Melich provide a Bayesian probabilistic analysis 

for the criteria offered by Cravens and Letts as being necessary for the operation of the FPE. 

That set of criteria is in the first paper in the section on Heat Measurements in these 

Proceedings. They show that, on the basis of only eight papers, the likelihood ratio (the FPE 

Effect is real/the FPE Effect is not real) is over 10. This analysis could be usefully extended to 

include more papers. However, with only those few papers, the conclusion of the reality of the 

FPE effect (and its subsequent conclusion of necessarily being nuclear) is already quite robust. 

Kowalski also confronts the question of nuclear or not? He summarizes results for an 

affirmative conclusion in what he calls the “protoscience” of LENR. Excess heat, its correlation 

with Helium production, changes in isotope distributions, production of new elements, 

chemically-induced changes in radioactive decay rates and the emissions of high-energy 

photons and particles are cited. 

Grimshaw provided a study of modern approaches to Condensed Matter Nuclear Science. He 

advocates what is called “Open Source Science” or OSSc. This idea is modeled on the 

widespread use of open source software, for which there are many successful examples. He 

671

notes that the common usage of the internet by LENR researchers for posting papers and for 

discussions already makes the field part of Open Source Science. He asserts: “The prospects of 

cold fusion success may be significantly enhanced by extending the current informal and 

implicit use of OSSc-type methods to more organized and explicit deployment under the 

sponsorship of a recognized professional organization such as the International Society for 

Condensed Matter Nuclear Science.” 

A summary of ICCF-14 was written by Passel, and is the final paper in this section. In that 

paper, he provided both a sociological context and a review of a sampling of the results 

presented at the conference. Passel notes correctly that the field, although 20 years old, has 

done only a very small fraction of possible experiments. Many of us, who have been in the field 

since the outset, look forward to the day when LENR is a part of recognized scientific research 

with funding to attract new scientists with useful skills and equipments. Then, many more of 

the needed experiments will be done and reported. 

672

The Importance of Replication 

Michael C. H. McKubre 

Director, Energy Research Center 

Principal Scientist in the Materials Research Laboratory 

SRI International, Menlo Park, California 

Abstract 

Much discussion in the Condensed Matter Nuclear Science or “Cold Fusion” 

fields centers on the subject of replication. It is a topic that comes up in 

essentially every conversation about the Fleischmann Pons Effect (FPE). 

Assembled here is a set of essentially personal views on this subject of 

replication. 

Why is replication important? 

We might begin with the dictionary definition of replication as the action of copying or 

reproducing something [1]. More specifically in science we mean the repetition of a scientific 

experiment or trial to obtain a consistent result. Note that replication is defined in terms of 

reproduction and that the key test in science is consistency, not identicality. 

Reproducibility is the “Touchstone” of Scientific Method. Scientific method does not work if 

you cannot perform trials with different input parameters, learning something certain from the 

observed change in output. Critics argue that for something to be “not reproducible” means that 

it is “not science”, implying that it is “not real”. This last inference is a false argument. Reality 

and reproducibility are different concepts. 

If the effect one is attempting to study is rarely seen, then it is hard to study. It would be a 

great advantage for experimenters to have a more reproducible effect. But its lack does not 

make the effect unreal. Without quantitative reproducibility it is harder (but not impossible) to 

perform parametric studies which are the basis of the empirical method that we use to gauge the 

effect of input variables that should – or should not – influence the effect under study. 

What does it mean to “replicate”? 

Replicability conveys the ability to demonstrate the effect that you are observing and 

studying on demand. We can extend the definition and difficulty of replication to include the 

ability to transport and transplant a successful experiment from one laboratory to another. This 

is something that the group at SRI has been very much involved with. In the extreme case we 

would like the ability to interchange experiments between laboratories on the basis of a written 

instruction set alone. This is more or less the basis of US Patent Law that applies the test of a 

fictional “person having normal skill in the art” following written instructions (the Patent). 

Although we would consider ourselves to meet the standard of “normal skill” our experience in 

replication at SRI, in essentially every instance, written instructions alone have been 

673

insufficient to allow us to reproduce the experiments of others. It is not clear that this inability 

is limited to the FPE; other classes of replications have not been attempted. 

Another extreme and desirable condition particularly on the pathway to application is the 

ability to reproduce (in every case) the magnitude and timing of the effect. If one has an effect 

completely under control then the input variables lead immutably to the output variables. In this 

extreme case it is not necessary to perform the experiment, the result is predetermined. To have 

complete empirical understanding requires a comprehensive, quantitative, fundamental 

understanding of the effect under study. This can be based on physical theory, although it 

should be noted that many physical laws that represent apparently entirely reproducible and 

predictable phenomena are not so based. 

Have we succeeded? 

More particularly, to what extent have we succeeded? The answer depends on what one is 

looking at; what effect, what evidence? We have succeeded in a number of regards and I will 

go through some of the examples and review some evidence. It is appropriate to note that a 

number of effects claimed in the CMNS field have not been replicated with sufficient rigor or 

diversity to have achieved widespread support of success. 

We have certainly successfully transported and replicated the Fleischmann Pons Effect, by 

which is meant the production of nuclear level heat from the electrochemical stimulation of the 

heavy water – palladium system. This effect has been observed by hundreds of people in 

dozens of laboratories around the world, and published in hundreds of papers as recently 

reviewed [2, 3]. In fact the very breadth of diversity in experiment and calorimeter choice has 

contributed to the illusion of irreproducibility (although, as will be argued later, the primary 

cause of apparent irreproducibility is the lack of measurement and control of variables critical 

to the effect). 

The observation of 4 He also appears to meet the criterion of transportability. Miles and Bush 

were the first to demonstrate semi-quantitative correlation between the rates of creation of 4 He 

and excess heat [4]. That effect has now been observed in a number of laboratories around the 

world [5-7] including SRI [2, 8] with considerable assistance from Dr. Benjamin Bush. The 

Case experiment was successfully replicated at SRI [2, 8]. However, we were not able to 

replicate this experiment simply based on written instructions alone, and required the 

intervention of Dr. Leslie Case. The Arata experiment in its original form involving electrolysis 

of a double structured cathode [7] was successfully replicated at SRI [2, 8] after soliciting help 

from Professors Arata and Zhang. Again, however, we were also not successful in replicating 

this experiment simply based on published materials. 

Experiments involving laser triggering of excess heat by laser triggering of deuterium loaded 

palladium cathodes with specially modified surfaces were initially discussed by Letts and 

Cravens [9]. This class of experiments has been successfully transported from laboratory to 

laboratory although again requiring hands-on tuition and involving long periods of unexplained 

failure [10-12]. 

674

At SRI we have been unsuccessful in a number of attempts at experiment replication. We 

were not able at any time to reproduce the claims of heat from nickel – light water electrolysis 

experiments. We were able uncover one source of systematic error in the experimental 

procedures involving large area nickel – carbonate electrolyte experiments that blunted our 

interest. This inability should not be taken to mean that the claims are wrong or an effect not 

real, particularly in light of previous failures to replicate before personal, hands-on guidance 

was sought. We were not able to replicate the Patterson-CETI experiments [13]. Despite the 

very able hands on support of Dr. Dennis Cravens we were never able to observe an excess heat 

effect for this experiment in our mass flow calorimeters, although it is now understood that an 

important experimental element may have been lacking. A similar situation exists in respect of 

the Stringham [14] ultrasonically induced Pd-D2O excess heat effect using SRI mass-flow 

calorimeters, although this condition of uncertainty was exacerbated by the complexities of 

input energy measurement and coupling between the ultrasonic power source and the 

transducer and experiment. 

These last two cases (Patterson and Stringham) highlight a feature and two rules to be 

observed in any attempt to replicate calorimetrically an already difficult experiment and study a 

fragile effect. 

i. The calorimeter is part of the experiment. This is true whether the “effect” is a 

systematic error or an unexplained heat source. Changing the calorimeter may 

change the triggering or amplitude of the phenomenon under test. One simple 

example of this phenomenon is the extent to which the unaccounted excess heat 

changes the temperature of the experiment; other feedback systems are possible. 

ii. The experiment cannot be compromised and become subordinate to the 

calorimetric needs. If the experiment needs to be changed in any significant way 

to accommodate the requirements of the calorimetric method that is preferred (by 

some criterion or that happens to be on hand), then the test of replication is 

compromised. This condition can be relaxed only after all variables critical to the 

effect are known and measured. 

To the extent that it occurs, the lack of reproducibility is reflected in the magnitude, timing, 

gain, and termination of the effect. We perform intentionally identical experiments repeatedly 

and obtain clear evidence of the effect, but with variable (and inconstant) magnitude, variable 

initiation time, or the power and energy ratios output:input are not in every case the same. Even 

the termination of the experiment is not fully under experimental control. One may turn the 

stimulus off, discontinuing laser, ultrasonic, electrochemical current or other stimulus, and still 

continue to observe the effect, sometimes requiring minutes, hours or even days to decline to 

the thermal baseline. The effect may persist after discontinuation of all externally generated 

stimuli, the so-called “heat-after-death” or more logically “heat-after-life” effect. Thus we 

cannot even stop our experiments always on demand and we do not yet have quantitative 

reproducibility in any case of which I am aware. 

Every one of the CMNS subtopics still needs further research. To get from where we are to 

where we need to go requires a substantial level of physical materials support. Much as it was 

675

in the early days of semiconductors, today it is our materials that are letting us down. In current 

FPE studies it is the metallurgy of palladium that is the principle barrier to complete 

quantitative replicability. On the other hand we do have a limited empirical model. We are able 

to explain experiment failures and the failure to produce excess heat in terms of our inability to 

meet certain input conditions: loading, deuterium flux, input stimulus. This ability to explain 

failures, and thus learn from them, is very valuable. 

Why are there failures? 

At this point a reasonable question might be: if you know what you need to do, why can’t 

you always do it? Why is there any degree of irreproducibility? What are you waiting for? The 

answer is straightforward: the material conditions of our experiments are not completely under 

our control. Solids are more complex than liquids; liquids more complex than gases or plasmas. 

The solid:liquid interface may be the most complex structure of all material science. This is a 

structure that we are only just beginning to understand in any level of detail and are still 

struggling to control. 

Electrochemistry takes place at an electrified interface between two “difficult” materials, 

neither of which are fully under our control. In the early days of studying the FPE at SRI 

experiments were designed to probe the parameters of reproducibility. Sets of 12 cells were 

prepared, intentionally identically, and operated simultaneously to monitor the time evolution 

of electrochemical and physico-chemical parameters believed to be or potentially pertinent to 

the FPE. 

A single length of palladium wire was used from a known source and sectioned into 13 

identical lengths (12 active electrodes plus a reserved blank). These wire sections (typically 3 

or 5 cm in length and 1 or 3 mm in diameter) were machined to remove surface damage and 

inclusions, spot welded with 5 contacts (one cathode current and 4 wires for axial resistance 

measurement), annealed, surface etched (to remove surface contaminants) and mounted in 12 

identical cells of the type shown in Figure 1. These processes all were performed in the same 

batch and by the same person. The twelve cells were filled with the electrolyte from a single 

source and then operated electrically in series, in a 3 x 4 matrix in the same constant 

temperature chamber. 

The variables measured continuously were current (one measurement), cell voltage, pseudoreference 

cathode potential, temperature and electrical resistance (D/Pd loading) all being 

monitored in a multiplexed manner with the same instruments. Intermittent measurements were 

made of the cathode interfacial impedance. With 12 intentionally identical experiments, every 

one behaved differently. Not only in terms of their heat production, significant and marked 

differences were observed in: the current-voltage-time profile for both the cell voltage and 

reference potential; the ability and willingness of each electrode to absorb deuterium measured 

by the resistance ratio-time curve; the maximum loading achievable; the interfacial kinetic and 

mass transport processes reflected in the interfacial impedance. Every one of these parameters 

was importantly different for each of the 12 electrodes. 

This set of experiments was repeated several times in an attempt to understand the origins of 

the irreproducibility, and therefore control it. Trace impurity differences were observed to be 

676

contributory and these divided into two sets: deleterious impurities (poisons) that we learned to 

avoid; impurities that were beneficial to high loading in controlled amounts. This was a highly 

useful (and somewhat surprising) exercise. Although we were able to make progress and reduce 

the dispersion, we were not able to control the irreproducibility simply by electrochemical (and 

trace chemical) means. We continued to operate sets of cells in what we called “farms”, 

selecting the most promising for promotion into calorimeters of the sort shown in Figure 2. 

Figure 1. Electrochemical cell for loading and calorimetric studies. 

677

Water In 

Acrylic Toppiece 

Gas Tube Exit to 

Gas-handling 

Manifold 

Hermetic 10-pin 

Connector 

Stainless Steel Dewar 

Gasket 

PTFE Plate 

Quartz Cell Body 

PTFE Liner 

Pd Cathode 

Brass Heater 

Support and Fins 

Acrylic flow restrictor 

Stainless Steel 

Outer Casing 

Inlet 

RTD's 

Water Out 

Figure 2. Labyrinth Mass Flow Calorimeter incorporating Degree-of-Loading Cells 

678 

Hermetic 16-pin 

Connector 

Gasket 

Water Outlet Containing 

Venturi Mixing Tube 

and Outlet RTD's 

Acrylic Flow Separator 

Catalyst RTD 

Screws 

Recombination Catalyst 

in Pt Wire Basket 

PTFE Spray Separator 

Cone 

PTFE Ring 

Quartz Anode Cage 

Heater 

Pt Wire Anode 

PTFE Ring 

Locating Pin 

Stand

Four important understandings developed from these intensive studies at SRI of deuterium 

loading and calorimetry: 

i. Irreproducibility in FPE experiments can be fully or at least sufficiently explained 

in terms of the electrochemistry of loading D into Pd. 

ii. In the absence of a measure or knowledge of the D/Pd loading the experimenter 

has no basis to judge whether an experiment could or should have produced 

excess heat. 

iii. After basic precautions are taken the irreproducibility of loading and interfacial 

kinetics is not largely or even primarily controlled by the electrolyte or the 

electrochemistry, it is controlled by the bulk palladium metallurgy. 

iv. An empirical and near quantitative understanding of the measured magnitude of 

excess heat effects, and more particularly of the failure to achieve the FPE, can be 

obtained from measurements made of the controlling variables, and the failure to 

achieve critical threshold values. 

If the metallurgy varies so greatly between adjacent sections of the same wire, annealed and 

surface treated in the same way and at the same time, how great might the difference 

(irreproducibility) be between metal samples from different sources? Until recently we have not 

had sufficient resource of time, money or talent to begin a serious campaign to understand the 

issues of materials irreproducibility as these pertain to the defect and impurity structure of 

polycrystalline palladium. Many people recognized this as one of or the most important 

problems to be faced right from the beginning in 1989 or before, Fleischmann, Bockris, and 

Huggins amongst others. 

Several people have taken up the challenge of palladium metallurgy with limited resources, 

amongst others Imam at NRL, Letts in his own lab and Violante at ENEA. These efforts have 

resulted in significant progress and even patents. Most recently the efforts of Vittorio 

Violante’s group to control the metallurgy and surface morphology of palladium foils has 

contributed significantly to the formal laboratory-to-laboratory replication of Energetics FPE 

results at ENEA and SRI [15]. Recent experiments at ENEA and NRL [16] have demonstrated 

that identical annealing and rolling treatments of different starting batches of palladium results 

in markedly different foil characteristics. To make rapid progress into the light of 

reproducibility, significant resource must be directed as was done previously for 

electrochemistry, to identify those characteristics of bulk palladium that are crucial and those 

that are detrimental. 

There has been some discussion of “hidden” variables; a controlling or contributing 

parameter that so far remains unidentified. In a difficult experiment or situation it can be 

comforting but also debilitating to attribute failure to a hidden agent. Without further empirical 

knowledge or theory to guide us, the only rational position is the middle ground. We must to 

proceed along the path of increasing control of the electrochemical and metallurgical variables 

that we understand and can measure, in the attempt to exert full control over the FPE. Along 

this path we need to remain alert to the possibility of a critical undiscovered parameter. 

679

Much of this uncertainty would be resolved and a great deal of tedious and repetitious matrix 

study avoided with a theory to guide us on the path and point towards the answer. While the 

FPE is the first and most concrete demonstration of a condensed matter nuclear effect it is 

highly unlikely that this is the only or best manifestation of a new physical effect. Either by 

means of theory or ingenious engineering it is likely to be far more practical to avoid the 

challenges and limitations present in the electrochemical loading of bulk palladium rather than 

climb the mountain of ever increasing materials control of difficult systems. 

What have we accomplished so far? 

This is not intended as a review but simply is a set of examples taken from the works at SRI 

and our immediate collaborators. By 1992 we had demonstrated a nuclear scale heat output, 

and had determined that the effect was real if you controlled the loading variable. There was 

also an initiation effect that we (and others) had discovered at that point. Figures 3 and 4 show 

two of the controlling variables, the effect of current density and D/Pd loading on the excess 

heat effect [2, 3]. 

By 1995 we had uncovered the importance of flux, the movement of deuterium through the 

interface and that this was not an equilibrium effect, and we had formed these various terms 

into an empirical heat equation [2, 17]. Between 1996 and 1998 we measured associated 

nuclear products, specifically 4 He [2] following Miles in 1992 [4]. By 2000 we had measured 

ash uncorrelated with heat ( 3 He). Figures 5 and 6 show our results replicating the Arata doublestructured 

(DS) cathode electrolysis experiment [8]: Figure 5 plots the excess power measured 

in heavy and light water electrolyte, and the percentage excess in heavy water; Figure 6 shows 

the profile of 3 He measured through the wall of the DS cathode produced by the disintegration 

of tritium diffusing from the inner void where it was created, to the outer electrolytic surface. 

In 2003 we published [10] a replication of the Letts-Cravens laser triggering result [9] and a 

significant new result came in 2007 working in collaboration with ENEA and Energetics. As 

discussed above the knowledge gained at ENEA helped achieve an improved control (if not 

mastery) of the palladium metallurgy. The knowledge developed at Energetics using the Dardik 

SuperWave concept enabled us to achieve much greater reproducibility in the control of 

loading and interfacial deuterium flux. With this improved understanding we gained a higher 

degree of command over two parameters crucial to the production of excess heat. 

As a consequence we were able to achieve high levels of reproducibility in excess heat 

production. Table 1 shows the complete set of experiments performed at SRI [15, 18] following 

Energetics protocols and SuperWave current excitation profiles [19], in all except one case 

using Pd foil cathodes fabricated at ENEA [16]. The rows labeled “E” were performed at SRI 

with Energetics electronics and data acquisition; those labeled “S” were performed at SRI with 

SRI electronics and data acquisition. Of the 15 experiments performed in the latter mode, 11 

(73%) demonstrated power excess at or above the 5% level that was determined to be the 

calorimeter 3 accuracy. 

680

Excess Power (W) 

0.6 

0.5 

0.4 

0.3 

0.2 

0.1 

0.0 

0.1 0.2 0.3 0.4 0.5 0.6 

-0.1 

P14/D2O Linear 

Electrochemical Current Density (A/cm 2 ) 

Figure 3. The effect of Electrochemical current density on excess heat production in FPE electrolysis 

experiments. 

Figure 4. The effect of deuterium loading on excess heat production in FPE electrolysis experiments. 

681

Figure 5. The effect of input power (and time) on excess heat production in Arata DS cathode experiments. 

Figure 6. Logarithmic diffusion profile of 3 He following on excess heat production in Arata DS cathode 

experiments. 

682

Table 1. Energetics Replication Results 

Cell - Cathode Min. Max. Excess Power Energy 

Calorimeter R/R° D/Pd % of PIn (mW) (kJ) 

1 9-7 E Lot A 1.77 0.895

maximum values. From these values we can calculate the net interfacial flux of deuterium 

absorption and desorption. For an electrode with an active surface these values were measured 

to be as high as 20 mA cm -2 . This value is higher by far than any previously measured at SRI 

using dc or any other waveforms except under strong transient conditions. 

1.00 

0.95 

0.90 

0.85 

D/Pd R/R°* 

110 160 210 260 310 360 410 460 510 560 610 

Time of electrolysis (hours) 

Figure 7. Resistance ratio and deuterium loading during SuperWave electrolysis of an 80 × 7 mm 50 mm 

thick ENEA Pd foil in 0.1 M LiOD. 

The existence of data sets demonstrating high power gain and, even more particularly, high 

energy gain offers several specific benefits to FPE researchers: 

i. High power gain and large values of excess power compared to calorimeter 

accuracy makes it easy to rule out systematic mismeasurement of input power or 

temperature as being the source of the FPE, even in discussions with individuals 

unfamiliar with calorimetric principles and practice. 

ii. High energy gains and large values of integrated excess energy (often expressed in 

terms of eV per Pd atom) makes it easy to rule out energy storage or anomalous 

unseen chemical effect as being the source of the FPE, even in discussions with 

scientists and engineers not having specialized knowledge of materials science 

and chemistry. 

iii. One spectacular experiment performed at Energetics designated as experiment 64 

exhibited energy gains exceeding 25 and accumulated several keV/Pd atom of 

energy at temperatures at or above the boiling point of water [19]. Results such as 

684 

1.9 

1.7 

1.5 

1.3 

Resistance Ratio (R/R°*)

these suggest the potential for practical application and the possibility that FPE 

studies may move from experiment and research into engineering and 

development. 

Conclusions 

At least in this field the “reproducibility” standard is generally far harder to meet than most 

experimenters or the US Patent and Trademarks Office anticipate. The reasons for this are 

several: 

1. Particularly in the early stages of invention the experimenter himself or herself may not be 

aware of all critical details of his or her experiment, and succeeds because of a knack or 

skill or habit that is not recognized and not easily transported or identified except by direct, 

careful observation. 

2. All communication is imperfect. The advantage of written communication is that it creates 

a record capable of being improved. However writing suffers two great weaknesses. It is 

slow and painful and therefore shortcuts are taken and tedious and seemingly superfluous 

detail truncated or eliminated. It is therefore incomplete. Because of its permanent nature 

and the possibility (usually viewed as certainty) that posterity will be watching, scientists 

tend to make written reports appear far more rigorous than their actual procedures. The 

written record may therefore be over-complete and over-complex while possibly being a 

false or misleading report of what in fact was done. 

3. In my experience scientists cannot resist the compulsion to improve. When first they hear 

of an experiment they begin immediately to think of a new and better way to get a bigger 

and more interesting effect. Don’t! If the effect is artifactual it is important to reproduce the 

artifact that may precisely lie in the means of temperature measurement or the experiment 

geometry, etc. If the effect is real it may depend critically a peculiarity of the pump or 

power source, or on an interaction between variables that is unseen, unanticipated or 

misunderstood. 

From nearly twenty years of work at SRI two important conclusions have emerged. Scientists 

can sometimes be wrong, and often oversimplify, but they are not incompetent or dishonest. 

Even after significant effort (and none of the experiments we worked on in this field required 

less than 3 months sustained effort to form even a provisional opinion), don’t assume you were 

lied to or that “the other guy” is “an incompetent boob”. If it doesn’t work it is your fault. 

Reproduce exactly first. Work with the originator directly, in person, understand their 

procedures at every step until the original effect is recreated. In 1996 Lonchampt et al [20] set 

themselves the task of reproducing the original FPE work, in their words “simply to reproduce 

the exact experiments of Fleischmann and Pons - to ascertain the various phenomena involved 

in order to master the experiments”. The phrase underlined is critical. Only from the point of 

mastery can systematic effects be studied, whether these are errors, artifacts or new physical 

processes. 

As far as I am aware Lonchampt and his team were and remain the only group ever to 

attempt an exact engineering replication of the original Fleischmann Pons experiment. It helps 

685

considerably that they were engineers, not scientists. Lonchampt et al may also have been the 

only group ever to publish a paper with the goal of FPE replication in its title [20]. They also 

were successful and closely specified the conditions under which replication was possible: 

i. The Fleischmann Pons calorimeter with precautionary measures taken is simple 

and precise. 

ii. Their calorimeter is very accurate and well adapted to study cold fusion. 

iii. The maximum error might be in the higher temperature range, and under any 

condition should not exceed 1% of the input power. 

iv. The effect measured [now called the FPE] is: 

- below 70°C, between 0 and 5% 

- between 70°C and 99°C, about 10% 

- at boiling, up to 150% 

At this point I hope I am permitted to conclude with a personal remark or two. If the claim is 

made that replication is crucial to the development of our field to determine the parameters for 

advancement, to prove reality to critics, or to uncover systematic error, then it is astonishing 

that attempts to replicate the FPE have been so few, and methodologically so limited. I do 

understand the reasons, and am as guilty as any FPE researcher. But it must be completely 

understood that this lack of attention to detail and the failure to assimilate what Lonchampt 

taught us, is precisely the reason that the question of replicability remains on the table, and is 

the motivation for this paper. 

One important reason for this lack of focused attention on the question of reproducibility is 

that this is not the most important question now, and was not in 1989 although it may become 

so in the near future. The question of reproducibility, while undeniably important, is almost 

trivial compared with the question of whether or not there is evidence of a new physical effect. 

Confining attention to the FPE, the pressing and fundamental question is: is there evidence for 

heat production consistent with nuclear but not chemical effects in the deuterium-palladium 

system? Clearly the answer is yes. This fact has been established at a level far above working 

hypothesis as a “working reality” to a by a large numbers of experimenters in many and diverse 

experiments. 

References 

1. New Oxford American Dictionary. 

2. Hagelstein, P. L., McKubre, M. C. H., Nagel, D. J., Chubb, T. A., and Hekman, R. J., “New 

Effects in Metal Deuterides”, in 11th International Conference on Cold Fusion, Biberian, J- 

P., Marseilles, France, 2004, pp. 23. 

3. Storms, E., The science of low energy nuclear reactions, World Scientific, 2007. 

4. Miles, M. H., and Bush, B., “Search for Anomalous Effects Involving Excess Power and 

Helium during D2O Electrolysis Using Palladium Cathodes”, in 3rd International 

Conference on Cold Fusion, Ikegami, H., Nagoya, Japan, 1992, p. 189. 

5. Gozzi, D., Caputo, R., Cignini, P. L., Tomellini, M., Gigli, G. Balducci, G. Cisban, E., 

Frullani, S., Garibaldi, F. , Jodice, M., and Urciuoli, G. M., “Excess heat and nuclear 

686

product measurements in cold fusion electrochemical cells”, in 4th International 

Conference on Cold Fusion, Passell, T. O., Lahaina, USA, Vol. 1, 1993, p. 2-1. 

6. Botta, E., Bracco, R., Bressani, T., Calvo, D., Cela, V., Fanara, C., Ferracin, U., and Iazzi, 

F., “Search for 4He production from Pd/D systems in gas phase in 5th International 

Conference on Cold Fusion, Pons, S. IMRA Europe, Sophia Antipolis Cedex, France, 

Monte-Carlo, Monaco, 1995, p. 233. 

7. Arata, Y., and Zhang, Y-C., ”Helium ( 4 He, 3 He) within deuterated Pd-black”, Proc. Japan 

Acad. 73B (1997). p. 1. 

8. McKubre, M. C. H., Tanzella, F. L., Tripodi, T., and Hagelstein, P. L., “The Emergence of 

a Coherent Explanation for Anomalies Observed in D/Pd and H/Pd Systems; Evidence for 

4 3 

He and H Production”, in 8th International Conference on Cold Fusion, Scaramuzzi, F., 

Lerici, Italy, 2000, p. 3. 

9. Letts, D., and Cravens, D., “Laser Stimulation of Deuterated Palladium: Past and Present”, 

in 10th International Conference on Cold Fusion, Hagelstein, P. L., Cambridge, USA, 2003, 

p. 159. 

10. McKubre, M. C. H., Tanzella, F. L., Hagelstein, P. L., Mullican, K., and Trevithick, M., 

“The need for Triggering in Cold Fusion Reactions”, in 10th International Conference on 

Cold Fusion, Hagelstein, P. L., Cambridge, USA, 2003, p. 199. 

11. Storms, E., “Use of a very sensitive Seebeck Calorimeter to study the Pons-Fleischmann 

and Letts Effects”, in 10th International Conference on Cold Fusion, Hagelstein, P. L., 

Cambridge, USA, 2003, p. 183. 

12. Swartz, M. R., “Photo-induced Excess Heat from Laser-irradiated Electricallt Polarized 

Palladium Cathodes in D2O”, in 10th International Conference on Cold Fusion, Hagelstein, 

P. L., Cambridge, USA, 2003, p. 213. 

13. Patterson, J. A., “System for Electrolysis”, U.S. Patent #5,494,559, 1996. 

14. Stringham, R., Chandler, J., George, R., Passell, T. O., and Raymond, R., “Predictable and 

reproducible heat”, in 7th International Conference on Cold Fusion, Jaeger, F., Vancouver, 

Canada, 1998, p. 172. 

15. McKubre, M. C. H., Tanzella, F. L., Dardik, I., El Boher, A., Zilov, T., Greenspan, E., 

Sibilia, C., and Violante, V., Replication of Condensed Matter Heat Production, in Low- 

Energy Nuclear Reactions Sourcebook, Marwan, J., ACS Symposium Series 998, Oxford 

University Press, 2008, p. 219. 

16. Castagna, E., Sansovini, M., Lecci, S., Rufoloni, A., Sarto F., Violante V., Knies, D.L., 

Grabowski, K.S., Hubler, G.K., McKubre, M.C.H., and Tanzella, F. L., in 14th 

International Conference on Cold Fusion, Washington, USA, 2008 (submitted). 

17. McKubre, M. C. H., Crouch-Baker, S., Hauser, A. K., Smedley, S. I., Tanzella, F. L., 

Williams, M. S., and Wing, S. S., Concerning reproducibility of excess power production, 

in 5th International Conference on Cold Fusion, Pons, S. IMRA Europe, Sophia Antipolis 

Cedex, France, Monte-Carlo, Monaco, 1995, p. 17. 

18. McKubre, M. C. H., and Tanzella, “New Effects in Metal Deuterides”, final Phase I report 

submitted by SRI to DARPA, 2007. 

19. Dardik, I., Zilov, T., Branover, H., El-Boher, A., Greenspan, E., Kachatorov, B., Krakov, 

V., Lesin, S., and Tsirlin, M., “Excess heat in electrolysis experiments at Energetics 

687

Technogies”, in 11th International Conference on Cold Fusion, Biberian, J-P., Marseilles, 

France, 2004, pp. 84. 

20. Lonchampt, G., Bonnetain, L., and Hictor, P., “Reproduction of Fleischmann and Pons 

Experiments”, in 6th International Conference on Cold Fusion, Okamoto, M., Toya, Japan, 

1996, p. 113. 

688

Electrical Breakeven from LANR Phusor Device Systems: 

Relative Limitations of Thermal Loss in Feedback Loop 


JET Energy, Inc. Wellesley, MA 02481 (USA) 




689

Self-Polarisation of Fusion Diodes: From Excess Energy to 

Energy 

Fabrice David and John Giles 

Deuo Dynamics 

Moss Side House, East Blairdaff, Aberdeenshire, AB51 5LT. (UK) 

http://www.deuodynamics.com 

Abstract 

Conventionally, the cold fusion reaction produces heat. (1),(2) The authors have 

sought a different approach, wherein the device has no input energy, relying on 

the energy produced by cold fusion in the device. The device consists of diodes 

fabricated as powder, with a large surface junction made up of a semiconductor 

in contact with palladium charged with deuterium. 

The apparent fusion reactions take place in the junction between the 

semiconductor and the Palladium powder, which produces an excitation which 

is transmitted to the electrons. This excitation increases their energy and allows 

them to cross the bandgap of the semiconductor and pass into the conduction 

band, as in a photovoltaic cell. This energy very quickly appears as a 

spontaneous potential difference which can reach over 0.5 volt per junction. 

The potential drop concentrates on the junction region, and at a nano scale the 

electric field reaches considerable values, higher than the megavolt per meter, 

which constrains the deuterium nuclei and increases the probability of deuterium 

fusion. (3),(4) 

Experimental Device 

Diodes comprising of a stack of junctions were made, making it possible to obtain over 1 volt 

at the poles of a very compact device of a few centimetres long. The power generated by the 

device remains very low for the moment, but it should be noted that it is in the form of directly 

usable electrical energy, and not thermal energy. The authors compare the density of energy 

obtained in their device, with the density of energy released by the first atomic pile produced 

by Fermi in Chicago. The levels of energy are very comparable to the fusion diode. The authors 

describe the various devices experimented with and used during this work over the last two 

years. 

As part of this work, an extremely sensitive calorimetry device was built. The authors present 

the principle of this device, as well as a project for detecting of neutrons from very weak 

sources. This neutron counter records the particles emitted in all the directions of space, and 

can be scaled to the size of the neutron source. 

Our concept considers that before transforming itself into heat, the energy released by fusions 

of the deuterium initially will produce an excitation of the atoms. It is the same thing when a 

696

photon of visible light hits a solid, initially electrons of the atoms of the solid are excited, and 

after this first step, the energy is decayed into heat. 

It is possible to take this energy away before its transformation into heat: in a photovoltaic 

cell. A solar cell is a diode with a large surface. When photons fall on the junction zone, certain 

atoms are excited, and electrons pass from a low energy level to a higher energy level. 

The photons are absorbed by the silicon atoms, it is why this material is dark. In a crystal of 

silicon, or in a black paint, the energy is converted into heat. In a silicon solar cell, or in a dyed 

organic solar cell, part of this energy is transformed into electric current. It appears a voltage 

between the poles of the cell. 

In our experiment, we tried to replace the light with fusion energy. 

Materials and Methods 

The following materials are used to make these devices: 

Palladium powder (Sigma) 

Gas Deuterium (Sigma) 

Silicon powder (Sigma) 

Other semiconductors (Sigma) 

Figure 1. Fusion cell 

We built our Fusion Diode by mixing palladium powder and semiconductor powder, in order 

to obtain a decreasing silicon gradient, and a increasing palladium gradient throughout the tube. 

This forms a zone of contact (junction) between the semiconductor and palladium. This zone of 

contact generates a very a large contact surface. Importantly it will be noticed that not only a 

voltage appears, but that this voltage is concentrated in a thin zone, the junction zone. If the 

junction thickness is 0.5 micrometer, and the voltage 0.5 volt, the field equals one million volts 

per meter. 

697

We propose that in this field of one million volts per meter, the deuterium fusion reaction 

occurs. 

Our first diodes were made in glass tubes. At the base of these tubes (0.7 cm in diameter) is 

welded a platinum wire. Palladium powder is packed around this wire. The powder is then 

packed using a glass push rod. Finally a glass fibre stopper is put in place to retain the powder 

but allow the gas to flow. A copper connection passes through this stopper. The glass tube is 

then placed in a pressure vessel with an electrical connection. See Figure 2. 

The terminals of the diode are connected to a datalogger. 

This vessel is evacuated, and then filled with deuterium gas. 

Figure 2. First generation diode and pressure vessel 

698

Figure 3. Diode being prepared. 

We developed another procedure using a nylon plastic tube with brass end fittings. Each 

metal cap contains a strong spring, which compress the powder. The whole device is protected 

by another polypropylene tube (Fig. 1). 

We used Swagelok valves at each end. 

Figure 4. Second generation devices. 

699

Results 

A. Self-sustained voltage 

Once the D2 is introduced to our device, voltage quickly rises from zero to 0.5V. 

To exclude environmental noise, we first use argon as the cell gas and log the cell for a week, 

following the argon the cell is evacuated, then filled with H2, and left for a second week. The 

H2 is then removed from the cell, which is evacuated and then filled with D2, and run for a 

week. The results are shown in Fig. 5. 

600 

500 

400 

300 

200 

100 

-100 

Cell G1 Ar/H2/D2 

0 

1 53 105 157 209 261 313 365 417 469 521 573 625 677 729 781 833 885 937 989 1041 1093 1145 1197 1249 1301 1353 1405 1457 1509 1561 1613 1665 1717 1769 1821 1873 1925 1977 2029 2081 2133 2185 2237 

Figure 5. Voltage rise with D2 and H2 

We conducted a triple-blind test with each diode. The triple-blind results on the chart 

followed a three week test period. A week on Argon, during which no voltage was observed, a 

week on H2, which showed a level of voltage, and a week of D2 which showed a higher level of 

voltage. 

The argon experiment demonstrated that factors such an external electrical energy, or some 

galvanic action between the powders of the cell are not the reason for the voltage. However 

obviously, as a voltage was seen with the H2 some hydrogen oxidation can not be ruled out. 

We know that the H2 is impure, and there is always 0.03% deuterium present in the gas 

(mainly in the form of HD molecules). In the palladium, HD dissociate, and we think that the 

700 

Ar 

H2 

D2 

Linear (H2) 

Linear (D2)

voltage observed with H2 is the sign of the fusion of the deuterium nuclei. At the end of several 

weeks, the deuterium stock would disappear and the voltage should decrease. 

We get 0.5 volt with D2. Connected to a resistor of the same range than the internal 

resistance of the diode (some hundred of kilo ohms) we have recorded a power in the microwatt 

range. After several weeks, the power began to reduce, because there were leaks of deuterium 

through the “Swagelok” valves. 

Summary measurement of radioactivity 

Gamma ray measurements. We tested our device with two types of Geiger counters and 

semiconductor radiation meter. We did not detect any significant radioactivity. 

Quick look for neutrons. To look for neutrons, we included some Cadmium into the cell 

mixture. We placed the cell against a Geiger counter but we did not detect any gamma rays. We 

were looking for the reaction: 113 Cd + n → 114 Cd + gamma ray 

Experiments in progress 

We are not sure that what we are seeing is Cold Fusion. We have some indications, but we do 

not wish to jump to hasty conclusions. 

We built a new differential calorimeter, and we hope that this apparatus will be sensitive 

enough to correlate measurements of current and electric tension (electrical power) with 

measurement of calorific release. 

Here is the principle of our differential calorimeter: Two similar Dewar flasks contain 

distilled water. Two similar resistance heaters heat the water to 100°C. The water is raised to 

boiling in both Dewars. The two resistance heaters are placed in series. The fusion device is 

placed in one of the Dewar flasks, a weight of the same mass in the other one. 

Both Dewar flasks are placed on electronic weight scales (Fig. 6). We record the difference 

of the mass during the experiment. If the atmospheric pressure drops, or if the temperature of 

the laboratory varies, or if the electric current of heating varies, the variation will be the same 

in the both Dewar flasks. The device is self-correcting. 

Of course, the resistances and the two Dewar flasks are never completely identical, which is 

why a variable resistance is placed in parallel with one of the flasks. This makes it possible to 

zero the system before the diode is introduced into the device. The diode is sealed in a glass 

tube. 

701

Figure 6. Differential calorimeter 

Conclusion 

For nearly two decades, cold fusion researchers have tried to prove the existence of cold 

fusion on the basis of empirically produced excess heat. Many mainstream scientists have 

rejected this, claiming that heat alone is inconclusive. The authors have developed a different 

approach, in which the device has no input energy, producing energy spontaneously. The 

diodes are fabricated as powder diodes, with a large surface area of a semiconductor in contact 

with palladium and charged with deuterium. 

The apparent fusion reaction takes place in the junction between the semiconductor and the 

palladium powder. This produces an excitation which is transmitted to the electrons. This 

excitation increases their energy and allows them to cross the bandgap of the semiconductor 

and pass into the conduction band, as with a photovoltaic cell. The energy very quickly appears 

as a spontaneous potential difference, which can reach over 0.5 volt per junction. 

The potential drop concentrated in the junction region (at nano scale) reaches considerable 

values, higher than a megavolt per meter. This constrains the deuterium nuclei and increases 

the probability of deuterium fusion. Our observations are compatible with the theories which 

were presented by the majority of the eminent theorists who have worked on the subject for 

years. We can quote some: Resonant Tunnelling, Condensates of Bose-Einstein, Diafluidity, 

Erzions, Polyneutrons, Monopoles, etc...(5),(6) 

702

A diode, comprising of a stack of junctions was made, producing over a volt. While it may be 

possible to obtain many volts with a very compact device, of a few centimetres length, we have 

never tried this. The released power remains very low for the moment, but it should be noted 

that it is directly usable electrical energy, not low temperature thermal energy. 

The energy density produced by this devices is comparable to that of the first atomic pile at 

the University of Chicago in 1942 (Chicago-Pile 1): the Fusion Diode has 1 g of palladium, and 

had an electrical power in the range of the microwatt, giving a mass/power ratio of 10 -6 W/g. 

Chicago-Pile 1 weighed 864,000 pounds (nearly 431 tons) and produced 100 W of thermal 

energy. This was probably peak power, because the reactor was not shielded, and most of the 

scientists of the Fermi team managed to live to a ripe old age. The Chicago-Pile 1 had a power 

to weight ratio of 0.25 × 10 -6 W/g. 

It is important to note that palladium is not the only effective material to obtain fusion 

reactions. There are other possibilities we have yet to explore. We expect to find in the future 

other materials which may be even more favourable to the establishment of fusion reactions. 

We think that we are at the dawn of a new era, such as when Kamerlingh Onnes discovered 

superconductivity. At that time, the only super conductor was mercury, which loses resistivity 

at 4 K. With mercury it would be impossible to build the magnets of ITER and of the LHC. 


The authors thank the Municipality of the town of Franconville (Val d’Oise, France) and the 

Honorary Deputy and Mayor, Mr F. Delattre, for funding of this work. 

References 

1. M. Fleischman and S. Pons. J. Electroanal. Chem., (261):301, 1989 

2. S.E. Jones, E.P. Palmer, J.B. Czirr, D.L. Decker, G.L. Jensen, J.M. Thorne, and S.F. Taylor 

& J. Rafelski, Nature 338: 737-740 (1989). 

3. French patent n° FR 2662537 (25/05/1990) 

4. French patent n° FR2729249 (11/01/1995) 

5. Fabrice David. FUSION n° 49 jan.-fev. 1994 (french edition of XXIth Century Science et 

Technology) 

6. Fabrice David , FUSION n°92 sept-oct 2002 pp 23-29 

703

Weight of Evidence for the Fleischmann-Pons Effect 

Rodney Johnson and Michael Melich 

W. E. Meyer Institute of Systems Engineering, 

Naval Postgraduate School, Monterey, CA 1 

Abstract 

D. Cravens and D. Letts [1] have analyzed a portion (167 papers) of the 

published literature reporting on D2O electrolysis experiments such as 

Fleischmann and Pons’s (FP). They identify four criteria for what constitutes a 

“proper” FP experiment and state that experiments that satisfy all four criteria 

are likely to succeed in producing excess heat, while those that do not are likely 

to fail. This paper presents results of using a Bayesian network for probabilistic 

analysis of this claim. Consideration of a small subset of the papers (eight) is 

sufficient to give a likelihood ratio of about 10 to 1 in favor, and this number 

appears to grow generally rapidly, though not monotonically, as more papers are 

added to the set. 


Some of us, when asked why we tend to accept the reality of the Fleischmann-Pons effect, 

reply with the statement: 

“It’s not any one experiment; it’s the number and variety of confirmations by 

independent researchers around the world.” 

More generally, independent replication is considered an important step in acceptance of new 

experimental results. This paper reports an attempt to model the situation using a Bayesian 

network: a proposition (“The effect is real”) with a number of pertinent reports, each open to 

doubt, but collectively sufficient to convert initial doubt (a low prior probability) into 

acceptance (a high posterior probability, conditional on the evidence). 

1.1. Cravens-Letts database 

D. Cravens and D. Letts [1] report a study of 167 selected papers concerning heat generation 

in electrochemical systems of the “classical” Fleischmann-Pons type: electrolytic cells with Pd 

cathodes in D2O-based electrolyte. The list spans the years 1989–2007 and is non-exhaustive 

mainly because papers were included only if available in digital form. The authors rated the 

papers, when possible, according to four yes/no “enabling criteria,” related to (1) cathode 

loading, (2) good chemical procedures, (3) operating current densities, and (4) non-equilibrium 

operation. (See the paper [1] for detailed statements of how the criteria were assigned.) In 

addition they assigned a yes/no value according to whether excess power was reported or not. 

1 The views expressed herein are those of the authors and not necessarily those of the U.S. 

Government, Department of Defense, Department of the Navy, or the Naval Postgraduate 

School. 

704

They succeeded in rating 122 of the 167 papers and, after statistical analysis, concluded that 

production of excess power was highly correlated with the number of criteria satisfied—very 

likely if all four were met and less likely if fewer were met. We here report on a probabilistic 

test of that claim by use of a Bayesian network. 

1.2. What is the problem? 

We are interested in questions such as: 

“Given that in paper #1, where all 4 criteria were met, heat was observed, and in 

paper #2, where only 2 criteria were met, no heat was observed, and . . . in paper 

#167, . . . heat was observed, then what can we say about the probability that the 

FP effect is “real”? And what is the probability that a new experiment satisfying 

all 4 criteria will produce excess heat?” 

In condensed-matter nuclear science in general we face multiple observations and 

experimental results, and multiple conjectures and hypotheses that might explain them. 

To illustrate, consider the propositions: 

A: Nuclear reactions occur at low temperature in solids. 

B: Excess heat is observed. 

C: Helium production is observed. 

D: Emission of energetic particles is observed. 

Then B, C, and D are observations that can serve as evidence in support for A, considered as 

a hypothesis. Likewise, consider propositions: 

E: Known nuclear reactions & quantum many-body effects. 

F: “New physics”. 1 

G: Error / deception. 

H: Excess heat is reported. 

Then E, F, and G are alternative hypotheses that might explain observation H. The relations 

between the propositions are shown schematically in Figs. 1 and 2. These are simple examples 

of Bayesian networks, which are discussed in Section 2.2 below. 

1 . . . whatever we might choose to mean by the phrase. The propositions listed here are 

informal, abbreviated, and intended primarily as illustration. 

705

Figure 1. Multiple support for a hypothesis Figure 2. Alternative explanations 

2. Bayesian methods 

In general there may be more complicated interrelations (as in Fig. 3 further down). We need 

help in thinking quantitatively about such problems, and probability theory provides tools for 

doing so. Bayes’s rule (or Bayes’s theorem) is a fundamental rule of probability, used in 

updating the probability of a proposition in the light of new information. There are various 

methods based on it (called “Bayesian”), including Bayesian networks, which allow 

representing complex relations between propositions and making inferences concerning their 

probabilities. 

2.1. Rules for probability 

The degree of credence we accord to a proposition is (or should be) subject to change when 

we learn new relevant information. In quantitative terms, if A is a proposition to which we have 

initially assigned a probability P(A), and we then obtain new information in the form of a 

proposition B, we update the probability of A to a quantity P(A | B), the conditional probability 

of A, given B. One also uses the terms prior and posterior probabilities for P(A) and P(A | B), 

respectively. The process could continue, of course. Obtaining further new information, say C, 

leads to P(A | BC), and so on. In this section we collect some basic rules, prominent among 

them Bayes’s theorem, for dealing with conditional probabilities. We recommend the textbook 

by Jaynes [2] for (along with much else) a thorough discussion of what we here touch on 

lightly. 

2.1.1. Bayes example problem 

It is common in textbooks to introduce Bayes’s theorem with an example: medical screening. 

Say you are a doctor screening for an uncommon but serious disease, where “uncommon” 

means 

1% of people in the general population have the disease. 

Also suppose there is a quite reliable test for the disease: 

98% of people with the disease will test positive; 

95% of those without the disease will test negative. 

You give one of your patients the test as part of a routine physical, and the results come back 

positive. Do you tell the patient: “There is a 98% chance that you have a serious disease”? 

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We will see that the probability is actually closer to 16.526%, or about one chance in six, not 

98%. Your patient is probably healthy. (Expensive or risky treatment is unjustified. But more 

testing is mandatory; ignoring a 1 in 6 chance amounts to Russian roulette.) 

We express the given information symbolically: 1 

D: disease T: test positive 

D′: no disease T′: test negative 

P(D) = 0.01: probability of having the disease in the absence of test results 

P(D | T): the conditional probability of having the disease, given positive test results. 

We want P(D | T). We have P(D) and two other conditional probabilities: 

P(T | D) = 0.98: probability of a positive test, given that the disease is present; 

P(T′ | D′) = 0.95: probability of a negative test, given that the disease is absent. 

2.1.2 Rules 

Product rule: probability that A and B are both true 

P(AB) = P(A) P(B | A) = P(B) P(A | B) 

Bayes’s rule: 

Sum rule: 

P(A | B) = P(B | A) P(A) / P(B) 

P(B) = P(B | A) P(A) + P(B | A′) P(A′) + P(B | A′′) P(A′′) + … 

where A, A′, A′′, … are an exhaustive set of mutually exclusive propositions— 

that is, one must be true, but no two can be true at once. 

Bayes’s theorem follows directly from the product rule: divide by P(B). The sum rule is 

useful for evaluating the denominator P(B) on the right-hand side of Bayes’s rule. Some 

variants of these rules can be useful; we may use 

P(A | B) = P(AB) / P(B) (1) 

in place of Bayes’s rule as just given, and we may use the sum rule in the form 

P(B) = P(AB) + P(A′B) + P(A′′B) + … (2) 

2.1.3 Solution of example problem 

Applying Bayes’s rule to the previously given probabilities gives 

1 In general (as in the “sum rule” of Section 2.1.2) we use a notation such as A, A′, A′′, … to 

denote a set of propositions exactly one of which is true. Here we assume that D and D′ are 

such a set (one either has the disease or one doesn’t) and likewise for T and T′ (only two test 

results are possible: positive and negative). In this special case of just two alternatives, one can 

read the prime symbol as logical negation: not-D for D′ and not-T for T′. 

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P(D | T) = P(T | D) P(D) / P(T) 

= 0.98 0.01 / P(T) 

and the sum rule gives 

P(T) = P(T | D) P(D) + P(T | D′) P(D′) 

= 0.98 0.01 + 0.05 0.99 

= 0.0098 + 0.0495 = 0.0593 

where we have used the fact that P(T | D′) = 1 − P(T′ | D′) = 1 − 0.95 = 0.05. Finally, 

P(D | T) = 0.98 0.01 / 0.0593 = 0.16526 

which is the stated result of 16.526%, or about one chance in six. 

2.2. Bayesian networks 

A Bayesian network is a graphical representation of complex relations between propositions; 

it allows inferences concerning their probabilities. Figure 3 shows an example slightly more 

general than the ones shown in Figs. 1 and 2. 

Figure 3. Bayesian network. Figure 4. Loop (not allowed) Figure 5. Medical 

screening example 

A Bayesian network consists of nodes connected by arrows. Loops, as in Fig. 4, can lead to 

contradictions and are not allowed. (This means that the network is a directed acyclic graph.) 

With each node is associated a “random variable” (such as A, B, C, … in Fig. 3). By calling a 

variable such as A “random” we mean simply that: 

(1) There is a set of possible values {a1, a2, … , an}, so that the propositions A = a1, A = a2, 

…, A = an form an exhaustive set of mutually exclusive propositions; and 

(2) We can talk about probabilities (perhaps conditional) of these propositions, e.g. P(A = 

ai), P(B = bj | A = ai). 

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True-false proposition, such as D and T of the medical screening example, are included (see 

Fig. 5); the set of values is just {true, false}. 

Arrows indicate conditional dependence. If there is an arrow from a node X to a node Y, we 

call X a parent of Y. Thus the parents of C in Fig. 3 are A and B. A variable has a probability 

distribution conditional on its parents. In the case of A, B, and C, this means that conditional 

probabilities P(C = c | A = a, B = b) are given for all values a, b, and c in the value sets of A, B, 

and C, respectively. This generalizes in a straightforward way to any number of parents. For a 

node without parents, such as A, we require the unconditional probabilities P(A = a) for each a. 

Bayesian networks can be used for updating our probabilities for values of some variables 

when we obtain new information in the form of values for other variables. This generalizes 

what we did in the medical screening example. There, we learned the value T = true for the test 

result, making it no longer uncertain (or “random”). Consequently we were able to update our 

probability for D, disease, from the prior value P(D) to the posterior value P(D | T = true). 

Analogously, we could suppose we learn values for some of the variables, say C and E, in the 

more elaborate network of Fig. 3, and we could ask how the new information affects the 

probabilities for the values of some other variable or variables, such as B. 

To begin, in terms of the conditional and unconditional probabilities associated with the 

nodes, we can write an expression for the joint probability distribution for the entire set of 

variables; for the illustrative network of Fig. 3, this is the set of probabilities P(A = a, B = b, 

C = c, D = d, E = e) that A = a and B = b and C = c and D = d and E = e, where a, b, c, d, and e 

range over their respective value sets. We show this in a shorthand notation, writing A for 

A = a, B for B = b, etc., so that the desired set of probabilities is denoted by P(ABCDE); they 

are then given by: 

P(ABCDE) = P(A) P(B | D) P(C | AB) P(D) P(E | B) (3) 

In general there is one factor for each node, consisting of the associated probability 

expression (conditional or unconditional). From this we can calculate other conditional 

probabilities such as P(B | CE), for example: the updated probabilities for B, given that we have 

learned values for C and E. 

By equation (1), the alternative form of Bayes’s rule from §2.1.2, we can write: 

P(B | CE) = P(BCE) / P(CE) (4) 

We can get the numerator, P(BCE), by using essentially the alternative form of the sum rule, 

equation (2) from §2.1.2: sum (3) over the variables that do not occur in P(BCE): 

P(BCE) = a,d P(A = a, B, C, D = d, E) 

Likewise we get the denominator by summing over B as well: 

P(CE) = a,b,d P(A = a, B = b, C, D = d, E) = b P(B = b, C, E) 

And the last two equations allow us to compute the desired quotient in (4). 

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For more information about Bayesian networks, see the textbook by Jensen [3], for example. 

There are also useful on-line tutorials by Breese and Koller [4] and by Murphy [5]. 

Software support is necessary for work with networks of any substantial size. For the work 

reported here we took advantage of a Java applet written by Yap, Santos, et al. [6] at the 

University of British Columbia and made available for download. 

Figure 6. Bayesian network applet 

This allows one to draw a network by means of a graphical interface, enter conditional 

probabilities in tabular form, set observed values for selected nodes, and display the resulting 

probabilities for other nodes. Figure 6 shows the display for a network similar to the one in Fig. 

3. 

2.3. Weight of evidence 

For inference about a yes/no proposition, a formulation of Bayes’s theorem in terms of odds 

and likelihoods ratios can be useful. First, a bit of terminology: The quantities P(B | A), 

P(B | A′), P(B | A′′), … that occur in the sum rule (§2.1.2) are called the likelihoods of A, A′, A′′, 

… . 1 For a pair of alternatives, A and A′, the quotient P(B | A) / P(B | A′) is called the likelihood 

ratio. When these are the only alternatives, we have P(A) / P(A′) = P(A) / (1 − P(A)); this 

quantity is the (prior) odds for A and denoted by O(A). Similarly, the posterior odds for A are 

O(A | B) = P(A | B) / P(A′ | B). 

Now write Bayes’s rule for A and for A′: 

1 Recall that A, A′, A′′, . . . form an exhaustive set of mutually exclusive propositions. 

“Likelihood” is used in a technical sense. The terminology is unfortunate because it may give 

the impression that the likelihoods are conditional probabilities of A, A′, A′′, . . . , which they 

are not; in particular they need not sum to 1. 

710

P(A | B) = P(A) P(B | A) / P(B) 

P(A′ | B) = P(A′) P(B | A′) / P(B) 

and divide the first equation by the second. The factors of P(B) cancel, and we get: 

P(A | B) / P(A′ | B) = [P(A) / P(A′)] [P(B | A) / P(B | A′)] 

The left-hand side is the posterior odds for A, the first factor on the right is the prior odds, 

and the second factor is the likelihood ratio. Thus: 

O(A | B) = O(A) [P(B | A) / P(B | A′)] 

which we can state as: 

“posterior odds = prior odds × likelihood ratio” 

If the “evidence” B consists of several observations B 1, B 2, … that are independent in the 

sense that P(B1B2, … | A) = P(B1 | A) P(B2 | A) … and P(B1B2, … | A′) = P(B1 | A′) P(B2 | A′) …, 

then the equation generalizes to 

O(A | B1B2, … ) = O(A) [P(B1 | A) / P(B1 | A′)] [P(B2 | A) / P(B2 | A′)] … 

Taking logs of all the factors gives an additive version. Thus taking a new piece of 

independent evidence Bi into account just increments the log of our odds for A by 

log [P(Bi | A) / P(Bi | A′)] 

which is called the weight of evidence for A provided by Bi. (See Good [7] and Jaynes 

[2, pp. 91 ff.].) 

If one starts with noncommittal prior odds of 1:1, evenly balanced between acceptance and 

rejection of a proposition, then the likelihood ratio of the evidence gives ones posterior odds. 

On the other hand, one can view the reciprocal of the likelihood ratio as a “critical prior”: the 

prior odds such that the evidence would bring us to posterior odds of 1:1. In this latter role, the 

likelihood ratio can help us in assigning a numerical value to our prior odds for a preposition; 

imagine a successions of independent repetitions B 1, B 2, … of an experiment with a given 

likelihood ratio and ask how many successful outcomes would bring us to a state of 

uncertainty, poised between acceptance and rejection. (See Good [7] and Jaynes [2, Ch. 5].) 

Our task will be to evaluate the likelihood ratio (equivalently, the weight of evidence) for the 

proposition that “the FP effect is real” provided by Cravens and Letts’s ratings of a subset of 

the papers in their database. 

2.4. Estimating probabilities 

In the medical example we were given the values P(T | D) = 0.98, P(T′ | D′) = 0.95, 

P(D) = 0.01. In practice such numbers are commonly gotten from a study, e.g. give the test to 

some people known to have the disease, and observe that about 98% test positive. The numbers 

are known only with some uncertainty, e.g. “The fraction of people with the disease who test 

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positive is in the range 0.980 ± 0.002 with probability 68%. This seems to be saying that P(T | 

D) is in a certain range with a certain probability. What do we mean by the probability of a 

statement about other probabilities? 1 

Our treatment of Cravens and Letts’s evidence will involve probabilities that are not known 

in advance but are estimated from the data. To illustrate the considerations involved, we present 

a simple problem. 

The “biased coin” problem concerns a coin for which the probability p of heads is some 

arbitrary number between 0 and 1, not known to us and not necessarily 0.5. It is not at all clear 

how one could construct such an object in practice, 2 so it may be better to think of a game 

spinner with two sectors, marked H and T, with H containing a fraction p of the full circle (Fig. 

7). 

Figure 7. “Biased coin” spinner 

If we spin so that the probable location of the pointer is uniformly distributed over the circle, 

the probability of its showing heads is p. Now write Hp for the proposition that the size of the H 

sector is p, and suppose that this unknown size was chosen at random (uniformly) between 0 

and 1 (Fig. 8). We are now dealing with continuous probability distributions; P(Hp) is a 

probability density, not a discrete value, and satisfies PH p dp 1rather 

than p P(Hp) = 1. 

Suppose we spin once and observe a head. What is our revised probability for Hp, given E11: 

one head in one trial? Bayes’s rule for continuous probability distributions gives: 

P(Hp | E11) = P(E11 | Hp) P(Hp) / P(E11) 

= p / P(E11) 

1 The need to take systematic account of uncertainties in our information is ubiquitous and has 

a long history. It played a central role in Laplace’s comparison of imperfect astronomical 

observations with Newtonian gravitational theory; see Jaynes [8; 2, Ch. 5]. 

2 We might try loading a coin by making it of two layers with lead on one side and aluminum 

on the other. This turns out not to be effective; see Jaynes [2, §10.3], “How to cheat at coin and 

die tossing.” Jaynes shows in fact that the probability of heads is not just an intrinsic physical 

property of the coin and may have little to do with quantities such as the displacement of the 

center of gravity of the coin from its geometrical center. 

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Figure 8. Uniform prior P(Hp) 

Here P(E11 | Hp) is p, because that’s what Hp says: the probability of getting a head is p. And 

P(Hp) is 1 by assumption. 

The continuous version of the sum rule (§2.1.2) gives 

as in Fig. 9. 

1 

E11 PE11 

| H p PH 

P p 

 

0 

1 

 

p dp 1/ 

2 

dp 

0 

| E11 

(5) 

H p 

P p 2 

Figure 9. One head in one trial observed 

Now the probability of heads on the next trial is: 

1 

P(“one more head” | E11) = P 

(“one more head” | E11Hp) P(Hp | E11) dp 

0 

The first factor in the integrand is p by definition of Hp, and equation (5) gives the second. So 

2 

P(“one more head” | E11) = 2 

p dp 2/ 

3 

1 

0 

We can continue making trials and updating our probability distribution for Hp. Possible 

results are shown in Figs. 10–12. 

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With the notation Emn = “m heads observed in n trials,” these represent: 

P(Hp | E22) = 3p 2 

P(Hp | E12) = 6p(1−p) P(Hp | E24) = 30 p 2 (1−p) 2 

Figure 10. 2 heads in 2 trials Figure 11. 1 heads in 2 trials Figure 12. 2 heads in 4 trials 

The general formula for m heads out of n trials is: 

P(Hp | Emn) = [(n+1)! m!(n−m)!] p m (1−p) n−m 

and the formula for the probability of heads on the next trial is: 

P(“one more head” | Emn) = (m+1) / (n+2). 

This is Laplace’s rule of succession: assuming a uniform prior for Hp and m “successes” out 

of n independent trials, the probability μ of success on the next trial is given by 

μ = (m+1) / (n+2) 

The successive posterior distributions peak up more and more sharply as the number of trials 

increases (Fig. 13). The width of the peak is 2σ, where the standard deviation σ is given by 

1 / 

3 

n 

and the mean μ is as just given. For a derivation of σ, see equation (6.35) in Jaynes [2, ch. 6]. 

The assumption of a uniform prior may or may not be justified, depending on available 

information. But if the prior is continuous and non-zero near μ, the shape of the posterior will 

often be found to resemble Fig. 13. 

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Figure 13. Peak shape 

3. Problem setup 

The network we developed is shown in Fig. 14. Node R is the proposition of interest— 

roughly speaking, “is the FP effect ‘real’?” The nodes E2, E8, … , E28 refer to the results 

published in the set of papers selected for initial consideration; the subscripts are index 

numbers of the papers in the Cravens–Letts [1] database. The other “E” nodes are auxiliary 

nodes associated with the papers, and the “P” nodes are various probabilities to be estimated 

from the data by means illustrated in §2.4. 

Figure 14. Network for eight selected papers (initial configuration) 

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3.1. Selected papers 

Cravens and Letts [9] suggested the following eight papers for initial consideration: 

# Cri Heat Citation 

2 2 No R. D. Armstrong et al., Electrochimica Acta 34 (9) 1319–1322 (Sep. 1989). 

8 4 Yes R. C. Kainthla et al., Electrochimica Acta 34 (9) 1315–1318 (Sep. 1989). 

10 3 No N. S. Lewis et al., Nature 340 (6234) 525–530 (Aug. 17, 1989). 

15 1 No D. E. Williams et al., Nature 342 (6248) 375–384 (Nov. 23, 1989). 

17 4 Yes A. J. Appleby et al., Proc. First Ann. Conf. Cold Fusion, 32–43 (Mar. 1990). 

18 4 Yes Y. Arata & Y.-C. Zhang Proc. Japan Acad. B 66 (1) 1–6 (1990). 

26 4 Yes S. Guruswamy & M. E. Wadsworth, Proc. First Ann. Conf. Cold Fusion, 314– 

327, (Mar. 1990). 

28 4 Yes T. Lautzenheiser & D. Phelps, Amoco Production Company Research Report 

T-90-E-02, 90081ART0082 (Mar. 1990). 

The numbers under “#” are the index numbers of the papers in Cravens and Letts’s database. 

The numbers under “Cri” give the number of enabling criteria satisfied by the paper. A Yes or 

No under “Heat” indicates whether excess heat was reported. 

3.2 Network propositions 

Proposition R can also be phrased as “the experimental treatment makes a difference”. We 

consider two alternatives: 

R = false: 1 the probability of observing excess heat is the same (Pf) regardless of 

whether all, some, or none of Cravens and Letts’s enabling criteria are satisfied. This 

would imply that reported observations of excess heat are the result of error, 

deception, or extraneous factors. 

R = true: the probability of observing excess heat has one of several values (P0, … , 

P4), depending on the number of enabling criteria that are satisfied. 

Ei states that excess heat was reported in paper number i of the data base. 

Eif states that excess heat was reported in paper number i in case R = false. Its truth value is 

irrelevant in case R = true. Its conditional probability is simply the value of Pf. 

Ein states that excess heat was reported in paper number i in case R = true, where n is the 

number of enabling criteria met by the paper. Its truth value is irrelevant in case R = false. Its 

conditional probability is simply the value of Pn. 

Nodes Eif and Ein exist to simplify the expression of the conditional probabilities of Ei, rather 

than for any intrinsic interest of their own. Ei is true if either (1) R and Ein are both true or (2) R 

is false and Eif is true; Ei is false otherwise. The Eif and Ein nodes could be eliminated and Ei 

made directly dependent on R, Pf, and Pn at the expense of expanding Table 2 below to a table 

with 50 rows. 

1 A statistician of the orthodox persuasion might call this alternative a “null hypothesis.” 

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3.3 Network variables 

Pf is the probability of excess heat being reported in case R = false. 

Pn is the probability of excess heat being reported in an experiment satisfying n of the 

enabling criteria (n = 0, … ,4) in case R = true. 

Pf and P0, … , P4 are probabilities to be estimated from the data by means illustrated in §2.4. 

Ideally they would each be described by a continuous probability density on the interval from 0 

to 1. Because of practical limitations of the software, we used fairly coarse discrete 

approximations. 

3.4. Probability tables 

The prior and conditional probabilities for the nodes of the network are specified in tabular 

form. 

We set the prior probability of R equal to 0.5, as shown in Table 1, giving prior odds of 1. 

Consequently the posterior odds are equal to the likelihood ratio. (See §2.3.) This makes it easy 

to determine the weight of evidence from the program outputs. 

Table 1. P(R) 

R 

true false 

0.5 0.5 

The conditional probability of Ei is specified as in Table 2. This simply makes Ei agree with 

Eif when R is false and with Ein when R is true. The actual probability values are those of Eif in 

the first case and Ein in the second. 

Table 2. P(Ei | R Eif Ein) 

Ei 

R Eif Ein true false 

true true true 1 0 

true true false 0 1 

true false true 1 0 

true false false 0 1 

false true true 1 0 

false true false 1 0 

false false true 0 1 

false false false 0 1 

The conditional probabilities of Eif and Ein are given in Tables 3 and 4. The probability of Eif, 

given Pf, is by definition simply the value of Pf ; and the probability of Ein, given Pn, is the 

value of Pn. 

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Table 3. P(Eif | Pf) Table 4. P(Ein | Pn) 

Eif 

Ein 

Pf true false Pn true false 

0.1 0.1 0.9 0.1 0.1 0.9 

0.3 0.3 0.7 0.3 0.3 0.7 

0.5 0.5 0.5 0.5 0.5 0.5 

0.7 0.7 0.3 0.7 0.7 0.3 

0.9 0.9 0.1 0.9 0.9 0.1 

The prior probabilities of Pf and Pn (n = 0, … ,4) are shown in Tables 5 and 6. They are all 

the same: a coarse discrete approximation to a uniform distribution on the unit interval. 

Table 5. P(Pf) Table 6. P(Pn) 

Pf 

0.1 0.3 0.5 0.7 0.9 0.1 0.3 0.5 0.7 0.9 

0.2 0.2 0.2 0.2 0.2 0.2 0.2 0.2 0.2 0.2 

4. Results 

After entering the probability tables in the nodes of the network of Fig. 14, we successively 

declared “observed” values for the nodes Ei, starting with false for E2 and finishing with true 

for E28. The final state of the network is shown in Fig. 15, in which display of the probability 

distributions of the nodes Pf, P0, … , P4, has been enabled. 

Figure 15. Final configuration of network for eight selected papers 

The posterior probabilities for R = true and R = false are 0.9093 and 0.0907, giving posterior 

odds of 10.025. This is also the final value of the likelihood ratio, since we started with prior 

718 

Pn

odds of 1.0. The value of the likelihood ratio is plotted in Fig. 16 as a function of the number of 

papers taken into account, from 1 paper (#2 only), 2 papers (#2 and #8), through 8 papers. 

The likelihood ratio for R, give 1 paper, is 1.0, exactly equal to the prior value of 1.0 with no 

papers at all (not plotted). With one paper, the distributions of Pf and P2 were identical—a bit 

biased toward the low values, as the first paper (#2) reported no heat. There was not yet a basis 

for choosing between the two. Adding a second paper (#8, reporting heat) increased the ratio to 

about 1.47, and adding a third (#10, reporting no heat) made no difference. The next four, 

consistently showing heat with four criteria satisfied, brought a steep increase in the likelihood 

ratio to 10.025. 

At that point the posterior distribution for P4 was strongly biased toward high values, as 

shown in Fig. 15, and as one would expect. P1, P2, and P3 showed weaker and identical biases 

toward low values, since in each case (1, 2, or 3 criteria met) one instance was observed, 

reporting no heat. P0 was flat, unchanged from its prior, as no evidence was included bearing 

on the case of 0 criteria met. The distribution of Pf was relatively flat, close to its prior, as the 

probability for R = false was at that point estimated as being rather small. Note that if R were 

definitely known to be true, the value of Pf would be irrelevant, and we would expect it to be 

no different from its prior. As an experiment, we changed the prior value for R = false to 0.99, 

sufficiently skeptical that the posterior value came to about 0.91; in that case, the posterior 

distribution for Pf showed an apparent peak between 0.5 and 0.6, about where the rule of 

succession would predict for 5 successes (heat observed) out of 8 trials. 

Figure 16. Change in likelihood ratio as more and more papers are taken into account 

Eight papers is a small enough sample that no particular significance should be attached to 

the particular final numerical value of 10.025 for the likelihood ratio for R, though the 

qualitative behavior of Fig. 16 is suggestive. Moreover, the set of eight is not a representative 

sample of the data base; some were selected for historical significance. In particular, papers #10 

and #15 are accounted by Cravens and Letts [1] as “the most important papers in the field of 

719

Condensed Matter Nuclear Science” for their early and lasting negative impact. On the other 

hand the announcement by Fleischmann and Pons (#1 in the database) was omitted. 

In addition, the model presented here does not address the important question of publication 

bias. We have looked at toy models for experimenter bias, but incorporating such factors in the 

present model is a matter for future work. The problem is less severe for the period 

immediately following the Fleischmann–Pons announcement, when a number of researchers 

were quite willing to report negative results. However, the more recent papers in the Cravens– 

Letts database are preponderantly positive, and incorporating them all in the computation 

would risk producing inflated values for the likelihood ratio for R unless the tendency not to 

report failures were taken into account. 

It was nevertheless felt desirable to include a larger number of papers. Attempts to increase 

the number of papers from 8 to 12, while successful (Johnson and Melich [10]), made it clear 

that we were approaching the computational limits of the Java applet. Moreover the scheme we 

have described lumps together all papers that meet the same number of criteria; those meeting 

the first two enabling criteria are counted together with those meeting the last two. It was 

thought to be also desirable to consider particular subsets of the four criteria, rather than simply 

the count, expanding the number of cases from 5 to 16. 

We have subsequently obtained an exact analytical expression for the likelihood ratio. This 

not only circumvents the computational limits, but it uses exact uniform priors for the P’s (Pf, 

P0, P1, P2, P3, P4) rather than the coarse discrete approximations of Tables 5 and 6. And it 

generalizes easily from 5 classes of papers (0, 1, … , 4 criteria satisfied) to 16 classes (all 

distinct subsets of the 4 criteria). Here is a sketch of the results. 

To begin, remove the intermediate nodes Eif, Eik in Fig. 14 so that, e.g., E2 depends directly 

on Pf and P2. The joint probability for the network becomes: 

P(R) P(Pf) P(P1) … P(P4) P(E2 | R Pf P2) P(E8 | R Pf P4) … P(E28 | R Pf P4) 

and dividing by P(R) gives the probability conditional on R: 

P( ∙ ∙ ∙ | R) = P(Pf) P(P1) … P(P4) P(E2 | R Pf P2) P(E8 | R Pf P4) … P(E28 | R Pf P4) 

where ∙ ∙ ∙ stands for all the variables other than R. The priors for the P’s are uniform, i.e. 1. 

The conditional probabilities are given by, e.g. 

for P(E2 | R Pf P2). Thus the joint probability is 

Table 7. P(E2 | R Pf P2) 

E2 

R True false 

true P2 1 – P2 

false Pf 1 – Pf 

P( ∙ ∙ ∙ | R = false) = (1 – Pf) Pf (1 – Pf) (1 – Pf) Pf Pf Pf Pf 

P( ∙ ∙ ∙ | R = true) = (1 – P2) P4 (1 – P3) (1 – P1) P4 P4 P4 P4 

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for the case E2 = false, E8 = true, E10 = false, E11 = false, E17 = true, E18 = true, E26 = true, 

E28 = true. (For the subscripts in the second expression, recall that the values of k, number of 

criteria satisfied, are 2, 4, 3, 1, 4, 4, 4, 4 for the respective papers numbered 2, 8, …, 28.) 

For a general collection of papers, not necessarily those of Fig. 14, the expressions are 

M 

f 

P(| 

R false) 

P ( 1 

P ) 

4 

0 

P( | 

R true) 

k 

m 

k 

f 

N M 

k P ( 1 P ) 

k 

nk 

mk 

where N is the total number of papers, M is the number reporting excess heat, nk is the number 

of papers in class k (i.e. k enabling criteria satisfied) and mk is the number of those reporting 

excess heat. Integrating out the P’s gives the probability of the observed quantities (criteria 

satisfied, heat reported) conditional on R: 

P( 

observed | R false) 

M! 

( N M )! ( N 1)! 

P 

4 

( observed | R true) 

m ! ( )! ( 

k 0 

k nk 

mk 

nk 

721 

1)! 

and the likelihood ratio is the second of these quantities divided by the first. 

For the 8 selected papers, 

n0 = 0, n1 = 1, n2 = 1, n3 = 1, n4 = 5 N = 8 

m0 = 0, m1 = 0, m3 = 0, m4 = 0, m5 = 5 M = 5 

P(observed | R = false) = 1/504 

P(observed | R = true) = (1/1)(1/2)(1/2)(1/2)(1/6) = 1/48 

The likelihood ratio is therefore 504/48, or 10.5 (exactly). This is to be compared with the 

value of 10.025 obtained numerically with the applet, using a 5-point discrete approximation to 

a uniform prior for the P’s. It appears that the use of such a discrete approximation has not 

resulted in serious error in the computed likelihood ratio. 

There is no problem in generalizing from 5 classes of papers (0, 1, … , 4 criteria satisfied) to 

16 classes (all distinct subsets of the 4 criteria): just let k above index the 16 classes and adjust 

the limits of k in the products accordingly. 


The authors gratefully acknowledge the support of the Defense Threat Reduction Agency for 

this work. 

References 

1. D. Cravens and D. Letts, “The enabling criteria of electrochemical heat: beyond a 

reasonable doubt,” Proc. 14th International Conference on Condensed Matter Nuclear 

Science (ICCF-14), Washington, D.C., August 10–15, 2008 

2. E. T. Jaynes, Probability Theory: the Logic of Science, Cambridge University Press, 

Cambridge, UK, 2003 

3. F. V. Jensen, Bayesian Networks and Decision Graphs, Springer-Verlag, New York, 2001.

4. J. Breese and D. Koller, “Tutorial on Bayesian networks,” , 1997 

5. K. Murphy, “A brief introduction to graphical models and Bayesian networks,” , 1998 

6. A. Yap, J.R. Santos et al. (CIspace Group, Laboratory for Computational Intelligence, 

University of British Columbia), available for download under “Belief and Decision 

Networks” at ; see also “Terms of Use” at 

 

7. I. J. Good, Probability and the Weighing of Evidence, C. Griffin, London, 1950 

8. E. T. Jaynes, “Confidence intervals vs. Bayesian intervals,” in W. L. Harper and C. A. 

Hooker (eds.), Foundations of Probability Theory, Statistical Inference, and Statistical 

Theories of Science, vol. II, 175–257, D. Reidel Publishing Company, Dordrecht, 

Netherlands, 1976 

9. D. Cravens and D. Letts, personal communication 

10. R. Johnson and M. Melich, “Weight of Evidence for the Fleischmann-Pons Effect,” in J. 

Marwan (ed.), Low-Energy Nuclear Reactions Sourcebook, American Institute of Physics, 

in press 

722

Nuclear or Not Nuclear: How to Decide? 

Ludwik Kowalski 

Montclair State University 

http://csam.montclair.edu/~kowalski/cf 

Kowalskil@mail.montclair.edu 

Abstract 

A recent claim demonstrating a nuclear process triggered by electrolysis is 

challenged. An analysis, based on relative diameters, is used to demonstrate that 

predominant pits could not possibly be attributed to alpha particles, or to less 

massive nuclear projectiles. This conclusion is supported not only by positive 

results from a replication experiment, but also by results from the experiment on 

which the original claim was based. While the numerous SPAWAR-type pits 

seem to be highly reproducible, their interpretation is not yet clear. The 

SPAWAR discovery can be called scientific (rather than protoscientific) because 

it is reproducible. 

Introduction 

The first version of this paper was devoted to my participation in The Galileo Project. More 

specifically I wanted to explain why, in my opinion, alpha particles, or less massive nuclear 

projectiles, could not be responsible for copious pits discovered by the SPAWAR team. I 

wanted to justify this conclusion not only on the basis of my own experimental data but also on 

the basis of SPAWAR results published in (1). It occurred to me, after writing the first version, 

that my manuscript could be published in a mainstream journal. 

Not counting on success, I decided to submit the paper as soon as possible. Surprisingly, my 

paper (2) was accepted; it will probably be published in September or November of 2008. This 

presentation briefly summarizes my investigations of SPAWAR results and addresses some 

topics of general interest. 

Investigations of SPAWAR results 

In 2007 I was one of several researchers who used SPAWAR protocol, distributed by Steve 

Krivit, and reported the results (3) at the APS Winter Meeting (Denver, 2007). These results, 

and results reported by other researchers, demonstrated that dominant pits discovered by 

SPAWAR researchers are reproducible. No one disputed this fact. As far as I know, everyone 

who used the protocol observed copious pits on the face of the CR-39 detector that was in 

contact with the silver cathode during electrolysis. 

But disagreements emerged about how to explain these pits. Are they due to nuclear 

projectiles created during electrolysis or are they due to something else? If copious pits are due 

to nuclear projectiles then what kind of projectiles are emitted? Can they be alpha particles and 

protons, as suggested by SPAWAR researchers (4)? 

723

Taking the nuclear origin of copious pits for granted, I convinced myself that SPAWAR-type 

pits could not possibly be due to alpha particles, or to less massive projectiles, such as protons. 

That conclusion, based on my own experimental data, was reported in (3). In the paper to be 

published (2) I show that SPAWAR’s experimental data, reported in (1), lead to the same 

conclusion. Additional observations can be seen in (9). 

The paper (2) also refers to experimental results reported by several CMNS researchers. In an 

experiment conducted by Tanzella et al. (5), the CR-39 detector was surrounded by a sixmicron 

mylar film. This was done to eliminate direct contact between the CR-39 detector and 

the cathode (or the electrolyte). The film was sufficiently thin to allow alpha particles (with 

energies higher than 1.5 MeV) to be transmitted. No copious pits were observed in this 

experiment. I consider this to be a direct proof that SPAWAR-type pits are not due to alpha 

particles with energies higher than about 1.5 MeV. 

The most interesting result of (5), however, was the presence of another kind of pits, on both 

sides of the CR-39 detector surrounded by the thin mylar film. These pits were not as abundant 

as SPAWAR-type pits (only about 100 per square centimeter versus millions per square 

centimeter) and they were considerably smaller than copious pits in SPAWAR-type 

experiments. A subsequent investigation (by Lipson et al.) showed that sizes of pits, on the 

mylar-protected CR-39 chip, are about the same as sizes of pits due to protons with energies 

between 2 MeV and 3 MeV. In my opinion, proton-like pits offer a more convincing evidence 

of a nuclear process due to electrolysis than much more abundant SPAWAR-type pits, near the 

cathode. 

General observations and suggestions 

1) Problem of reproducibility: science versus protoscience 

Use of scientific methodology of validation, in a given field, is not sufficient to make a field 

scientific. At least some demonstrations of new phenomena must be reproducible on demand. 

Without this a field should be characterized as protoscientific. The expected evolution of a 

protoscience into science is schematically represented in Flowchart 1, below. 

2) Struggle for recognition 

A field in which scientific methodology of validation is used, and in which some new 

phenomena are reproducible on demand, is scientific. The expected evolution of a new 

scientific field, toward general acceptance, is schematically represented in Flowchart 2. 

724

Flowchart 1 

Flowchart 2 

725

The evolution of protoscience into science (Flowchart 1) can be very slow because 

experiments are not reproducible and because researchers are not guided by a reliable theory. 

Theories based on ad hoc assumptions are not reliable. Success depends on sheer luck in 

accidentally identifying necessary preconditions for reproducibility, and on available resources. 

But the path from reproducibility of a new effect to general acceptance (the second flowchart 

above) is likely to be much faster. Starting with a reproducible experiment one can quickly 

learn how different parameters influence the effect. Some parameters will have only negligible 

effect on the outcome while others will have dramatic influence. Success will no longer depend 

on chance; it will become a matter of skill in systematic investigations. 

3) Coordinated research versus working in isolation 

It is unfortunate that, except for The Galileo Project, initiated by Steve Krivit (7), CMNS 

researchers work in isolation from each other. This is understandable; each researcher does 

what matches his/her expertise and limited resources. This kind of work has been going on for 

19 years. It produced remarkable protoscience, in the subfields listed below: 

----------------------------------------------------------------------------------------------------- 

1) Excess heat, sometimes orders of magnitude larger than what can be attributed to known 

chemical reactions. 

2) Excess heat correlated with production of 4He (generated at a rate close to 23 MeV per 

atom of produced helium). 

3) Chemically-induced changes in isotopic composition of elements. Note that the term 

“chemically” is very broad; it covers all atomic and molecular processes, including diffusion of 

gasses through solids. 

4) Production of new elements, either stable or radioactive, in amounts high above what can 

be attributed to omnipresent impurities. 

5) Chemically-induced changes in the rate of radioactive decay. 

6) Production of high energy photons, for example, gamma rays, during chemical processes. 

7) Emission of energetic nuclear particles 

----------------------------------------------------------------------------------------------------- 

But the task of turning protoscience into accepted science is still waiting for us. How to 

approach this difficult task and how to proceed more effectively? In my opinion, well-focused 

cooperative investigations, as in The Galileo Project, are likely to be more productive, in the 

next two or three years, than uncoordinated efforts of many individuals. Who should select the 

one or two most promising effects on which to focus? Who should coordinate these 

investigations? And who should cover the costs (probably not more than three to five million 

dollars)? 

I think that the task of selecting one or two effects, on which to focus, belongs to us; our 

CMNS discussion list, run so well by Haiko, seems to be an ideal platform to debate various 

proposals. A decision is likely to emerge after about three months of intensive debating. But the 

726

two other tasks, coordination and providing financial support, belong to our governments. 

Acting as a group, we should approach government organizations, such as NSF, National 

Academy of Science, or DOE, and ask for coordination and support. That is the declared 

mission of such organizations. National laboratories best equipped for the selected projects 

should be selected, to minimize additional costs. That is the only way to get a clear yes-or-no 

answer about the new kind of nuclear activity. 

How to convince governments that a relatively modest amount of additional money is worth 

investing to solve the puzzle? By being organized and acting as a group rather than as 

independent individuals. This kind of action was already tried, about five years ago, and it 

produced a result; the second DOE investigation of CMNS would not have taken place without 

such initiative. Unfortunately, that investigation turned out to be a failure. The reason is 

obvious; the DOE decisions were based on voting, rather than on experimental data. Scientific 

decisions should be based on available data, obtained by the most qualified scientists in the 

most suitable laboratories. Voting is not part of scientific methodology. 

4) Which experiments would I recommend? 

If only one experiment were to be selected, my choice would be from the second subfield 

(see the above table), preferably the protocol of Mike McKubre et al. Several independent, 

highly qualified, investigators reported production of helium during electrolysis. Each of them 

reported that results were reasonably reproducible in consecutive experiments. If two 

experiments were to be selected then the second experiment would be from the last field, 

preferably the protocol described in (5). But at least one more replication of the Tanzella-type 

experiment would be needed; a single experiment is not enough to make the decision. 

Production of helium and production of protons are undeniable nuclear signatures. No matter 

which experiments will be selected, for coordinated investigations, the purpose should be the 

same, to demonstrate a nuclear activity resulting from a chemical process. 

Will we be able to act in unison and accomplish the first task quickly? Will at least one team 

of scientists emerge, ready to cooperate with mainstream scientists in a national lab? Will they 

obtain the necessary support from in at least one country? All this remains to be seen. In the 

final analysis, the outcome will depend on our willingness to fight for a clear yes-or-no answer. 

5) On positive and negative contributions 

It is difficult to present a negative CMNS report at a formal gathering of CMNS researchers. 

Most attendees want and expect positive results and convincing interpretations. Reporting 

something negative is likely to produce discomfort and personal friction. What fraction of 

CMNS researchers prefer to report nothing rather than reporting negative results? Reporting 

negative results is just as important as reporting positive results. We all know this. But how 

does this influence what we actually say, and not say, in public? Friendship and other 

considerations (“that is bad for CMNS reputation”) might play a role, in practice. That would 

introduce bias. 

727

References 

1. Mosier-Boss, P.A., et al. “Use of CR-39 in Pd/D copdeposition experiments,” Eur. Phys. J. 

Appl. Phys., 40, 293 (2007) 

2. Ludwik Kowalski, “Interpreting SPAWAR-type Pits: Comments,” accepted for publication 

(on July 24, 2008) in European Physical Journal Applied Physics. 

3. Ludwik Kowalski et al., “Our Galileo Project March 2007 Report,” Winter Meeting of 

American Physical Society. (2007). Content of the presentation can be seen at 

 

4. Mosier-Boss, P.A., et al. “Production of High Energy Particles Using the Pd/D Codeposition 

Process,” Winter Meeting of American Physical Society. (2007). 

5. A.G. Lipson et al., “Analysis of the CR-39 detectors from SRI's SPAWAR/Galileo type 

electrolysis experiment #7 and #5. Signature of positive neutron emission.” To be 

published in [6]. (F. Tanzella was one of several coauthors.) 

6. Proceedings of 8th International Workshop on Anomalies in Hydrogen / Deuterium 

Loaded Metals; 13-18 October 2007, Sheraton Catania, Sicily, Italy 

7. Editors: Jed Rothwell and Peter Mobberley; Copyright © 2008; The International Society 

for Condensed Matter Nuclear Science. Printed by Instant Publisher 

8. S. Krivit “2007 Galileo Project Report” at 

http://www.newenergytimes.com/tgp/2007TGP/2007TGP-Report.htm 

9. Ludwik Kowalski, http://csam.montclair.edu/kowalski/357.html This webpage offers a 

link to a SPAWAR paper that was published after the conference. The paper is a rebuttal of 

arguments presented in (2). 

728

Open Source Science Applied to CMNS Research: A 

Paradigm for Enhancing Cold Fusion Prospects and the 

Public Interest 

Thomas W. Grimshaw 

Lyndon B. Johnson School of Public Affairs, The University of Texas at Austin 

Abstract 

Open Source Science (OSSc) is a collaborative, voluntary (uncompensated) and 

highly distributed method of research that emphasizes the use of new digital 

technologies, particularly the Internet. The OSSc paradigm grew out of the open 

source software movement, which has resulted in wide availability of free 

software (such as the Linux operating system) as an alternative to proprietary 

software products. 

The public interest in the success of cold fusion has long been recognized 

because of the potential social welfare benefits related to its possibilities for very 

low cost energy. Cold fusion researchers, because of rejection of their field by 

mainstream science and continued highly marginalized research conditions, 

employ many of the methods and tools of OSSc. For example, they use websites 

for posting research papers and Internet discussion groups for introducing ideas 

and dialoguing online about the relative merits of those ideas. 

The prospects of cold fusion success may be significantly enhanced by 

extending the current informal and implicit use of OSSc-type methods to more 

organized and explicit deployment under the sponsorship of a recognized 

professional organization such as ISCMNS. A formal, sponsored use of OSSc 

for support of cold fusion could bring powerful OSSc methods into play that are 

not currently used. The prospects for cold fusion success, and the associated 

public interest in that success, may be significantly enhanced by expanded and 

more disciplined application of OSSc methods by the research community. 


Open Source Science (OSSc) is a recent development in the methodologies of scientific 

investigation that departs significantly from scientific practice as it has evolved in recent 

decades. OSSc is enabled by technologies of the digital revolution, particularly the Internet, and 

embraces a collaborative investigative approach. OSSc grew out of Internet-supported 

collaborative development of software under a paradigm known as Open Source Software 

(OSS). One particularly successful example of the OSS paradigm is the Linux operating system 

software. 

729

Cold fusion (CF) is a potentially revolutionary scientific discovery in which nuclear fusion is 

achieved at non-explosive rates and at ambient (near-earth-surface) temperatures. CF 1 was 

announced by two research chemists 2 in 1989 as a scientific breakthrough with promise of 

meeting most of the energy needs of society. However, for a variety of reasons (both technical 

and sociological), CF was rejected by the mainstream scientific community within a year of its 

announcement. 

Despite this rejection, research into CF has continued under highly marginalized conditions 

by a relatively small group of capable and reputable scientists. This research appears to show 

evidence of the validity of CF phenomena. With its current state of rejection and 

marginalization, CF appears to be an ideal candidate for research under the OSSc paradigm, not 

only because of the appeal of voluntary research contributions in the absence of funding from 

conventional resources, but also because of theoretical challenges whose resolution may benefit 

from the insights and perspectives of other fields besides nuclear physics. 

2. The Open Source Science Paradigm 

Open Source Science is a paradigm for conducting research that differs substantially from 

conventional science as it has evolved in the last few decades. In the OSSc perspective, 

research (and the resulting knowledge) is viewed as a public good – as belonging to the 

commons – and as freely accessible rather than protected by property rights. This perspective 

was initially brought forth in the context of collaborative development of computer software 

(OSS) and has extended into other areas, including publication of technical literature (Open 

Access, OA) and scientific investigation (OSSc). 

OSSc not only reemphasizes a traditional viewpoint toward science and knowledge as part of 

the commons, but it also makes use of powerful tools, such as communication and electronic 

file management functions of the Internet, to further or enhance collaboration in scientific 

investigation. It also encourages, and provides the means for, the synergy of many people with 

different backgrounds and perspectives to attack a problem. Such collaborative effects provide 

the basis for cross-fertilization among different fields and disciplines, one of the most powerful 

methods of achieving new insights into a problem area 3 . 

Although OSSc represents a constructive return to the traditional values and practices of 

science, and adds significantly to scientific practice through the power of the Internet, it is not 

without issues. For OSSc specifically, Schweik (2007) identifies four areas needing urgent 

1 Some CF researchers have sought to replace “cold fusion” with other more accurate terms, 

including “low energy nuclear reactions” (LENR), “chemically assisted nuclear reactions” 

(CANR), and “condensed matter nuclear science” (CMNS). Although the new terms are 

legitimate and helpful, “cold fusion” continues to be readily recognized and widely used. 

2 Martin Fleischmann and Stanley Pons 

3 Several websites have been set up specifically to offer rewards and provide a venue for creative 

people of different disciplines to seek solutions to problems that have proven to be intractable 

within the field in which they originated. See, for example, the Innocentive website at 

http://www.innocentive.com. 

730

attention: 1) how to license digital material besides software; 2) how to achieve success in the 

context of current incentive structures for researchers; modify incentives and develop a “nextgeneration” 

e-journal; 3) how to govern collaboration under the OSSc paradigm; and 4) how to 

finance projects under the OSSc paradigm. 

The central question for successful application of the OSS paradigm to science (OSSc) is the 

provision of adequate incentives for the broad spectrum of potential participants. 

3. Cold Fusion Research and Reporting Today 

If it proves to be real, CF will be good news for the welfare of humanity because it holds the 

promise of providing abundant supplies of energy from nuclear sources at temperatures close to 

the surface of the earth and with little or no associated harmful radiation. Despite the initial 

rejection of CF, a number of capable and reputable researchers continued their investigations – 

and continued to achieve positive results. For example, a recent CF publication (Storms 7007) 

tabulated some 184 confirmations of excess heat (indicating cold fusion reactions) from 1989 

to 2004. The situation with CF – continued affirmative results without general acceptance 

initially by the scientific community – is typical for radical new discoveries and has been well 

characterized by Kuhn (1986). 

Cold fusion researchers, in spite of (or perhaps because of) the rejection and marginalization 

of the field, have formed a relatively close-knit (although often fractious) community that has 

its own methods of conduct, communication, critique and reporting of research results,. The 

Internet has played a key role in the success achieved in that research. Continued and expanded 

use of the Internet will be a major ingredient of support of CF research in the future. The salient 

communication and reporting methods currently used are described below. 

Professional Organization. The International Society for Condensed Matter Nuclear Science 

(ISCMNS) is the accepted CF-dedicated professional organization. According to its 

website 1 , the ISCMNS mission is “to promote the understanding, development and 

application of Condensed Matter Nuclear Science for the benefit of the public”. The 

organization is governed by a constitution and executive committee, and it maintains a code 

of conduct for its members. 

Conferences. The CF research community presents papers on theory and experimental 

results in mainstream science conferences where such opportunities can be found. Because 

of its marginalization, CF has also been the topic of dedicated conferences (International 

Conferences on Cold Fusion, ICCF) since 1991, with meetings held in various countries 

about every 18 months. The ICCF conferences are held under the auspices of the ISCMNS. 

ICCF-14 took place in August 2008 in Washington, D.C. 2 with over 180 attendees. 

Peer-Reviewed Journal. As in the case of conferences, CF researchers publish peerreviewed 

papers in mainstream scientific journals – where their papers are not rejected 

outright because of the topic. In response to a strong need for additional publication outlet, 

1 http://www.iscmns.org/ 

2 http://www.iscmns.org/iccf14/index.htm 

731

ISCMNS has initiated a CF-dedicated open-access and peer-reviewed journal, the Journal 

of Condensed Matter Nuclear Science 1 (JCMNS). 

Publications Repository. A website entitled LENR-CANR 2 provides an online library with 

a bibliography of more than 3500 journal papers, books and news articles related to CF. 

Included in the library are more than 500 scientific papers in PDF (Acrobat) format. Three 

e-books are also available on LENR-CANR for free downloading. Jed Rothwell’s “Cold 

Fusion and the Future” (2007) is intended to “show that with cold fusion we can 

accomplish marvelous things” (p. 1). Edmund Storms’ “A Student’s Guide to Cold Fusion” 

(2003) is somewhat more technically oriented. Beaudette’s “Excess Heat – Why Cold 

Fusion Prevailed (2002)” is one of the most important CF reference works published to 

date. 

Newsletters. The best-known and most complete CF newsletter is “New Energy Times” 

(Krivit 2007), which is produced bimonthly by the New Energy Institute, with Steven 

Krivit as editor and publisher. It is available online for downloading 3 . 

E-mail Thread in CMNS Google Group. An e-mail thread for about 100 CF researchers is 

maintained in Google Groups by Haiko Leitz 4 . Participation is by invitation – new members 

must be recommended by a current member before being added to the list by Leitz. The 

CMNS list is quite active, typically with 12 to 20 postings daily. 

Thus, cold fusion research as it is conducted today already has many of the characteristics of 

research under the OSS paradigm, such as performance of low-budget research by many 

investigators and at many locations. 

4. Enhanced Application of Open Source Science to Cold Fusion Research 

Although the methods currently used by the CF research community have many open access 

features, additional measures are available under the OSSc paradigm to enhance development, 

communication and reporting of research results. One of the primary contributions that OSSc 

can make to the CF research effort is to provide the means for increased collaboration, 

particularly by those having expertise in other fields. Examples of Internet tools that are 

available to enhance communication and reporting are shown in Table 1. 

1 http://www.iscmns.org/CMNS/publications.htm 

2 http://www.lenr-canr.org/ 

3 http://www.newenergytimes.com 

4 cmns@googlegroups.com 

732

Table 1. Internet Tools for Communication and Reporting 1 

Information Type Online Tools Method of Distribution 

News Blogs 

Podcasts 

Moblogging 

733 

RSS 

Automated e-mail newsletter 

User checking Web site 

Events Calendars Open standard event formats (.ics, iCal, vCal, 

etc.) 

RSS 

E-mail alerts 

User checking Web site 

Participatory 

Dialog/Interactivity 

Forums 

Blog entry comments 

Polls 

Real-time text chat 

Video chat 

Webinars 

Documents/Images File manager 

Searchable image gallery 

Contacts/Members/ 

Groups 

Shared applications/ 

documents 

Summary, quick 

glance, monitoring 

change 

RSS 

E-mail subscriptions to comments or forums 

Online polls/surveys 

User interacting with Web site 

Chat programs 

Webinar services 

FTP, RSS 

E-mail notification 

Dashboard 

Membership database Searchable database, links in forums/blogs 

Google Docs 

Online access to shared application 

Zimbra.com 

Basecamp.com 

Digital dashboard Web page 

Desktop application (e.g., Visio) 

Mobile phone application 

Under an upgraded scenario (referred to as the CF/OSSc paradigm), emphasis would be 

placed on developing a clear statement of the “CF case” in a mildly promotional tone and 

making it easily accessible. The various sources of CF information – books, websites, papers, 

repositories, etc. – would be identified and categorized to facilitate the task of newcomers to 

the field in “coming up the learning curve.” The needs of both the general public – for general 

information for making an informed decision about CF – and potentially interested 

sophisticated researchers, who need a more in-depth introduction to the field, will be addressed. 

Table 2 provides a summary of the inferred CF research and communication requirements 

along with a listing of current and proposed CF/OSSc methods of meeting the requirements. 

1 Adapted from “Models of Collaboration Tools,” Prof. Gary Chapman, LBJ School of Public 

Affairs, The University of Texas at Austin. Online. 

http://www.21stcenturyproject.org/collaboration_tools.htm.

Table 2. Current Methods and Proposed OSSc Approaches for CF Research and Communication 

Function/Requirement Current Method or Tool OSSc Approach 1 

Real-Time Professional 

Exchanges 

-E-mail list on GoogleGroups, 

managed by Heiko Leitz 

734 

-As currently; periodically post e-mail 

threads on ISCMNS website 

-ISCMNS assume responsibility for 

GoogleGroups if/when necessary 

-RSS feed feature on ISCMNS website; 

webinar services; blogs & podcasts 

-Post draft papers for download and addition 

through collaborative research 

Collaborative Publication -E-mail list on GoogleGroups, 

managed by Heiko Leitz 

Cross-Fertilization -None? -Formulate unresolved theoretical and 

Promotion 

experimental problems and post on 

ISCMNS website 

-Provide management for responses from 

researchers from other fields 

Shared Software & Other -Informal exchanges among -OSSc enhancement: Identify and post most 

Tools (e.g., Experimental individual researchers 

important software and tools (e.g., 

Design) 

experimental software) on ISCMNS 

website for online access 

News -“New Energy Times” newsletter -Mirror “New Energy Times” newsletter on 

(primarily) by Steven Krivit ISCMNS website (or at least provide 

hyperlink) 

-Provide Internet functions , such as blogs, 

podcasts, RSS feeds 

Scheduled Events -“Events” on ISCMNS and New -As currently. Implement online calendar on 

Energy Times websites 

ISCMNS website to supplement Events 

on existing sites 

Professional Meetings & -ICCF Conferences sponsored by -As currently. Post proceedings on ISCMNS 

Proceedings 

ISCMNS 

website as mirror to LENR-CANR 

-Mainstream science conferences - OSSc enhancement: Provide webinar 

(e.g., APS March meeting) 

-Conference proceedings posted on 

LENR-CANR 

services? 

Publication of Peer- -Submit and publish papers in -As currently. Maintain posting of CMNS 

Reviewed Papers 

mainstream scientific journals 

(where available) 

-Publish in newly-established 

CMNS Journal 

Journal on ISCMNS 

Publications Repository - LENR-CANR, operated by Jed -Mirror LENR-CANR repository on 

Rothwell 

ISCMNS website 

-ISCMNS assume responsibility for 

repository if or when necessary 

Public Awareness & Cold -“New Energy Times” website -As currently. Add links from ISCMNS 

Fusion Promotion 

(primarily), with newsletter website 

- LENR-CANR website, with three -Webinar services, FAQs, wiki, RSS feed 

downloadable books by Beaudette, 

Rothwell and Storms 

service for ISCMNS website 

1 Most OSSc enhancements are taken from “Models of Online Collaboration” by Professor Gary Chapman, LBJ 

School of Public Affairs, The University of Texas at Austin. See: 

http://www.21stcenturyproject.org/collaboration_tools.htm

5. Website Support of Enhanced Open Source Science 

Implementation of CF/OSSc will make full use of the functions of the Internet. The website of 

ISCMNS, the accepted CF professional organization, may serve as a suitable platform for 

supporting the CF/OSSc implementation. 

The ISCMNS website, as modified to support CF/OSSc research, would be set up to meet the 

requirements as set forth in Table 2. The homepage would be designed for the general public but 

would also fully support the sophisticated needs of the CF research community. Hyperlinks to the 

topical webpages and other CF websites will be used extensively to avoid “information overload” 

on the homepage. 

Individual webpages on the revised ISCMNS website would be developed by CF topical area 

as described in Table 2. They would range from descriptive and promotional pages for the 

general public and researchers new to the field to highly technical forums and download 

facilities to help researchers to collaborate on such topics as theoretical underpinnings of CF 

and experimental designs and results. The following webpages are expected to be needed for 

the revised website: 

Basic Non-Technical CF Descriptions Shared Software and Other Tools 

News and Scheduled Events Publication of Peer-Reviewed Papers 

Professional Contacts and Group Members Publications Repository 

Professional Real-Time Exchanges Monitoring Changes and Quick Glance 

Collaborative Publication Financial Contributions 

Intellectual Property Information 

6. Financial Support 

The issues around financial support of OSSc initiatives were well articulated by Schweik 

(2007), apparently based in part on experience with the ORS project described above. The main 

points of this review are summarized as follows: 

Financial support must be carefully addressed for OSSc projects to be successful. 

Support must be considered in two areas – the time and effort involved in contributing 

to the OSSc project, and the required administrative and collaborative infrastructure. 

Project financing in the past has come from seven types of revenue – government 

subsidies, philanthropy, corporate consortia, corporate investment, venture capital and 

investment banking, user or participant donations, and a hybrid or mix of the first six 

sources. 

The costs for the time and effort for contributions may be covered by sources that are 

implicit in the OSSc paradigm and Mertonian science in general – donations from 

contributors who gain their livelihood by other means. 

Administrative and infrastructure costs may be recovered in a similar manner to that 

used for OA publication costs, including compensation for ancillary support services, 

subscription models, and author-pays-to-publish models. 

735

For the CF/OSSc project, the ISCMNS organization could establish a subsidiary foundation 

to control risk to the organization and to receive and manage funds. Decisions on the overall 

content and structure of the website will be subject to the approval of the ISCMNS Executive 

Committee. 

7. References 

Beaudette, Charles G. Excess Heat: Why Cold Fusion Research Prevailed. 2 nd ed. South Bristol, 

Maine: Oak Grove Press, 2002. 

Krivit, Steven B., Editor and Publisher. New Energy Times – The Leader in News and 

Information on Low Energy Nuclear Reactions. San Rafael, CA: New Energy Institute, Inc. 

Online. Available: http://www.newenergytimes.com. Accessed: November 2007. 

Kuhn, Thomas. The Structure of Scientific Revolutions. Chicago: Univ. of Chicago Press, 1986. 

Rothwell, Jed. Cold Fusion and the Future. LENR-CANR.org. 4 th Edition, April 2007. Online. 

Available: http://lenr-canr.org/acrobat/RothwellJcoldfusiona.pdf. Accessed: November 2007. 

Schweik, Charles M. “Free/Open-Source Software as a Framework for Establishing Commons 

in Science.” In Understanding Knowledge as a Commons – from Theory to Practice, ed. 

Charlotte Hess and Elinor Ostrom. Cambridge, Massachusetts: The MIT Press, 2007. 

Storms, Edmund. A Student's Guide to Cold Fusion. LENR-CANR.org, 2003. Online. 

Available: http://www.lenr-canr.org/acrobat/StormsEastudentsg.pdf . Accessed: November 

2007. 

Storms, Edmund. Science of Low Energy Nuclear Reaction: A Comprehensive Compilation of 

Evidence and Explanations about Cold Fusion. Singapore: World Scientific Publishing, 2007. 

736

ICCF-14 Summary 

Thomas O. Passell 

TOP Consulting, P.O. Box 336, Palo Alto, CA 94302-0336 

Introduction 

Some 180 people attended the 14 th International Conference on Cold Fusion 

held in Washington D.C., USA from August 10 through 15, 2008. This 

summary is intended to highlight the key results that I found persuasive, as well 

as some wider scope sociological context in which the meeting took place. This 

is no substitute for a careful reading of each paper in these proceedings by each 

interested person trying to advance the field toward the prime objective of 

obtaining a reliable energy source to replace our existing ones. No more 

significant objective can be imagined since our entire modern civilization is 

dependent upon enormous quantities of energy of high quality. Quality is 

roughly synonymous with energy density of the fuel and the higher temperatures 

at which it can be more readily utilized. The idea of unlocking the potential 

energy of the lightest elements in a fusion process is remarkable, considering the 

vast amount of the fuel available on the earth. The night sky shows that the 

universe is powered by fusion of hydrogen to helium at the high temperatures in 

the stars. The notion that we might release the energy of fusion in a solid at 

lower temperatures is a concept beyond all our expectations as recently as 20 

years ago. 

We have yet to demonstrate this process in a sufficiently convincing manner to 

attract the required effort and funding to take these observed phenomena from 

imperfectly predictable episodes to a demonstration of a controllable energy 

source of high quality. Progress over the past 19 plus years has nonetheless been 

steady enough to inspire a number of our scientifically-trained colleagues to 

soldier on in spite of the meager funding and extensive controversy. 

Sociological Context 

One way to illustrate the context in which the meeting took place is to relate the background 

leading to the appearance of a videotaping crew from CBS’s “60 Minutes” throughout the first 

day’s proceedings. An informal inquiry led to the following picture explaining why ICCF-14 

should suddenly be the subject of interest to the national media: The primary investor in the 

Israeli company, Energetics, Inc., apparently requested CBS’s help in getting a wider audience 

for their reports of unprecedented net energy production by deuterium in palladium cathodes. 

The “60 minutes” operatives were active that first day of the meeting, interviewing several of 

the attendees. They asked interviewees for their evaluation of the reliability of the evidence for 

cold fusion production of energy. Among the list of interviewees was a representative of the 

mainstream physics community who was asked to advise them on when and/or if CBS should 

schedule this subject on the air. In my discussion with my friend Paul Grant who served in the 

737

ole of skeptical mainstream physicist, I discovered his intended recommendation was to 

postpone the airing for a year or more on the assumption that more reliable data would be 

forthcoming by then. Grant also mentioned that Richard Garwin had written a letter supporting 

this delay. My response to this was to quote to the CBS representative one of C. Northcote 

Parkinson’s Laws, his Law of Delay. This law states that Delay equals Denial, in most practical 

bureaucratic organizational situations. At this writing it is not clear what “60 Minutes” will 

decide. Stay tuned! 

Why bring up this tempest in a teapot? Because it illustrates the remnant of the intense 

controversy surrounding this field in the first few years following the announcement by Pons 

and Fleischmann on March 23, 1989. After 19 plus years the protagonists in that controversy, 

who included many mainstream physicists beyond Garwin and Grant, still feel compelled to 

suppress publicity about the subject. My initial reaction is that their response is reminiscent of 

defenders of the faith in religious wars. In today’s climate in which “war” is waged for 

government funding of research, their response may be just another battle in that “war”. 

Another question to consider is “Why make a special issue over this field of research?” If the 

claims of cold fusion were really as unfounded as the many wild claims of truly pathological 

science, why not simply ignore such claims rather than actively suppress publicity about the 

evidence? Again, it appears that the field of energy is currently so filled with competing claims 

of uncertain validity that cold fusion claims are in a separate class more threatening than all the 

others to existing energy research interests. 

To sum up this situation, cold fusion researchers are faced with a community that resists 

taking a hard look at the evidence we are generating; a community that appears more interested 

in defending turf in the battle for research funds. If the mainstream community truly believed 

we have no reliable evidence, why would they not just ignore us? One possible answer is the 

precarious situation in the traditional field of plasma fusion (or “hot” fusion). That field has 

persisted for over 50 years working heroically against the steep odds of finding a reliable 

container for hot plasma with temperatures in the 100 million degree temperature range. 

Having seen the situation up close in its early years (1958-1961) at Lawrence Livermore 

National Laboratory, it was apparent to me even then that fundamental materials and magnetic 

field instability problems might eventually defeat the effort. At this time, I personally prefer the 

odds in favor of cold fusion versus “hot” fusion! Of course, both of these approaches may 

ultimately prove impractical. We may be stuck with nuclear fission of uranium and thorium for 

the next 40,000 years, the approximate time at which even uranium and thorium supplies are 

depleted! 

Review of a Small Sample of Results Presented at ICCF-14 

As Thomas Edison said, even failures are valuable results because they steer you past blind 

alleys in your search for something that works. Therefore I honor all the presenters at the 

conference because they all are making useful contributions. Of course there is sometimes a 

carryover to a meeting of scientists from the game-playing that occurs in the political arena. In 

that arena they are known as dirty tricks or distractions from the agendas of most people. The 

scientific method we hope is in the minds of attendees can usually detect such behavior, 

738

especially when the presenter makes claims that omit the evidence for such claims on the basis 

of proprietary issues. Another is the assertion that the only acceptable evidence for cold fusion 

would be an auto driving down the street powered by it, as was expressed at ICCF-1. Finally 

the assertion that only extraordinary evidence would support extraordinary claims is made by 

the same people that speak against spending enough research money to collect that 

extraordinary evidence! 

Finally, on to a few selected papers! For me, the most impressive results were given in four 

papers: 

1) S. Lesin, et al., “Ultrasonically Excited Electrolysis Experiments at Energetics 

Technologies” (ET) 

2) Y.Arata and Y. Zhang, “Solid Fusion” Reactor with Zero Input Energy” (AZ) 

3) F. Celani et al., “Deuteron Electromigration in Thin Pd Wires Coated With Nano- 

Particles:Evidence for Ultra-Fast Deuterium Loading and Anomalous, Large Thermal 

Effects” (IT) 

4) M. Swartz, “Excess Power Gain and Tardive Thermal Power Generation using High 

Impedance and Codepositional Phusor Type LANR Devices” (MS) 

Paper (1) ET: 

Using ultrasonic (US) cleaning and modification of cathode surfaces along with varying the 

current to the cathode by use of their 3-frequency super waves by magnitudes of around 10%, 

some ratios of output heat to input electrical energy of 30 to 1 were observed for times up to 40 

days at net output powers up to 32 watts. While this is still far from a commercially interesting 

heat source, it represents a large step forward toward such an objective. If the Arata-Zhang 

experience in finding the He-4 ashes of the heat generation process almost entirely sequestered 

within the metal phase, then these cathodes represent possible He-4 contents that would be 

easily measurable. Also noteworthy is the extensive collaboration between the McKubre-SRI, 

Violante-ENEA, and the Hubler-NRL groups in achieving these impressive results. Many 

challenges remain, since the US process sometimes destroys the integrity of the fairly fragile 

cathodes. 

Paper (2) AZ: 

Applying high gas pressures of D2 and H2 to nanometer sized Pd and Pd alloys mixed with 

nanometer diameter ZrO2 apparently gives a larger heat effect with D2 versus H2. Both give the 

expected exothermic heat of hydrogen absorption widely observed as a chemical heat effect. 

After several hundred hours the D2 case remains above ambient temperature by 1.6°C as 

opposed to essentially null temperature difference with H2. This experimental evidence is not 

so convincing until we consider the data on He-4 content. The metal samples are evaporated in 

the source chamber of a mass spectrometer in which the D2 sample shows 1E17 atoms of He-4 

whereas no appreciable He-4 is observed in the H2 sample. The only input energy to the system 

is that of the energy density of the compressed gases. If this work is confirmed, it says that 

permeation of D2 gas through a metal matrix is the active process producing the cold fusion 

reaction. The role of the ZrO2 particles is apparently to prevent agglomeration of the nanometer 

739

sized Pd and Pd alloy particles. Apparently the surface of the particles is essential to success, 

even though the He-4 appears to remain with the metal particle and not escape to the gas phase. 

Paper (3) IT: 

Celani and coworkers from throughout Italy showed the most innovative departure from 

previous studies. Pd wires in the 50-100 micron diameter range were bundled with two Pt wires 

in a set of individual fiberglass insulating tubes and exposed to 5 to 6 bar D2 or H2. The Pd 

wires were coated with a chemical mixture that resulted in nanometer sized Pd particles coating 

the Pd wire. Calibration with He-4 gas gave a system not subject to significant variation in heat 

transfer conditions. The two Pt wires served as a calibration joule heater and distributed 

thermometry, respectively. The D2 case showed an extra 5 watts with 52 watts input whereas 

the H2 case gave less than 1/3 as much. These wire systems are fragile and many experiments 

failed early. One set of wires lasted for 50 days, however. A major fraction of the excess power 

was obtained when 10 watts of input power was added by current applied down the axial length 

of the Pd wire. Even though extremely rapid loading was observed with the coated Pd wire, the 

electromigration was carried out with Pd in the lightly loaded alpha phase. This was done 

because the diffusion rate of H2 or D2 is 100 times faster in the alpha phase than in the highly 

loaded beta phase! The advantage of this and other gas-metal systems is their ability to operate 

in the several hundred degrees Celsius range at which the energy produced will be more 

commercially useful. It will be interesting if He-4 is found in the active Pd wire in amounts 

commensurate with the excess heat observed. 

Paper (4) MS: 

Swartz has produced a long series of papers on calorimetry of Pd and Ni using nearly pure 

electrolytes of very high impedance, hence requiring much higher voltages than is widely used 

by other electrochemists. His results show excess power and energies well above any 

reasonable uncertainties, and in a few cases observing excess heat with Ni in light water. His 

evidence for socalled heat after death (HAD) after all input power is turned off is particularly 

convincing. If He-4 has been produced within all these cathodes, they should be tested for He-4 

content to compare with the total excess energy produced during the life of each cathode. 

Other interesting papers include those by Dufour et al., Nohmi et al., Parchamazad-Miles, 

and Kasagi et al.: 

Dufour used an ice calorimeter of high accuracy to observe the known heat of absorption of Pd 

by H2 and D2. In the D2 case, evidence for a delayed heat effect was obtained not present in the 

H2 case in one of two attempts. Again as with the AZ experiment, simple loading to normal 

levels (0.6 D or H per Pd atom) appears to trigger an unusual excess heat effect with D2 and not 

H2. The total HAD was about 10 joules/gram of Pd or about 1.0 Kilojoules/mole of Pd. It is not 

clear why HAD showed up in the first try but not in the second try. It is remarkable that all 

these experiments were for D and H loading in the conventional range of about 0.6 D or H/Pd. 

Also this was all with just a single ingestion of D2 or H2 at 0°C and 2 bars pressure. 

Nohmi et al. made a serious and potentially effective effort to replicate the claims of AZ with 

fine particles of Pd. No mention was made of adding ZrO2 particles. Their results using a flow 

calorimeter appears to be positioned to provide a credible measurement of excess energy. Their 

740

plan is to also measure any He-4 generated, presumably within the metal particles as originally 

claimed by Arata and Zhang. 

Parchamazad et al. explored the possibility of producing Pd particles in the well-characterized 

pores in the zeolites. These pores have useful characteristics for chemical catalysis. The authors 

believe some interesting phenomena similar to gas-metal reactions reported by others might be 

observed in this unique environment. 

Kasagi et al. described a uniquely-designed detection system for high energy charged particles 

(alphas?) hypothesized to be emitted from the permeation of D2 gas through the complex 

Pd/CaO films used by Iwamura, et al. in which transmutations Cs→Pr and Sr→Mo have been 

claimed. The authors have done a heroic job of particle detection and claim that even 3 counts 

per day are significantly above the cosmic ray background. 

Discussion 

Considering the size of the material and temperature conditions matrix among the solids and 

gases energized by Pons and Fleischmann’s initial 1989 announcement, it is small wonder that 

we have only scratched the surface of possible experiments. Still lacking is a definitive 

measurement of both excess energy and the hypothesized He-4 ashes from that excess energy. 

Professor Arata and Dr. Zhang have come the closest to this objective but clearly such a clear 

cut connection would be the holy grail of this scientific research. 

Many of the papers at ICCF-14 were light on hard evidence and heavy on hopes for more 

detailed experimental evidence. The lack of robust funding is the greatest impediment to 

resolving the scientific issues associated with this subject. 

Thanks to everyone who participated in this meeting. I invite all my readers of this all too 

brief and inadequate summary to scan all the published papers. There are nuggets of helpful 

information in many of them that may eventually lead to one of the most significant research 

results in the past 200 years. 


I ask forgiveness from authors of many worthy papers not covered in this summary. My only 

hope is that this inadequate sampling will induce the reader to thoroughly mine the treasures to 

be found in many more of the ICCF-14 papers. The encouragement and assistance in this 

endeavor by Co-chairmen David Nagel and Michael Melich is gratefully appreciated. 

741

Honoring Pioneers 

For most fields of science, there are one or two people who are essentially the originators of 

the field. In many very important areas, they are the people recognized by receiving a Nobel 

Prize or some other major prize. Fleischmann and Pons are those people in this field. Then, 

there are other intellectual pioneers, who have two characteristics. They were active in the early 

days of the field and they made major contributions. In the case of LENR, there are very 

roughly a dozen such people, most of them still alive. However, the scientists who pioneered 

the study of nuclear reactions induced by chemical effects are relatively old. Many of them 

were at or near retirement, when the field originated two decades ago. Some of them were 

recognized after their death, as is the case with Professor Guiliano Preparata, who later had a 

medal named after him. 

The organizers of ICCF-14 were moved by the notion that it is appropriate to honor key 

members of the LENR community while they are still alive and contributing. But, there were 

and are are too many such scientists to honor within the time constraints of one conference. 

Hence, two particularly important leaders were singled out for recognition. They were Yoshiaki 

Arata from Japan and Stanislaw Szpak from the US. The form of the honor was a pair of 

sessions, each devoted to the work of those individuals. Commemorative plaques were 

presented to the two pioneers. Broad reviews of the work and results of Arata and Szpak were 

presented. This appendix contains the papers that resulted from the two sessions. 

Talbot Chubb graciously agreed to introduce the work of Professor Arata. That introduction 

is summarized in the following paper. It set the stage for a presentation by Professor Arata on 

his recent and remarkable findings. He described the development of a “solid fusion” reactor 

that he invented and still studies with his long-time collaborator, Dr. Yue-Chang Zhang. Their 

data shows that the reactor, loaded with Pd nanoparticles coated with zirconia and pressurized 

with deuterium gas, produced nuclear heat for “hundreds of hours”. When operated with 

hydrogen gas, no heat was produced. The remarkable demonstration was accomplished with no 

electrical power input to the reactor during the heat-producing runs. 

Frank Gordon organized the session honoring Dr. Szpak, who was unable to travel to 

participate in the session. His colleagues presented both what was done and what was found, 

while using the “co-deposition” technique, which was invented by Szpak. In that method, there 

is no need to acquire and characterize Pd metal for use as the cathode in electrolytic LENR 

experiments. Rather, the Pd is deposited from a heavy water electrolyte. Such an experiment 

takes less time than those in which a sheet or rod of Pd is loaded with hydrogen isotopes. The 

team found a wide variety of effects during the last two decades, which were systematically 

reviewed at ICCF-14. A paper summarizing those findings follows. The last paper in this 

section is a set of references to 21 papers published by Szpak’s group in refereed journals. Brief 

comments on each of the papers are provided in the set of references. 

742

In Honor of Yoshiaki Arata 


Physicist Consultant, 5023 N. 38th St., Arlington VA 22207, USA, tchubb@aol.com 

Abstract 

This paper seeks to make readers aware that Arata and Zhang (A&Z) in 2007/8 

demonstrated operation of an autonomous fusion “heater”. The heater generated 

a steady outflow flow of heat at slightly above room temperature throughout a 

run lasting hundreds of hours. The steady nuclear heat occurred after a brief 

burst of chemical heat during D2 absorption. No other energy input was present. 

The paper also seeks to make readers aware that in 2005 A&Z demonstrated 

continuous fusion heat at 191°C in a gas loaded reactor which was initially 

maintained at 141°C by an electrical heater. It is estimated that 25% of the heat 

delivered to the room was fusion energy and 75% was electrical heater energy. 

The catalyst temperature was high enough for practical generation of electrical 

power. 

Introduction 

The paper introduced a session on catalytic fusion in honor of Professor Arata and the 

pioneering work which he has carried out in conjunction with Yue-Chang Zhang (A&Z). The 

A&Z team has pioneered and defined what is meant by nano-Pd fusion. They proved that 

nuclear reactions can be made to take place in nanometer solid material. Their work opens the 

road to development of commercial fusion heaters. 

Dr. Arata is Professor Emeritus at Osaka University. Born in 1923, he graduated from Osaka 

U. with a Bachelors in Engineering in 1949, received a Doctorate in 1957, and became 

Professor. in 1964 . He started Japan’s plasma fusion program. Since there was no D2 gas 

available for his arc plasma studies, he made his own deuterium gas by plating D2O electrolyte 

onto a Pd cylinder, collecting the gas that permeated the cylindrical tube. In 1958 he achieved 

the world’s record for arc discharge current density. He was a pioneer in electron beam and 

laser beam welding and became Director General of the Osaka U. Welding Institute in 1977. 

Arata was elected Member of the Japan Academy in 1988, received the Arthur Schawlow Prize 

in 1992 from the American Society of Metals, and was honored by the Emperor of Japan in 

both 1995 and 2006. He has received many other awards. 

Arata and Zhang began their cold fusion studies in 1989. Arata applied his engineering 

science background to the goal of proving or disproving cold fusion reality. He was initially a 

skeptic. 

A&Z published their first nano-Pd work excess heat studies using a “DS-Cathode” in 1994, 

presenting strong evidence that fusion heat release had occurred. 

743

A&Z introduced new terms to describe the new hardware and concepts that were unique to 

their investigations. One of these is “DS-cathode”, which means “double structure” cathode, 

i.e., an outer Pd metal cylinder with stainless steel (ss) welded end pieces and an inner reactive 

filling of nano-Pd powder. D + ions are deposited onto the Pd cylinder, and the cylinder is filled 

with contacting nano-Pd grains. The A&Z cathode contrasts with the pieces of wire, sheet, or 

metal rod used by other experimenters in 1989. Another A&Z term is “spillover effect”, taken 

from catalyst chemistry, where it means that effective catalytic area exceeds area measured by a 

standardized N2 adsorption protocol. As used here it means that the evacuated nano-Pd catalyst 

bed absorbs and redistributes by grain-grain contact the deuterium permeating a DS cathode’s 

Pd wall, creating an almost uniform D/Pd ratio throughout the catalyst bed. The high surface 

mobility largely avoids the deuterium density gradients existing in electrolysis-loaded bulk Pd 

cathodes. The chemical pumpimg caused by high surface mobility and high absorbtivity at low 

pressure can be called “spillover effect” pumping. 

Figure 1. The experimental setup used in 1996. 

Figure 1 shows the experimental setup used in 1996. The cabinet on the left maintains a 

reservoir of constant temperature water that serves as the water supply for 2 constant 

displacement pumps sitting on the desk. The pumps feed water to 2 independent test cells 

inside dewars in the styrafoam box on the right. The styrafoam box is covered by a lid during 

normal operation. Electronics in the cabinet to the far right digitizes input voltage and current 

which are used to calculate input electrolysis power. Inflow and outflow temperature for the 2 

cells is measured by thermocouples. The stability of the water flow calorimetry is verified by 

the equality of input and output powers during an incubation period within which no fusion 

power is liberated, as shown in the first part of Figure 3. 1 

744

Figure 2. Illustration demonstrating spillover effect pumping 

Figure 2 shows how A&Z quantify the hydrogen absorption behavior of Pd-black by 

measuring its ability to absorb inflowing H2 at low pressure. In a standard test a constant ccatm/min 

of H2 gas flows into a vessel of known volume. The pressure-rise time history of 

powder samples is compared with the pressure rise of the empty test vessel. When the test 

sample is Ni powder, the pressure rise is faster than for the empty vessel, partially due to inertly 

occupied volume. When the sample is Pd-filings, there is a small lag in the pressure rise due to 

the Pd absorption of H2. When the test sample is Pd-black, there is initially no measured rise in 

pressure, presumably due to immediate transfer of adsorbed H throughout the catalyst bed, 

accompanied by its rapid absorption within the individual nanometal grains. The duration of the 

spillover effect period has been used by A&Z to identify good catalyst for fusion promotion. 

Figure 3. A&Z excess heat run published in 1994 

745

The top portion of Fig. 3 shows plots of output power, input power, and cell voltage vs. run 

time. Fig. 2 bottom shows excess power = output minus input power vs. run time. The period of 

zero excess power between times A and B is called the incubation period. 

Figure 4. Electrolysis cell and DS-cathode used in 1995. DS-cathode shown on right. 

Figure 5. Stainless steel (ss) manifold system used in analysis of desorbed gases 

746

By 1996 A&Z had designed a mass spectrometer system to look for 4 He and 3 He in their 

post-run powder. They constructed a turbo-pumped welded ss manifold with separate 

quadrupole spectrometers which were programmed to repeatedly scan the mass-4 and the mass 

3 peaks. They included a small oven to outgas strongly absorbed D2, HD, and He molecules in 

post-run catalyst powder, and later added a titanium sputter pump to selectively absorb D2 and 

DH in isolated samples of desorbed gas, as shown below, further verifying the identity of the 

4 He peak. As-received Pd-black shows no 4 He. 

Figure 6. Spectra of sample of desorbed gas 

The clearly resolved 4 He and D2 peaks shown in Fig. 6 demonstrate what can be 

accomplished by a skilled experimenter using a high quality quadrupole mass spectrometer. In 

one run A&Z actually resolved the 3 He peak from the DH peak, which is much more difficult. 

During the period 1992-2001 A&Z convinced themselves that cold fusion was real. They 

published 10 excess heat runs, showed excess heat when D2O electrolysis was used and not 

when H2O was used, and when Pd-black was used and not when Pd filings were used. They 

observed 4 He and sometimes 3 He in post-run powder, and not in as-received powder, and they 

successfully exported their DS-cathode experiment to the McKubre’s SRI lab. In 2002 they 

made a major advance, producing fusion in ZrO2+nano Pd catalyst. 1 

747

Figure 7. New catalyst shows nano-Pd embedded in ZrO2 

Figure 8. H/Pd = 2.9 at 100 atm 

The invention of ZrO2,nano-Pd catalyst by the Institute of Materials Research at Tohoku U. 

permitted gas loading to replace electrolysis. Their catalyst is produced by a well defined 

protocol. 2 In 2005 A&Z demonstrated fusion heat at 141°C starting temperature. D2 

pressurization of new catalyst raised catalyst temperature to 191°C. Catalytic fusion power = 

~0.33 × the heater power that had maintained reactor wall at 141°C. 1 

748

Figure 9. Deuterium deposited by D2O electrolysis onto DS-cathode containing ZrO2, nano-Pd catalyst 

produced 3 weeks of stable excess heat at 10 W. Integrated heat ≈ best hot fusion result. 

Figure 10. Gas loading tests at elevated temperature 

The DS-Cathode is called the inner–vessel of a double cylinder reactor. Four tests were 

carried out using a reactor pre-heated to 141°C: 

(1) D2 flows into volume between outer and inner vessels, no catalyst 

(2) H2 flows into volume between outer and inner vessels, uses Pd–black: Tout > Tin 

(3) D2 flows into volume between outer and inner vessels, uses Pd–black: Tin > Tout 

(4) D2 flows into volume between outer and inner vessels, uses ZrO2,nano-Pd catalyst: Tin 

>Tout and Tin rose from 141°C to 191°C 

Test 2 shows that no heat is generated when the catalyst is Pd-black and the pressurizing gas 

is H2. Test 3 on lower left shows reversed heat flow from Pd-black catalyst. Heat is flowing 

from the inner vessel that holds the catalyst towards the outer vessel wall where the electrical 

heater is located. Test 4 shows that when ZrO2,nano-Pd catalyst is used the heat flow from 

749

catalyst to outer vessel wall is 7 times greater than when Pd-black is used. The study indicates 

that a larger system of the same design would generate enough catalytic fusion heat to permit 

the heater to be turned off. This means that ZrO2,nano-Pd catalytic heaters can be used to 

provide fusion heat at 191°C. 

Figure 11. Autonomous heat with D2; no nuclear heat with H2 

Figure 12. Test reactors 

In their 2007/8 study A&Z replaced the double cylinder reactor used in 2005 with a simple 

single stainless steel cylinder sealed off at both ends and containing 7 grams of ZrO2,nano-Pd 

catalyst. No internal Pd cylinder was used. The reactor was well insulated and operated at room 

750

temperature. Zero electrolysis and zero heater power were used in the experiment. The catalyst 

bed was first evacuated. Then a Pd-filtered inflow of D2 gas was applied so as to gradually 

raise the reactor vessel pressure towards 100 atm. 1 Fig. 12 shows 2 thermally insulated test 

reactors. 

During the D2 gas inflow period there was initial heat production due to the exothermic 

formation of palladium deuteride PdDx. Reactor wall temperature rose from room temperature 

to about 34°C. The chemical heat flowed out of the system, so that by about 33 hours of run 

time all chemical heat had been lost to the room temperature environment. The assembly 

surface temperature returned gradually to 1.8°C above room temperature, and remained at 

1.8°C above room temperature for hundreds of hours. A control run with H2 gas inflow showed 

a comparable initial-transient wall temperature with a subsequent fall to room temperature by 

run time = 9 hr. The only plausible energy source for the sustained higher temperature 

produced by D2 pressurization is the catalytic release of nuclear energy. 

References 

1. Yoshiaki. Arata and YueChang Zhang, Proc. Japan Acad. 70B, 106 (1994); ibid. Proc. 

Japan Acad. 78B, 57 (2002); ibid. Proc. ICCF12, 44 (2006); ibid. J. High Temp. Soc., Jpn 

34. 1 (2008). 

2. S. Yamaura, K. Sasamori, H. Kimura. A. Inoue, Y. C. Zhang, Y. Arata, J. Mater. Res. 17, 

1329 (2002). 

751

Establishment of the “Solid Fusion” Reactor 

Yoshiaki Arata and Y-C Zhang 

Abstract 

A gas-loaded fusion reactor operating at room temperature using ZrO2 + nanoPd 

catalyst produced nuclear heat for hundreds of hours when pressurized with D2 

gas, but no measurable nuclear heat when pressurized with H2. 4 He was 

produced during the D2 run, and not during the H2 run. No electrical power was 

supplied to the reactor during the runs, thereby demonstrating operation of an 

autonomous fusion “heater”. 

Introduction 

About 50 Years ago (1955-1958), one of the authors (Y. Arata) investigated “solid-state 

plasma fusion” (simply “Hot Fusion”) together with “thermonuclear fusion”, he was the first 

researcher in the world to discover “Solid Fusion”, as well as the first researcher in Japan to 

discover “Hot Fusion”. Moreover, on Feb 6, 1958, he carried out large “open experiments” for 

the general public, which strongly impacted not only Japan but also the world, although he was 

at a young age (33 years old) at that time. 

In addition, the authors continued to demonstrate experimentally the existence of “Solid 

Fusion” for the first time in the world, by publishing research reports in over 70 papers (1-53) 

presented in the Proc. Japan Acad., and other societies during about 20 years (1989~2007). In 

these experiments, many kinds of alloys, which include Pd and Pd-black etc. were developed 

and used as specimens. Recently, the authors started to develop the usefully practical reactor of 

“Solid Fusion” (Solid Reactor), and it was achieved some month ago at last. This reactor is a 

remarkable improvement over the many known models developed so far. 

[Among many things that Arata learned during his hot fusion studies was that high 

temperatures occur when bulk Pd metal containing a large D/Pd ratio is exposed to air. When 

Fleischmann and Pons (F-P) reported high temperatures and the melting of a Pd electrode, he 

recognized that air likely had made contact with the test electrode and oxidized the dissolved 

deuterium. Since these F-P studies had not been carried out in an argon atmosphere, he 

resolved to convince himself whether or not “cold fusion” was real. As a result, considerable 

independence has characterized the Arata and Zhang (A-Z) program.] 

“Solid Fusion Reactor” Experiment* 

Figure A shows the principle of the “Solid Fusion Reactor” which is constructed with the 

following system. Firstly, microscopic solid fine powders are set inside the high vacuum, 

stainless steel vessel, and then pure D2 gas is injected as “Streaming D2 gas” into the stainless 

steel vessel. This “Streaming D2 gas” penetrates instantly into the many solid fine samples as 

the “Streaming Deuterons”(=D + -Jet stream”) without storing inside the stainless vessel. 

752

This was an amazing event. Moreover at this time, nuclear fusion reaction was generated 

inside the solid with synchronous creation of both much Helium ( 4 He) and large thermal energy 

under the equation: 

2D + 2D = 4He + thermal energy (a) 

(4 2D = 2 4He + thermal energy) (b) 

Figure A. Principle of “Solid Fusion” Reactor Vessel. (a): Reactor before introduction of D2 or H2 gas (only 

stainless steel vessel and sample (b): Introducing of D2 or H2 as the D2 or H2 -”jet-stream” into reactor 

vessel; and then D + or H + -”jet stream” penetrate into the sample) 

(Note) : If D2 or H2 was introduced, D2 or H2 -”jet stream” immediately penetrates into the 

sample as D + or H + - “Jet-stream: and Fusion Reaction”, ( 4 He and thermal energy) immediately 

generated in the case of the “D + -jet stream”; but in the H + -jet stream” only chemical reaction 

heat is generated, (It will be explained in detail in Fig. 2, Fig. 3, Fig. 6 for D2 and Fig. 4 for H2). 

Experiment and discussion 

These experiments show the characteristics of “solid nuclear fusion reactor suitable for 

practical use”. 

753

Figure 1. Experimental Device 

Figure 1 is a diagram showing the principle of the “Solid Fusion Reactor” suitable for 

practical use. The fuel for the reactor is D2 gas 4 having a high isotopic purity (almost 100%). 

The vessel 2 is made of stainless steel. A sample is provided within the high vacuum vessel 2. 

The inner temperature Tin is measured by a thermocouple placed on the central axis of the 

sample. The temperature Ts of the stainless steel vessel 2 is measured by a thermocouple placed 

on the outer wall of the vessel 2. The D2 gas generator 4, the vessel 2 and the vacuum pump 7 

are coupled to each other via the stainless steel pipe 3. The valves 5 and 6 are connected to the 

stainless steel pipe 3. Opening and closing of the valves 5 and 6 is controlled by the controller 

8. The feature of the reactor is that once the D2 gas is supplied to the vessel 2, the supplied gas 

directly enters into the sample as the “D + -jet stream” without staying within the vessel 2. The 

reaction occurs between these streaming deuterons within clouds of electrons within the 

sample. In other words, where the supplied D2 gas is converted into 4 He and thermal energy 

only in accordance with the following formula: 

2D + 2D = 4He + thermal energy (a) 

(4 2D = 2 4He + thermal energy) (b) 

Here, the thermal energy includes additionally the chemical energy generated between 

“streaming deuterons” (= D + -jet stream”) and “sample solid atoms”. In other words, during the 

reaction period, the reactor serves as “ 4 He generation reactor” as well as a “thermal energy 

generation reactor”. It can be understood that this reactor is an ideal reactor suitable for 

practical use. 

754

Figure 2. Simultaneous generation of thermal energy and 4 He 

In the case where the sample is ZrO2-Pd (nano Pd) alloy, as shown in Figure 2, the nuclear 

fusion reaction rapidly occurs inside the sample simultaneously with the supply of D2 gas, and 

the thermal energy is generated (in which, chemical reaction energy generated between “D + -jet 

stream and sample atoms” is included). Then, “D + -jet stream” was stopped, in other words the 

generation of thermal energy is stopped simultaneously with the completion of the nuclear 

fusion reaction, which is called as the “Jet-Fusion”. During the “Jet-Fusion” reaction period, 

the gas pressure within the reactor is zero, and all the supplied D2 gas enters as the “D + -jet 

stream” into the sample without staying in the reactor, and chemical reaction energy occurs 

inside the sample. For instance, each 2~4 D-atoms in the “D + -jet stream” are coagulated as the 

“lumpy solid-state deuterons” (simply “Solid-deuteron”) (52) inside the innumerable each crystal 

lattice “space” (“electron box”) (52) within the sample solid, and these “Solid deuteron” fulfill its 

function to create the “Solid nuclear fusion reaction”. In other words, “Solid-deuteron” 

corresponds to the “Nuclear fuel” (52) . And then, the generation of the thermal energy is stopped 

simultaneously with the completion of the “Jet-Fusion” reaction. Thereafter, the D2 gas is 

accumulated within the reactor and the gas pressure Pin within the reactor is increased over 

time, unlike the reaction period during which Pin is equal to zero. 

755

[The protocol for producing the ZrO2-nanoPd catalyst is given in Ref. (54). The protocol for 

preparing the catalyst before use is different from that used with Pd-black. Prior to exposure to 

D2 gas, the ZrO2-nanoPd catalyst is first reduced by a controlled inflow of D2 at about 20 ccatm/min, 

next is outgased at 150°C until a vacuum of about 6 x 10 -7 Torr is achieved, and then 

is cooled to room temperature. Ref. (58). Figure 2 shows the end of the cooling interval during 

run time interval 0 - 50 min, and the start of the Jet-Fusion period at time = 50 min. ] 

This experimental result is a very epoch-making one which is beyond any expectation. This 

is an unexpected new phenomenon. This new phenomenon can occur in the same manner in the 

case where another sample is used, as shown in Figure 3. This should be called “historical 

phenomena” 

Figure 3. Simultaneous generation of thermal energy and 4He 

In order to understand this new phenomena more deeply, another definitive experimental 

result will be presented based on the above conclusion. It is the comparison between D and H 

from the viewpoint of the nuclear fuel. In the past 20 years, it has been well known that the 

authors were far ahead of others and achieved brilliant success on “verification of solid 

fusion”. (1-53) The authors named this device a “verification reactor”. The authors continuously 

developed several kinds of verification reactors, not only one kind of verification reactor, 

confirmed the “verification of solid fusion”, and published the results in reports. Fifty-five are 

listed at the end of this paper. One example of the “verification reactor” is a world-famous 

electrolysis-type reactor using D2O or H2O: “DS-cathode”(=“Double Structure Cathode”). With 

756

the DS-Cathode, D/H is generated within the electrolytic solution of D2O/H2O, i.e., within the 

Cathode. The generation of D/H corresponds to the presence/absence of the solid fusion 

reaction. In the former case where D is used, anything other than a small amount of chemical 

reaction heat cannot be recognized. 

Figure 4. Heat Generation for H2 Introduction 

The comparison between D and H is made from the viewpoint of the nuclear fuel, using a 

newly developed “practical use reactor”(“Solid Reactor”). In the case where D is used, an 

intensive reaction ( 4 He and thermal energy) due to the solid fusion occurs for both the 

“verification reactor” and the “Solid Reactor”. On the other hand, in the case where H is used 

as shown in Figure 4 and Figure 7[A], [B], chemical reaction heat is generated, but 4 He is not 

generated at all. 

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Figure 5A. Comparison of generation characteristics of Nuclear fusion during “Skirt-Fusion” zone for each 

fuel (0~300min) 

Figure 5B. Comparison of generation characteristics of Nuclear fusion during “Skirt-Fusion” zone for each 

fuel (after 300min) 

758

The difference between the “Solid Reactor” and the “verification reactor” is that the structure 

of the “Solid Reactor” is much simpler than that of the “verification reactor”, and the reaction 

period of time of the “Solid Reactor” is in comparably shorter (10 -2 ~10 -3 times) than that of the 

“verification reactor”, although the principle of these reactors is the same. In the “Solid 

Reactor”, the stream of D + (“D + -jet stream”) directly and entirely enters into the sample for a 

very short period of time. On the other hand, in the “verification reactor”, this phenomena 

occurs indirectly, and therefore, a very long period of time is required for the reaction. For 

instance, D-atoms should be passing through the wall of Pd vessel in the “DS-Cathode” with a 

long period of time. 

Based on this experimental fact and the comparison result between Figure 2 and Figure 3, it 

can be clearly understood that this is a historical experimental fact. 

Moreover, the relation of each gas temperature (red line/Tin) and vessel; temperature (black 

line/Ts) as shown in Fig. 5A and Fig. 5B; which indicated through long period with expanded 

scale in temperature compared with Fig. 5A. It is clear that both gaseous and vessel 

temperature (C) in the H2 gas drop into the room temperature (D-line) is very short period. 

However, both A and B samples continue in long and long period at the separated state 

between red Tin and black Ts lines(T=Tin-Ts: this is very important “T-characteristics”). 

These results depend on the continued nuclear reaction of the “Skirt-Fusion”. This is the 

extreme very important result. These phenomenon continue about several hundred hours. 

Finally, the D2 pressure characteristic in the case where there is no sample within the vessel 

is shown in Figure 6. In this case, once the D2 gas is supplied to the vessel, the increase in the 

pressure Pin is started immediately as shown in the red line and then the pressure Pin is 

increased over time. On the other hand Tin (inner temperature) and Ts (vessel temperature) are 

not influenced by the supply of D2 gas at the room temperature (i.e. Tin and Ts are not changed). 

Even though Pin is changed, Tin and Ts (always, T=Tin-Ts=0) are not changed as shown in 

Figure 6. This is common sense in the conventional art, and conforms to the experimental 

result. 

Consequently, “Skirt-Fusion” start immediately at the end of “Jet-Fusion”, and continue in 

long period (over 100 hours) as shown in Fig. 5B. Generated heat energy were about 4.4 kJ in 

“Jet-Fusion” 18 kJ/hour) and about 200 kJ in “Skirt-Fusion(250 kJ in “Skirt-Fusion”(4 

kJ/hour). About 5 x 10 15 4 He were produced in “Jet-Fusion” and about 3 x 10 17 4 He in “Skirt- 

Fusion” zone. Sample is ZrO2-Pd alloy (6.5 gram) in this case. 

[Line Plots A are for ZrO2-Pd alloy (6.5 gram sample) and Line Plots B are for ZrO2-Ni,Pd 

alloy (18.4 gram)] 

759

Figure 6. Gas pressure characteristics within vessel (no sample) 

In order to further clarify this conclusion, Figure 7[C](within fuel gas) and Figure 7[D] 

(within sample solid) are shown using Mass-spectrometer. In particular, it can be understood 

that a large amount of 4 He is generated within the sample solid as shown in Figure 7[D]. It is 

well known as the characteristics of 4 He cannot enter into any solid and 4 He cannot egress from 

any solid under the temperature level from the room temperature to several-100°C. Figure 

7[C], [D] shows a situation in which a large amount of 4 He fully fills into the sample during a 

very short time. And then, it should be named as the Jet-nuclear Fusion Reaction (simply “Jet- 

Fusion”), because of these “Solid nuclear fusion reactions” generated like a jet cleaning 

extremely short periods as shown in Figures 2, 3 and 7. This clearly shows that this amazing 

phenomena results from the reaction within the sample. 

Accordingly, this reactor is a thermal energy generation device as well as a 4 He production 

device. It is obviously clear to us which one of the following is more important to human 

beings: (a) the thermonuclear fusion device of the “era”; or the solid nuclear fusion described 

above. 

It is considered that the solid nuclear fusion described above is useful for an energy source 

for homes, cars, ships airplanes and the like. Quickly implementing measures is desired in view 

of the current air pollution problem. It is possible that a further science and new industry are to 

be developed. 

In the last word, in very important for “Actual Nuclear Reactor” that the solid nuclear fusion 

reaction does not generate any pollution, whereas a hot nuclear fusion reaction is commonly 

known to generate a considerable amount of harmful pollution. 

760

Figure 7. Mass analysis result for fuel (H2 or D2) and reaction product ( 4 He) 

761

Note on Sources 

The Abstract is a rewritten version of a statement on the Cover of his Arata Award lecture at 

ICCF14 (54) . Explanations by editor (Talbot Chubb) based on References (52-55) are enclosed in 

square brackets. Text used in the Abstract is based on a presentation made by Arata and Zhang 

on May 22, 2008 in Osaka, Japan (53) . 

References 

1. Arata Y, Zhang Y-C; Kaku Yugo Kenkyu 62 (1989) 398. Cited in Chem. Abstr. 112: 

224669 [1990]. (in Japanese). "Achievement of intense 'cold fusion' reaction". 

2. Arata Y, Zhang YC; proc. Jpn. Acad. 66, Ser. B (1990) 1. "Achievement of intense 'cold' 

fusion reaction". 

3. Arata Y, Zhang Y-C; proc. Japan Acad. 66, Ser. B (1990) 33. "Cold' fusion caused by a 

week'on-off effect'". 

4. Arata Y, Zhang Y-C; proc. Japan Acad. 66, Ser. B (1990) 110."Corroborating evidence for 

'cold' fusion reaction". 

5. Arata Y, Zhang Y-C; Fusion Technol. 18 (1990) 95. "Achievement of an intense cold 

fusion reaction". But see; "Corrigendum",FT 19 [1991] 196. 

6. Arata Y, Zhang Y-C; Fusion Technol. 22 (1992) 287. "Reproducible 'cold' fusion reaction 

using a complex cathode". 

7. Arata Y, Zhang Y-C; Kaku Yugo Kenkyu 67 (5) (1992) 432 (in Japanese). "'Cold' fusion in 

deuterated complex cathode". 

8. Arata Y, Zhang Y-C; Koon Gakkaishi(J.High Temp.Soc.). 20(4) (1994) 148(in Japanese, 

Engl.abstr.). "A new energy generated in DS-cathode with 'Pd-black' ". 

9. Arata Y, Zhang Y-C; proc. Japan Acad. 70 Ser. B (1994) 106. "A new energy caused by 

'Spillover-deuterium' ". 

10. Arata Y, Zhang Y-C; Proc. Japan Acad. 71 Ser. B (1995) 304. vol. 71, No. 8, 304-309, 

(1995). "Achievement of Solid-State Plasma Fusion ("Cold Fusion")". 

11. Arata Y, Zhang Y-C; proc. Japan Acad. 61, Ser. B (1995) 98. "Cold fusion reactions driven 

by 'Latticequake'". 

12. Arata Y, Zhang Y-C; Koon Gakkaish (J. High Temp. Soc.). 21 (6) (1995) 303 (in Japanese, 

Engl. abstr. & Fig. captions). "Achievement of solid-state plasma fusion ("cold fusion")". 

13. Arata Y, Zhang Y-C; Koon Gakkaishi (J. High Temp. Soc.). 21 (1995) 130 (in Japanese, 

Eng. abstr.); "Peculiar relation between hot plasma fusion and solid-state plasma fusion 

("cold fusion")". 

14. Arata Y, Zhang Y-C; Koon Gakkaishi (J. High Temp. Soc.). 21 (1995) 43 (in Japanese, 

Engl. abstr.). "Cold fusion caused by 'lattice quake'". 

15. Arata Y, Zhang Y-C; Koon Gakkaishi (J. High Temp. Soc.). 22 (1) (1996) 29 (Japanese, 

Engl. abstr.) "Generation and mechanism of solid-state plasma fusion ("cold fusion")". 

16. Arata Y, Zhang Y-C; proc. Japan Acad. 72 Ser. B (1996) 179. "Deuterium nuclear reaction 

process within solid". 

17. Arata Y, Zhang Y-C; proc. Japan Acad. 73, Ser. B (1997) 62. "Presence of helium (4/2He, 

3/2He) confirmed in deuterated Pd-black by the "vi-effect" in a "closed QMS" 

environment". 

762

18. Arata Y, Zhang Y-C; J. High Temp. Soc. 23 (1997): (special volume pp 1-56). "Solid-state 

plasma fusion ('cold fusion')". 

19. Arata Y, Zhang Y-C; J. High Temp. Soc. 23 (1997) 110 (in Japanese, Engl.abstr.). 

"Presence of helium (4/2He, 3/2He) confirmed in highly deuterated Pd-black by the new 

detecting methodology". 

20. Arata Y, Zhang Y-C; proc. Japan. Acad. 73, Ser. B (1997) 1-6. "Helium(4/2He, 3/2He) 

within deuterated pd-black". 

21. Arata Y, Zhang Y-C; Jpn. J. Appl. Phys. 237 (1998) L1274. "Anomalous difference 

between reaction energies generated within D2O-cell and H2O-cell". 

22. Arata Y, Zhang Y-C;Kaku Yugo Kenkyu 69 (1998) 963 (in Japanese). "Excess heat in a 

double structure deuterated cathode". 

23. Arata Y, Zhang Y-C; proc. Japan. Acad. 74, Ser B (1998) 110. "Anomalous 'deuteriumreaction 

energies' within solid". 

24. Arata Y, Zhang Y-C; Proc. Japan Acad. 74 Ser. B (1998) 201. "The importance of sonoimplantation". 

25. Arata Y, Zhang Y-C; proc. Japan Acad. 75 Ser. B (1999) 71. "Definitive difference 

between [DS-D2O] and [Bulk-D2O] cells in 'deuterium-reaction'". 

26. Arata Y, Zhang Y-C; proc. Japan Acad. 75 Ser. B (1999) 76. "Critical condition to induce 

'excess energy' within [DS-H2O] cell". 

27. Arata Y, Zhang Y-C; proc. Japan. Acad. Ser. B 75 (1999) 281. "Anomalous production of 

gaseous 4He at the inside of 'DS cathode' during D2O-electrolysis". 

28. Arata Y, Zhang Y-C; Jpn. J. Appl. Phys. 38 (1999) L774. "Observation of Anomalous Heat 

Release and Helium-4 Production from Highly Deuterated Palladium Fine Particles". 

29. Arata Y, Zhang Y-C; Genshikaku Kenkyu (Anomalous Nuclear Fusion Reaction). 

45(2)(2000). vol.45, No.2, July 2000; and ICCF8 (Lerici, Italy, May 2000). "Definitive 

Defference among [DS-D2O],[DS-H2O] and [Bulk-D2O] cell in the Deuterization and 

Deuterium-reaction". 

30. Arata Y; Kotai Butsuri 35 (1) (2000) 67 [in Japanese]. Cited in Chem. Abstr. 132: 128508 

(2000) "Developmental challenge in new energy source; 'Solid state plasma fusion'". 

31. Arata Y, Zhang Y-C; Appl. Phys. Lett. 76 (2000) 2472. vol.76, No.17, 2472, (2000). "Sono 

Implantation of hydrogen and deuterium from water into metallic fine powders". 

32. Arata Y, Zhang Y-C; Jpn. J. Appl. Phys. 39 (2000) L4198. "Deuterization and Deuterium 

Reactions in the Electrolyses of D2O with the Double Structure Cathode and the Bulk 

Cathode". 

33. Arata Y, Zhang Y-C; Proc. ICCF 8, Italy (2000) 11 and 293. "Definitive Difference among 

[DS-D2O], [DS-H2O], [Balk-D2O] cells in the Deuterization and Deuterium-reaction" (pp. 

11-16), and "Sonoimplantation of hydrogen and deuterium from the water into metallic fine 

powders", (pp. 293-298). 

34. Arata Y, Zhang Y-C; Proc. Japan Acad. 77 Ser. B (2001) 43. "Intense sono implantation of 

gases into metals". 

35. Arata Y, Zhang Y-C; proc. Japan. Acad. 78 ser. B (2002) 57. "Formation of condensed 

metallic deuterium lattice and nuclear fusion". 

36. Arata Y, Zhang Y-C; Proc. Japan Acad. 78 Ser. B (2002) 63. "Nuclear fusion reacted inside 

metals by intense sonoimplantion effect". 

763

37. Arata Y, Zhang Y-C; Proc. Japan Acad. 78 Ser. B (2002) 201. "Intense deuterium nuclear 

fusion of pycnodeuterium-lumps coagulated locally within highly deuterated atom clusters". 

38. Arata Y, Zhang Y-C; Appl. Phys. Lett. 80 (2002) 2416. "Intense sonoimplantation of atoms 

from gases into metals". 

39. Arata Y, Zhang Y-C; Proc. ICCF 9, China (2002) 5-16. "Pycnonuclear Fusion Generated in 

"Lattice-Reacter" of Metallic Deuterium Lattice within Metal Atom-clusters". 

40. Yamamura T, Shiokawa Y, Inoue A, Zhang Y-C, Arata Y; J.High Temp. Jpn 28 (2002) 144. 

"Neutron Activation Analysis of Pd Atom Clusters Caused Pycnonuclear Fusion". 

41. Arata Y, Zhang Y-C; ICCF10 (Boston (2003); "Development of Compact Nuclear Fusion 

Reactor Using Solid Pycnodeuterium as Nuclear Fuel". 

42. Arata Y; Kotai Butsuri 38 (1) (2003) 83 [in Japanese]. "Discovery of Pycnodeuteriumlumps 

and Intense Solid-state Nuclear Fusion in Highly Deuterated (Nano-particles)". 

43. Arata Y, Zhang Y-C, Fujita H, Inoue A; Koon Gakkaishi 29 (2) (2003) 68. "Discovery of 

solid deuterium nuclear fusion of pycnodeuterium-lumps solidified locally within nano-pd 

particles": English translation (Il Nuovo Saggiatore, 20 (2004) 66 in Italy phys. soc.). 

44. Arata Y, Zhang Y-C; J. High Temp. Soc. Jpn 29 (2003) 171. "Deuterium Absorption 

Characteristics of Peculiar Composite Powder (Zr3NiO・NiO)". 

45. Arata Y, Zhang Y-C; J. High Temp. Soc. Jpn 29 (2003)(special vol: pp 1-44). "The Basics 

of Practical Nuclear Fusion Reactor Using Solid Pycnodeuterium as Nuclear Fuel". 

46. Arata Y; Il Nuovo Saggiatore 20 (5-6) (2004) 66. "The formation of 'solid deuterium' 

solidified inside crystal lattice and intense solid-state nuclear fusion ('cold fusion')". 

47. Arata Y, Zhang Y-C; Progress of Theoretical Phys. (Supplement), No. 154 (2004) 241: 

Fusion 03. "The Basics of Nuclear Fusion Reactor using Solid Pycnodeuterium as Nuclear 

Fuel". 

48. Arata Y; Special Volume, IIW (Osaka), July 11st (2004). "Relation between Welding 

Science and Nuclear Fusion". 

49. Arachi Y, Emura S, Omura A, Nunogaki M, Asai T, Yamamura S, Inoue A, Arata Y; Solid 

State Ionics (2006). "Structural Analysis on High Density H (D) Absorbed Nano-sized- 

Pd/ZrO2 Composite for Hydrogen Storage Materials". 

50. Arata Y, Zhang Y-C; ICCF12 (Yokohama, Jpn; (2006)). "Development of "DS-Reactor" as 

the Practical Reactor of "Cold Fusion" based on the "DS-Cell" with "DS-Cathode". 

51. Arata Y;IL NUOVO SAGGIATORE, (2004)6, "The formation of 《solid deuterium》 

solidified inside crystal lattice and intense solid-state nuclear fusion (《cold fusion》) ". 

52. Yamaura, S., Sasamori, K., Kimura, H., Inoue, A. Zhang, Y-C, and Arata Y. (2002) J. 

Mater, Res. 17,.1329. “Hydrogen absorption of nanoscale Pd particles embedded in ZrO2 

matrix prepared from Zr-Pd amorphous alloys”. 

53. Arata, Y and Zhang, Y-C. (2008), J. High Temp. Soc. 34, 85. “Establishment of Solid 

Fusion Reactor”, English version. 

54. Yoshiaki Arata, “Toward the Establishment of Solid Fusion as a Perpetual Energy for 

Humankind, Book distributed at ICCF14 (2008). 

55. Yoshiaki Arata, ICCF14 Award Lecture (2008). “History of 'Solid Fusion'“. 

764

Glossary 

Cold fusion as used in this paper means dd fusion in bulk Pd as studied by F-P and followers, 

also referred to as F-P effect 

D+-Jet Stream means Jet-Fusion deuterons adsorbed onto nanoPd catalyst where metal 

electrons provide charge neutralization 

DS-Cathode means same as Double Structure Cathode: hermetically sealed vessel with Pd 

cylinder and ss welded end pieces, filled with nanoPd catalyst 

Electron box is envisioned cubic volume containing 4 electrons + 4 deuterons in octahedral site 

of fcc lattice (51,57) 

Hot fusion is the same as plasma fusion 

Jet-Fusion reaction means nuclear fusion occurring during Jet-Fusion zone 

Jet-Fusion zone means run-time interval during which D2 or H2 gas is flowing onto sample and 

back pressure in reactor is too low to record on mechanical gage. 

Sample means catalyst bed material 

Skirt-Fusion zone means run-time interval starting at end of Jet-Fusion zone and continuing 

thereafter. The verb “skirt” means “to form edge of” (Oxford Dictionary) 

Solid-state fusion is same as solid fusion 

Solid fusion means nuclear fusion in a solid containing nanometal Pd: sometimes called “metal 

catalyzed fusion”, also referred to as A-Z effect 

Solid Reactor means same as Solid Fusion Reactor: gas-loaded reactor producing heat and 4He 

without using any applied electrical power 

Streaming D2 gas is same as Streaming Deuterons: long mean free path D2 molecules enter 

reactor against negligible back pressure before impacting nanoPd 

Thermonuclear fusion is same as plasma fusion, as sought in ITER program 

Verification reactor means electrolysis-loaded DS-Cathode containing nanoPd catalyst and 

producing excess heat 

765

LENR Research using Co-Deposition 

S. Szpak 1 , P. A. Mosier-Boss 1 , F. Gordon 1 , J. Dea 1 , M. Miles 2 , J. Khim 3 and L. Forsley 3 

1 SPAWAR Systems Center-Pacific, San Diego, CA 92152 

2 Dixie State College, St George, UT 84770 

3 J W K International, Annandale, VA. 

ABSTRACT 

The Pd/D co-deposition process was developed by Stan Szpak at the Naval 

Laboratory in San Diego as an alternative means of initiating LENR. Besides 

heat, other nuclear products that have been measured using Pd/D co-deposition 

include tritium and the emission of γ- and X-rays, neutrons, and energetic 

particles. This communication summarizes 19 years of LENR research that has 

focused on the Pd/D co-deposition process. 

In March 1989, two chemists in Utah, Fleischmann and Pons, announced that they had 

performed electrochemical experiments that produced more excess energy than could be 

accounted for by chemical reactions. Therefore they speculated that the source must involve 

nuclear reactions and the effect became known as “Cold Fusion.” The claims of Fleischman 

and Pons caused a global sensation. Much of the uproar was due to the fact that their 

observations disagreed with the accepted theory of nuclear reactions. Within days scientists 

around the world had started work on duplications of the experiments. Many of these efforts 

failed. Reasons for the failures varied. Many researchers used palladium cathodes whose past 

histories were unknown. Others used improper cell configurations that precluded achieving the 

high D/Pd loadings necessary to initiate the effect. Still others did not realize that, with bulk 

electrodes, long incubation times were necessary to produce the effect. However, despite the 

large number of failures, there were other scientists who did observe anomalous behaviors that 

could not be explained. These other scientists continued to investigate the effect, which is now 

called Low Energy Nuclear Reactions (LENR). 

Stan Szpak, an electrochemist at the Naval laboratory in San Diego, developed the Pd/D codeposition 

process as a means of initiating LENR that greatly reduces the incubation time and 

gives reproducible results. In this process, working and counter electrodes are immersed in a 

solution of palladium chloride and lithium chloride in deuterated water. Working electrode 

substrates that have been used include Cu and Au foils and Ni mesh. Palladium is then 

electrochemically reduced onto the surface of the working electrode in the presence of evolving 

deuterium gas. SEM analysis of electrodes prepared by Pd/D co-deposition exhibit highly 

expanded surfaces consisting of small spherical nodules. 1,2 Cyclic voltammetry 2,3 and 

galvanostatic pulsing 4 experiments indicate that, by using the co-deposition technique, a high 

degree of deuterium loading (with an atomic ratio D/Pd>1) is obtained within seconds. These 

experiments also indicate the existence of a D2 + species within the Pd lattice. Because an ever 

expanding electrode surface is created, non-steady state conditions are assured, the cell 

geometry is simplified because there is no longer a need for a uniform current distribution on 

the cathode, and long charging times are eliminated. 5 Using a Dewar-type electrochemical 

766

cell/calorimeter, it was shown that the rates of excess enthalpy generation using electrodes 

prepared by the Pd/D co-deposition technique were higher than that obtained when Pd bulk 

electrodes were used. 6 Positive feedback and heat-after-death effects were also observed with 

the Pd/D co-deposited electrodes. In one experiment that was done in the open air, boil off of 

the electrolyte occurred as well as melting of the Pd deposit, Figure 1a (Note Pd melts at 

1554.9C). 1 Infrared imaging of electrodes prepared by Pd/D co-deposition, Figures 1b and 1c, 

show that the working electrode is hotter than the solution indicating that the heat source is the 

Pd/D co-deposited electrode and not Joule heating. As shown in Figure 1b, the heat generation 

is not continuous, but occurs in discrete spots on the electrode. The steep temperature gradients 

of the hot spots, Figure 1c, indicate that the heat sources are of high intensity and located very 

close to the contact surface. 

(a) (b) (c) 

Figure 1. (a) SEM of the Pd film showing features consistent with Pd melting under water. Infrared images 

of the electrode surface prepared by Pd/D co-deposition. (b) View of the obverse side of the cathode showing 

the distribution of hot spots ranging from 49C (white). (c) Temperature gradients on 

the back side of the cathode. 

The ‘hot spots’ observed in the infrared imaging experiments are suggestive of ‘miniexplosions’ 

(Figure 1b 7 ). To verify this, the Ag electrode on a piezoelectric transducer was used 

as the substrate for the Pd/D co-deposition. If a mini-explosion occurred, the resulting shock 

wave would compress the crystal. The shock wave would be followed by a heat pulse that 

would cause the crystal to expand. In these experiments, sharp downward spikes followed by 

broader upward spikes were observed in the piezoelectric crystal response. The downward 

spikes were indicative of crystal compression while the broader upward spikes are attributed to 

the heat pulse and the consequent crystal expansion following the explosion. 

After confirming the Pd/D co-deposition process produces heat, experiments were conducted 

to detect the resulting nuclear ash. Measurements of X-ray emission, 8 tritium production, 9 

transmutation, 10 and particle emission 11,12 were explored. In early experiments, exposure of 

photographic film was observed that was indicative of the emission of soft X-rays. 5 Using 

Si(Li) X-ray and HPGe detectors, it was shown that the cathodically polarized Pd/D system 

emits X-rays with a broad energy distribution with the occasional emergence of recognizable 

peaks due to Pd K and Pt L peaks. 8 Furthermore, the emission of X-rays was sporadic and of 

limited duration. The evidence of tritium production was based on the difference between the 

computed and observed concentration of tritium in the liquid and gaseous phases. It was shown 

767

that the tritium production was sporadic and burst-like. During bursts, the average rate of 

tritium production ranged between 3000-7000 atoms sec -1 over a 24 hr period. 9 

Both the radiation emission and tritium production indicated that the reactions were nuclear 

in origin and occurred in the subsurface. To enhance these surface effects, experiments were 

conducted in the presence of either an external electric or magnetic field. SEM analysis showed 

that when a polarized Pd/D electrode was exposed to an external field, significant 

morphological changes were observed. 13 These changes ranged from minor, e.g. re-orientation 

and/or separation of weakly connected globules, through forms exhibiting fractal and moltenlike 

features, Figures 2a and 2b respectively. It has been reported that the micro-volcano like 

features shown in Figure 2b are consistent with damage that has been observed in materials 

such as Californium which undergo spontaneous nuclear fission. EDX analysis of a blister-like 

such feature, Figure 2c, showed the presence of additional elements (Al, Mg, Ca, Si, and Zn) 

that could not be extracted from cell components and deposited on discrete sites. 10 

(a) (b) 

Figure 2. SEM of (a) fractal and (b) micro-volcano-like features formed when Pd/D co-deposition has been 

conducted in an external electric field. (c) EDX of blister-like (insert) structure formed after exposure of the 

Pd/D film to an electric field. 

More recently, Pd/D co-deposition experiments have been conducted using “CR-39” 

polyallydiglycol carbonate polymers that have widely been used as a solid state nuclear track 

detectors. 14 These detectors have been used to detect energetic particles such as alphas, protons, 

deuterons, tritons and neutrons. CR-39 is the detector of choice in Inertial Confinement Fusion 

(ICF) as it is not affected by the electromagnetic pulse that disables electronic detectors. When 

traversing a plastic material such as CR-39, charged particles create along their ionization track 

a region that is more sensitive to chemical etching than the rest of the bulk. After treatment 

with an etching agent, tracks remain as holes or pits and their size and shape can be measured. 

Pd/D co-deposition experiments were conducted using an Au wire, that was in direct contact 

with a CR-39 chip, as the substrate. 12 After the Pd was completely plated out, the cell was 

exposed to an external magnetic field. The experiment was terminated after two days and the 

CR-39 chip was etched using standard protocols. After etching, the chip was examined under a 

microscope. Figure 3a shows an image of the CR-39 detector, at 20X magnification. Damage to 

the detector is observed where the cathode was in contact with the surface of the detector. This 

768 

(c)

indicates that the source of the damage is the palladium that had been plated on the Au wire. 

Figure 3b shows a higher magnification image taken near the edge of the cathode where there 

was less damage to the CR-39 detector. The image shows both small and large, dark pits as 

well as what look like double and triple pits. Figure 3c is an image of the CR-39 surface while 

Figure 3d is an overlay of two images taken at two different focal lengths (one focal length is at 

the surface of the CR-39 detector and the other focal length is at the bottom of the pit). On the 

surface image, the pits are either circular or elliptical in shape and dark in color, Figure 3c. 

When focusing deeper into the CR-39 detector, bright points of light are observed in the center 

of the pits, Figure 3d. These bright points are due to the bottom tip of the conical track. The pits 

also exhibit a high optical contrast. The optical contrast, shape, and bright spot in the center of 

the pit are used to differentiate between real particle tracks (which tend to be dark) from false 

events (which are often lighter in appearance and irregular in shape). 

(a) (b) (c) (d) 

Figure 3. (a) 20X magnification of a cloudy area observed where the Au/Pd cathode was in contact with the 

CR-39 detector during an external magnetic field experiment. (b) 500X magnification taken near the edge 

of the Au/Pd cathode where less damage to the CR-39 detector is observed. 1000 X image of pits in CR-39 

created during Pd/D co-deposition: (c) the focus is on the surface of the CR-39. (b) Overlay of two images 

taken at two different focal lengths (surface and the bottom of the pits). 

The CR-39 detectors used in the Pd/D co-deposition experiments also show evidence of 

neutrons. A neutron generated during the Pd/D co-deposition has a probability of 10 -5 of 

encountering a proton, carbon, or oxygen atom inside the plastic. Depending upon the energy 

of the neutron, it can elastically knock an atom out of place. Further etching of a CR-39 

detector exposed to neutrons reveals “knock-on” tracks inside the CR-39. Figure 4a shows an 

image obtained for a CR-39 detector that had been used in a Pd/D co-deposition experiment 

after additional etchings. The large pit was first observed on the surface and was 10 μm in 

diameter. After longer etching, the pit on the surface gets larger in size (50 μm in diameter) and 

is shallower. However, on the left hand side of the large pit, a new elliptical track attributed to a 

knock-on is observed. Microscopic examination of the CR-39 detectors after a Pd/D codeposition 

experiment also shows the presence of what appear to be triple tracks, Figures 4b 

and 4c. Microscopic examination of the bottom of the triple track pit shows that the three lobes 

of the track are splitting apart from a center point. The presence of three α-particle tracks 

outgoing from a single point is diagnostic of the 12 C(n,n´)3α carbon break up reaction and is 

easily differentiated from other neutron interactions occurring within the CR-39 detector. 15 In 

order to shatter a carbon atom into three α-particles, the energy of the neutron needs to be ≥9.6 

MeV. 

769

(a) (b) (c) 

Figure 4. Images obtained at 1000X magnification. (a) Image of CR-39 detectors taken after longer etching 

times showing a track due to a knock-on. (b) and (c) Images of triple tracks. In the top images, the focus is 

on the surface of the CR-39 detector. Bottom images are an overlay of two images taken at two different 

focal lengths (top and bottom of pit). 

In conclusion, the Pd/D co-deposition process, that was developed by Stan Szpak, has 

proven to be a versatile tool to explore LENR activities. Research efforts using Pd/D codeposition 

are ongoing. Collaborations have been established with Energetics to explore 

coupling the Super-wave charging protocol to Pd/D co-deposition and with Dr. Mitchell Swartz 

of Jet Energy, Inc. to apply his optimum operational points (OOPs) analysis to the codeposition 

process. 

References 

1. S. Szpak and P.A. Mosier-Boss, ‘On the Behavior of the Cathodically Polarized Pd/D 

System: a Response to Vigier’s Comments’, Phys. Letts. A, Vol. 221, pp. 141-143 (1996). 

2. S. Szpak, P.A. Mosier-Boss, S.R. Scharber, and J.J. Smith, ‘Charging of the Pd/ n H System: 

Role of the Interphase’, J. Electroanal. Chem., Vol. 337, pp. 147-163 (1992). 

3. S. Szpak, P.A. Mosier-Boss, S.R. Scharber, and J.J. Smith, ‘Cyclic Voltammetry of Pd+D 

Codeposition’, J. Electroanal. Chem., Vol. 380, pp. 1-6 (1995). 

4. S. Szpak, P.A. Mosier-Boss, and J.J. Smith, ‘Deuterium Uptake During Pd-D Codeposition’, 

J. Electroanal. Chem., Vol. 379, pp. 121-127 (1994). 

5. S. Szpak, P.A. Mosier-Boss, and J.J. Smith, ‘On the Behavior of Pd Deposited in the 

Presence of Evolving Deuterium’, J. Electroanal. Chem., Vol. 302, pp. 255-260 (1991). 

6. S. Szpak, P.A. Mosier-Boss, M.H. Miles, and M. Fleischmann, ‘Thermal Behavior of 

Polarized Pd/D Electrodes Prepared by Co-Deposition’, Thermochim. Acta, Vol. 410, pp. 

101-107 (2004). 

7. P.A. Mosier-Boss and S. Szpak, ‘The Pd/ n H System: Transport Processes and Development 

of Thermal Instabilities’, Il Nuovo Cimento, Vol. 112A, pp. 577-585 (1999). 

8. S. Szpak, P.A. Mosier-Boss, and J.J. Smith, ‘On the Behavior of the Cathodically Polarized 

Pd/D System: Search for Emanating Radiation’, Phys. Letts. A, Vol. 210, pp. 382-390 

(1996). 

770

9. S. Szpak, P.A. Mosier-Boss, R.D. Boss, and J.J. Smith, ‘On the Behavior of the Pd/D 

System: Evidence for Tritium Production’, Fusion Technology, Vol. 33, pp. 38-51 (1998). 

10. S. Szpak, P.A. Mosier-Boss, C. Young, and F.E. Gordon, ‘Evidence of Nuclear Reactions 

in the Pd Lattice’, Naturwissenschaften, Vol. 92, pp. 394-397 (2005). 

11. S. Szpak, P.A. Mosier-Boss, and F.E. Gordon, ‘Further Evidence of Nuclear Reactions in 

the Pd/D Lattice: Emission of Charged Particles’, Naturwissenschaften, Vol. 94, pp. 511- 

514 (2007). 

12. P.A. Mosier-Boss, S. Szpak, F.E. Gordon, and L.P.G. Forsley, ‘Use of CR-39 in Pd/D Co- 

Deposition Experiments’, European Physics Journal-Applied Physics, Vol. 40, pp. 293-303 

(2007). 

13. S. Szpak, P.A. Mosier-Boss, C. Young, and F.E. Gordon, ‘The Effect of an External Field 

on Surface Morphology of Co-Deposited Pd/D Films’, J. Electroanal. Chem., Vol. 580, pp. 

284-290 (2005). 

14. F.H. Séguin, J.A. Frenje, C.K. Li, D.G. Hicks, S. Kurebayashi, J.R. Rygg, B.-E. Schwartz, 

R.D. Petrasso, S. Roberts, J.M. Soures, D.D. Meyerhofer, T.C. Sangster, J.P. Knauer, C. 

Sorce, V.Y. Glebov, C. Stoeckl, T.W. Phillips, R.J. Leeper, K. Fletcher, and S. Padalino, 

‘Spectrometry of Charged Particles from Inertial-Confinement-Fusion Plasmas’, Rev. Sci. 

Instrum., Vol. 74, pp. 975-995 (2003). 

15. A.M. Abdel-Moneim and A. Abdel-Naby, ‘A Study of Fast Neutron Beam Geometry and 

Energy Distribution Using Triple- Reactions,’ Radiat. Meas., Vol. 37, pp. 15-19 (2003). 

771

SPAWAR Systems Center-Pacific Pd:D Co-Deposition 

Research: Overview of Refereed LENR Publications 

S. Szpak 1 , P. A. Mosier-Boss 1 , F. Gordon 1 , J. Dea 1 , J. Khim 2 and L. Forsley 2 

1 SPAWAR Systems Center-Pacific, San Diego, CA 92152 

2 J W K International, Annandale, VA. 

Abstract 

Scientists at the US Navy SPAWAR Systems Center-Pacific (SSC-Pacific), and 

its predecessors, have had extraordinary success in publishing LENR papers in 

peer-reviewed journals. This success hasn’t come easily and is due to several 

factors. One key reason for this success was the courage of the SSC-Pacific 

upper management in allowing scientists to conduct research and publish results 

in a controversial field. The few journal editors, who had the fortitude to 

consider our work, also contributed to this success. This contrasts with the 

majority of their peers who, taking the path of least resistance, ignored our work 

out of hand and returned manuscripts with, ‘the subject matter is not in the 

purview of the journal’. The reviewers also played a role in the successful 

publication of LENR-related papers. A multitude of reviewers, many outside the 

LENR field, had to put aside their biases and look objectively at our data. In 

turn, the reviewers’ relentless concerns forced us to tenaciously address their 

issues. Ultimately, the SSC-Pacific team published 21 refereed papers in seven 

journals and a book chapter, spanning 19 years beginning in 1989. This paper is 

a brief synopsis of those publications. 

1. S. Szpak, P.A. Mosier-Boss, and J.J. Smith, “On the Behavior of Pd Deposited in the 

Presence of Evolving Deuterium,” J. Electroanal. Chem., 302 (1991) 255-260 

This was a preliminary note introducing the Pd/D co-deposition protocol as an alternative 

experimental approach to initiate LENR. Temperature measurements using thermocouples 

placed in the cathode and solution show that the cathode was hotter than the solution. This 

indicates that the observed heat is not due to Joule heating. A ten fold increase in tritium 

content in the solution was observed. Experiments were conducted with photographic film in 

close proximity of the cathode. After development, the film showed a grid pattern due to the Ni 

screen cathode and was attributable to the emission of soft X-rays. 

2. S. Szpak, C.J. Gabriel, and R. J. Nowak, “Electrochemical Charging of Pd Rods,” J. 

Electroanal. Chem., 309 (1991) 273-292 

A model was developed to describe the electrochemical charging of palladium rods. This model 

coupled the interfacial processes with the transport of interstitials in the electrode interior. It 

was shown that boundary conditions arise from the solution of equations governing the 

elementary adsorption-desorption and adsorption-absorption steps as well as the symmetry of 

the electrode. 

772

3. S. Szpak, P.A. Mosier-Boss, S.R. Scharber, and J.J. Smith, “Charging of the Pd/ n H System: 

Role of the Interphase,” J. Electroanal. Chem., 337 (1992) 147-163. 

Slow scan cyclic voltammetric studies of Au/Pd/ n H were conducted to examine the dynamics 

of transport of electrochemically deuterium/hydrogen across the electrode/electrolyte 

interphase. It was found that a coupled, two-layer model of the interphase describes the 

observed behavior as a function of scan rate and electrolyte composition. The effect of 

chemisorbing species, thiourea, and pH on the transport across the interphase was also 

investigated. 

4. S. Szpak, P.A. Mosier-Boss, C.J. Gabriel, and J.J. Smith, “Absorption of Deuterium in 

Palladium Rods: Model vs. Experiment,” J. Electroanal. Chem., 365 (1992) 275-286. 

A model that incorporates variables such as electrochemical rate constants, bulk diffusion 

coefficient, and charging current has been developed. Such a model can be used to predict the 

overpotential, surface coverage, and bulk loading of the electrode during charging. The 

computed time dependence of the bulk loading has been compared with published experimental 

charging curves. Microscopic examination of a charging Pd cathode using Nomarski optics has 

shown that, even within a single grain, there are preferred sites of absorption. In-situ XRD 

measurements of the charging Pd cathode shows that deuterium preferentially enters the Pd 

lattice through the 111 sites. With additional charging, a broadening and a shift to lower 2 

angles was observed which suggested the presence of a supercharged layer. 

5. S. Szpak, P.A. Mosier-Boss, R.D. Boss, and J.J. Smith, “Comments on the Analysis of 

Tritium Content in Electrochemical Cells,” J. Electroanal. Chem., 373 (1994) 1-9. 

The time dependence of tritium content of an open cell operating galvanostatically with 

intermittent sampling has been derived and is given by the following expression: 

m( 

0) 

r( 

i) 

t 

f 

( t) 

f ( 0) 

 

m( 

0) 

 

q 

m( 0) 

r( 

i) 

t 

1 

 

( S 1) 

r( 

i) 

 

m( 

0) 

 

S1 

S 1 

where f is the tritium mass fraction, m is the mass of the electrolyte phase, r(i) denoted the rate 

of change associated with the cell current, q is the rate at which tritium is added/removed, and s 

is the isotopic separation factor. It was concluded that a complete mass balance between the 

liquid and gas phases was necessary in order to determine that tritium was produced in the 

Pd/D system. 

6. S. Szpak, P.A. Mosier-Boss, and J.J. Smith, “Deuterium Uptake During Pd-D Codeposition,” 

J. Electroanal. Chem., 379 (1994) 121-127. 

Deuterium uptake during Pd-D co-deposition was examined using galvanostatic perturbation 

techniques. The resultant potential relaxation curves exhibit four distinct potential-time 

intervals where the relaxation process is controlled by the interaction between the transport of 

deuterium from inside the lattice to the surface to form adsorbed deuterium and the reduction of 

palladium from solution. 

773

7. S. Szpak, P.A. Mosier-Boss, S.R. Scharber, and J.J. Smith, “Cyclic Voltammetry of Pd + D 

Codeposition,” J. Electroanal. Chem., 380 (1995) 1-6. 

Processes associated with the Pd + D alloy codeposition were examined by cyclic voltammetry. 

The dynamics of the interphase region are discussed. 

8. S. Szpak, P.A. Mosier-Boss, and J.J. Smith, “On the Behavior of the Cathodically Polarized 

Pd/D System: Search for Emanating Radiation,” Phys. Lett. A. 210 (1996) 382-390. 

Pd/D co-deposition experiments were conducted inside lead caves while measuring gamma and 

X-rays, as a function of time, using a HPGe detector with an Al window and a Si(Li) detector 

with a Be window. The cathodically polarized Pd/D system was observed to emit X-rays with a 

broad energy distribution and with an occasional emergence of recognizable peaks attributable 

to the Pd Kα and Pt L lines. The emission of X-rays is sporadic and of limited duration. 

9. S. Szpak and P.A. Mosier-Boss, “On the Behavior of the Cathodically Polarized Pd/D 

System: A Response to Vigier’s Comments,” Phys. Lett. A. 221 (1996) 141-143. 

Preliminary results of thermal imaging of the Pd/D cathode prepared using the co-deposition 

technique are presented. Hot spots are observed that appear/disappear chaotically. With time 

these hot spots merge into larger islands that exhibit oscillatory behavior. SEM images of a 

Pd/D cathode that had melted during electrolysis are shown. 

10. S. Szpak, P.A. Mosier-Boss, R.D. Boss, and J.J. Smith, “On the Behavior of the Pd/D 

System: Evidence for Tritium Production,” Fus. Technol., 33 (1998) 38-51. 

In these experiments, the D2 and O2 gases were recombined in a separate chamber. The tritium 

content in the liquid and gas phases were measured daily using a liquid scintillation. The 

measured data were analyzed using the mass balance expression that was derived earlier. It was 

observed that tritium production occurred in bursts and sporadically. During a burst, the rate of 

tritium production was estimated to be 10 3 to 10 4 atoms s -1 . Tritium produced during prolonged 

electrolysis was transported out of the electrode interior by two distinct paths. One path results 

in enrichment of tritium in both the electrolyte and gas phases. The second results in 

enhancement only in the gas phase. 

11. S. Szpak and P.A. Mosier-Boss, “On the Release of from cathodically polarized 

n 

Palladium Electrodes,” Fus. Technol. 34 (1998) 273-278. H 

The release paths for tritium produced during electrochemical compression of deuterium in a 

Pd lattice were examined. The results indicate that tritium production requires high D/Pd 

atomic ratios. This requirement is met if there are no channels reaching the contact surface. The 

electrogenerated tritium is distributed among the voids and bulk material. Gas evolution 

n 

promotes a continuous exchange between the H atoms residing in the subsurface layer and 

1 

with those in the adsorbed state. Atoms in the adsorbed state exchange with the molecules of 

the contacting electrolyte phase or gaseous phase, leading to two distinct transfer paths. 

12. P.A. Mosier-Boss and S. Szpak, “The Pd/ n H System: Transport Processes and Development 

of Thermal Instabilities,” Nuovo Cimento Soc. Ital. Fis. A, 112 (1999) 577-587. 

774 

1

The surface temperature distribution of the cathode prepared by Pd/D co-deposition on a Ni 

screen was measured using an infrared camera. It was observed that, unlike joule heating, 

excess enthalpy generation occurs in the form of localized events in close proximity to the 

contact surface. It was also observed that, the higher the electrolyte temperature, the more 

frequent the events. In the limit, these events overlap to produce oscillating islands. 

13. S. Szpak, P.A. Mosier-Boss, and M. H. Miles, “Calorimetry of the Pd + D Codeposition,” 

Fus. Technol., 36 (1999) 234-241. 

Calorimetric measurements indicate that the excess enthalpy generated in cells using cathodes 

prepared by the co-deposition process is, on average, higher than that produced in cells using 

solid Pd rods. Infrared imaging of the cathodes prepared by Pd/D co-deposition shows that the 

heat sources are highly localized. The steepness of the temperature gradients indicate that the 

heat sources are located in close proximity to the electrode-solution contact surface. 

14. S. Szpak, P.A. Mosier-Boss, M. H. Miles, and M. Fleischmann, “Thermal Behavior of 

Polarized Pd/D Electrodes Prepared by Co-deposition,” Thermochimica Acta, 410 (2004) 101- 

107. 

The thermal behavior of Pd/D electrodes, prepared by the co-deposition technique, was 

examined using a Dewar-type electrochemical cell calorimeter. Results indicated that excess 

enthalpy is generated during and after the completion of the co-deposition process. The rates of 

excess enthalpy generated using the co-deposition technique were higher than those obtained 

using Pd wires or other forms of Pd electrodes. Positive feedback and heat-after-death effects 

were observed. The rates of excess power generation were found to increase with an increase in 

both cell current and cell temperature. 

15. S. Szpak, P.A. Mosier-Boss, C. Young, and F.E. Gordon, “The Effect of an External 

Electric Field on Surface Morphology of Co-deposited Pd/D Films,” J. Electroanal. Chem., 

580 (2005) 284-290. 

After plating out the Pd on a Au foil, the cell current was increased and an external electric 

field was applied across the cell. The experiment was terminated after 48 h. The cell was 

disassembled and the cathode was subjected to analysis using an SEM. In the absence of an 

external electric field, the Pd deposit exhibits a cauliflower structure. After exposure to an 

external electric field, significant changes in the morphology of the Pd/D deposit were observed. 

Fractal features were observed as well as dendritic growths, rods, wires, and craters. 

Considerable work is needed to account for the variety of shapes. The process of shape change 

is driven by energy transferred from the electrostatic field and directed by the field. 

16. S. Szpak, P.A. Mosier-Boss, C. Young, and F.E. Gordon, “Evidence of Nuclear Reactions 

in the Pd Lattice,” Naturwissenschaften, 92 (2005) 394-397. 

When a cathode prepared by Pd/D co-deposition is subjected to an external electrostatic field, 

SEM analysis of the deposit shows discrete sites exhibiting molten-like features. Such features 

require substantial energy expenditure in order to form. EDX analysis of these features shows 

the presence of new elements (Al, Mg, Ca, Si, Zn,…) that could not be extracted from cell 

components. 

775

17. S. Szpak, P.A. Mosier-Boss, and F.E. Gordon, “Further Evidence of Nuclear Reactions in 

the Pd/D Lattice: Emission of Charged Particles,” Naturwissenschaften, 94 (2007) 511-514. 

CR-39 is a solid state nuclear track detector that is used to detect energetic particles such as 

alphas, protons, tritons, and helium-3. Pd/D co-deposition was done, in the presence of an 

external electric or magnetic field, with the cathode in direct contact with a CR-39 detector. 

Tracks on the CR-39 detector were observed where the cathode was in contact with the plastic 

indicating that the source of the tracks is the cathode. The features of these tracks (optical 

contrast, shape, and bright spot in the center of the pit) are consistent with those observed for 

pits in CR-39 that are of a nuclear origin. The emission of the energetic particles is sporadic 

and occurs in bursts. 

18. P.A. Mosier-Boss, S. Szpak, F.E. Gordon, and L.P.G. Forsley, “Use of CR-39 in Pd/D Codeposition 

Experiments,” Eur. Phys. J. Appl. Phys., 40 (2007) 293-303. 

A series of control experiments were conducted. It was shown that the tracks observed in CR- 

39 detectors subjected to Pd/D co-deposition were not due to radioactive contamination of the 

cell components. No tracks were observed when Cu was electrochemically plated on the 

surface of the CR-39 detectors. This indicates that the pits cannot be attributed to chemical 

attack of the surface of the CR-39 by either D2, O2, or Cl2 present in the electrolyte. Nor can the 

pits be attributed to the metal dendrites piercing into the surface of the detectors. Additional 

experiments showed that LiCl is not essential for the production of pits and that the density of 

pits significantly decreases when light water is substituted for D2O. Quantitative analysis using 

an automated scanner shows that there are three populations of tracks (0.1-0.5 μm, 0.9-4.0 μm, 

and 4.1-12 μm) and that the pits can be either perfectly circular or elliptical in shape. 

19. P.A. Mosier-Boss, S. Szpak, F.E. Gordon, and L.P.G. Forsley, “Detection of Energetic 

Particles and Neutrons Emitted during Pd:D Co-deposition,” Low Energy Nuclear Reactions 

Source Book, American Chemical Society , Chapter 14, pp 311-334. (2008). 

Co-deposition procedures and control experiments specifically identified the conditions under 

which nuclear particles were observed, and ruled out chemical means of mimicking nuclear 

tracks. The nuclear tracks are quantitatively examined and are consistent with neutron knockons. 

Triple tracks are presented as evidence of 12 C(n,n´)3α indicative of DT fusion. 

20. P.A. Mosier-Boss, S. Szpak, F.E. Gordon, and L.P.G. Forsley, “Triple Tracks in CR-39 as 

the Result of Pd/D Co-deposition: Evidence of Energetic Neutrons,” Naturwissenschaften, in 

press. (2008). 

Triple tracks have been observed in CR-39 detectors used in Pd/D co-deposition experiments. 

Microscopic examination of the bottom of the triple track pit shows that the three lobes of the 

track are splitting apart from a center point. The presence of three α-particle tracks outgoing 

from a single point is diagnostic of the 12 C(n,n´)3α carbon break up reaction and is easily 

differentiated from other neutron interactions occurring within the CR-39 detector. The 

presence of triple tracks suggests that DT reactions that produce ≥9.6 MeV neutrons are 

occurring inside the Pd lattice. 

776

21. P.A. Mosier-Boss, S. Szpak, F.E. Gordon, and L.P.G. Forsley, ““Use of CR-39 in Pd/D Codeposition 

Experiments: A Response to Kowalski,” Eur. Phys. J. Appl. Phys., 41 (2008) in 

press. 

Earlier we reported that the pits generated in CR-39 detectors during Pd/D co-deposition 

experiments are consistent with those observed for pits that are of a nuclear origin. Recently, 

that interpretation has been challenged. In this communication, additional experimental data 

and further analysis of our earlier results are provided that support our original conclusions. 

777

Preparata Prize Acceptance Speech 

I. Dardik 

Energetics Technologies 

P.O.Box 3026 

Omer Industrial Park 

Omer, Israel 

During ICCF-14, Irving Dardik was awarded the Preparata Medal for 2008. The 

honor, named after the late Italian physicist Giuliano Preparata, is awarded at 

ICCF conferences for contributions to progress in Condensed Matter Nuclear 

Science. 

Thank you Bill and Mike. I am honored to be this year’s recipient of the Preparata Prize and 

thank the Committee for this recognition. Back in 1991 I applied for a low energy nuclear 

reaction patent based on SuperWaves. The United States patent office shelved it along with all 

the other applications that our community has submitted over the years. In 2001, one brave 

man, Professor Herman Branover, stepped forward and listened to my predictions that 

SuperWaves would make a difference in LENR results. Next in, was Ehud Greenspan who 

stated that even if there was a 1% chance that I was right, he would listen. After hearing me 

out, he upped that percentage to 50% and joined Dr. Branover, Alison Godfrey and me in a 

meeting with the visionary Sidney Kimmel. In a bold and daring move, Sidney Kimmel 

committed his personal resources towards funding a SuperWaves laboratory in Israel whose 

mission was to use SuperWaves to produce usable energy. 

I am grateful to Alison Godfrey for her extraordinary leadership in building Energetics 

Technologies into what it is today…. to Shaul Lesin for taking the lead in establishing 

Energetics in Israel and hiring a team of brilliant scientists in 2001 — 10 long years after my 

first patent application in this field. Their work is impeccable and has justified Dr. Greenspan’s 

participation. They have surpassed all expectations of what could be accomplished in a few 

short years using SuperWaves. 

By 2003, we presented some of our early results at ICCF 10 and had the honor of drawing the 

attention of Mike McKubre. Mike’s scientific sophistication and leadership in the DARPA 

replication projects with SRI, has been invaluable. I also want to thank Vittorio Violante of 

ENEA and the extraordinary team at NRL. 

I would like to acknowledge Dave Nagel and Mike Melich for organizing an extraordinary 

conference, bringing in new faces and presenting the field in a cohesive and well developed 

way. 

As Llewellyn King pointed out in his Keynote Address, we are coming off of a summer of 

skyrocketing energy costs. It is only August, and many in this country and around the world are 

already in fear; wondering how they will afford to heat their homes this coming winter. 

778

With all the talk of possible alternatives to the finite fossil fuel reserves, our community is 

not even part of the public dialogue. That… ladies and gentlemen… troubles me, because 

history teaches us that the driving forces behind the great ages of advancement, were not only 

people’s needs and hopes and dreams — but also our innate hunger for knowledge. Yet in the 

midst of this traumatic awakening to our disastrous energy crisis, our research is missing from 

the radar of public debate. Yet… even though our community operates virtually in the shadows 

of science…. we are under attack and have been so for nearly two decades. But as we expend 

positive and negative energy to protect ourselves… struggle financially for the survival of our 

research….we remain at the core…. strong and resolute… because this is a community of 

courageous people, committed against all odds. 

The stakes are easily articulated. The survival of civilization is dependant upon finding a 

safe, sustainable, and readily accesible solution to the energy crisis. It is our job to remain 

focused on our goals and not take on a victim’s mentality, nor get caught up in the tempting 

web of infighting. This quiet revolution is yielding results that are more and more reproducible. 

We are on the verge of developing a technology that promises to rescue our future. And it is the 

people in this room that are going to save the world. 

But the revolution is now too quiet for our times. While they say we stand on the shoulders of 

giants, history is ripe with pivotal moments when the greatest minds of an age, doubted 

alternative thought, based on an assertion that all there was to be known… was known. Make 

no mistake about it. We live in such a time. 

The greatest advances in all of science have always come from ideas that were vilified. From 

Galileo, to Columbus, to Semmelweis whose career was destroyed for having the audacity to 

suggest that physicians should wash their hands before delivering a baby. We can proudly add 

to that list Martin Fleischmann, Stanley Pons, and many of the people in this very room today. 

It is nearly impossible to fathom… that despite living in the modern age where advances in 

science, medicine and technology arrive at seemingly lightning speed, that there are those who 

would argue that LENR is not even worth the effort of exploring. They would keep our work in 

the shadows, and insist that the public must not know about our research… for fear that they… 

the public… might join us in our commitment for a better tomorrow. 

For those of us here tonight… I say… stay the course, because our time is now. 

779

Cold Fusion Country History Project 

Xing Z. Li 1 , Jean-Paul Biberian 2 , Jacques Dufour 3 , M. Srinivasan 4 , F. Scaramuzzi 5 , J. Kasagi 6 , 

Y. Iwamura 7 , Andrei Lipson 8 , Ivan Chernov 9 and Yu. N. Bazhutov 10 

1 Dept. of Physics, Tsinghua University, Beijing, CHINA 

2 Université d’Aix-Marseille, 163 Avenue de Luminy, 13288 Marseille cedex 9, France 

3 CNAM - Laboratoire des sciences nucléaires - CC304A - 75141 Paris Cedex 03 

4 Formerly of Bhaba Atomic Research Centre, Trombay, Mumbai 

5 LNF/INFN, Frascati – Italy 

6 Laboratory for Nuclear Science, Tohoku University, Japan 

7 Advanced Technology Research Center, Mitsubishi Heavy Industries 

8 A.N. Frumkin Institute of Physical Chemistry and Electrochemistry, Russian Academy of 

Sciences, 119991 Moscow, Russia 

9 Tomsk Polytechnic University, 634050 Tomsk, Russia 

10 Institute of Terrestrial Magnetism, Ionosphere and Radiowave Propagation (RAS), 

142092, Troitsk, Moscow region, Russia 

The 20 th Anniversary of the Fleischmann-Pons announcement was approaching as we 

prepared for ICCF-14. An adjunct project was initiated to write histories of the research 

activities on a country-by-country basis, preferably one in the language of the country and then 

a translation into English. It had become clear that the normal historical record of the field’s 

scientific development was in danger of being lost due to deaths, slow development of the field, 

and general absence of institutional records. Thus was born the “cold fusion” Country History 

Project. Our objective was to give each of the countries that have contributed significantly an 

opportunity to record their research efforts and results in a form both accessible to native 

speakers and to English speakers. Teams were assembled in China, France, India, Italy, Japan, 

Russia, United Kingdom and the United States. At ICCF-14, six status reports were presented, 

covering the history in China, France, India, Italy, Japan, and Russia. Selected text from these 

presentations is shown below. There was no presentation at ICCF-14 Wednesday morning 

session devoted to the Country Histories of the USA and UK history work. 

It is our intention that these reports, when finished, will be brought together as a set and made 

widely available in English. An editorial board of scientists not involved in the field has been 

assembled to review the final manuscripts. The United Kingdom “book” will likely be an 

expansion of the history of the UK’s Atomic Energy Research Establishment, Harwell. The 

USA history is directed at extracting and making available research work that has hitherto not 

been available, particularly in an organized form, from US government laboratories. 

The science of nuclear physics and nuclear fission developed in the politically charged 1930s 

and moved to national importance with Roosevelt’s receipt of Einstein’s 2 August 1939 

warning letter of the potential of nuclear energy. The Manhattan Project pushed into existence 

the atomic bomb and the foundations of nuclear power generation leaving behind the 

development of a basic scientific understanding of what is a very difficult many-body problem. 

The physical models we have used for about 70 years still retain much of the flavor of the 

780

needs of an engineering project. Their scientific limitations are discussed by Norman Cook in 

his book, Models of Nuclear Physics, Springer 2006. Cook’s book and presentation at ICCF-14 

provide a useful context for gaining a deeper understanding the history of development of the 

Fleischmann-Pons Effect and why it was controversial. We hope that, when finished, this 

Country History project will offer a better appreciation of what will be required to deal with 

some of the most fundamental problems of the physical sciences. 

1. “Condensed Matter Nuclear Science” Research in China 

Presentation Title: Normal Temperature Nuclear Fusion 

Xing Z. Li, Department of Physics, Tsinghua University, Beijing 

Presentation at ICCF-14, Washington D.C., Aug.13 2008, 

Abstract. Five features of “Condensed Matter Nuclear Science” research in China are 

addressed. Five important meetings are described from the beginning to April of 2008. Twenty 

institutions are listed with their principle investigators, research staffs, and main research 

subjects. Twenty-nine articles are cited for reference. 

Nomenclature. Cold fusion is referred to as “normal temperature nuclear fusion” in China. It 

was given this name by Academician, Qian Xue Sen. In 2002, during ICCF-9, International 

Advisory Committee decided on a new name, Condensed Matter Nuclear Science (CMNS), in 

order to show the progress of the normal temperature nuclear fusion which had initiated this 

research field. This article mainly discusses the history; hence, it still adopts the name of 

normal temperature nuclear fusion (or in some cases “cold fusion”). 

Introduction. Normal temperature nuclear fusion has been conducted for 19 years in China. 

When reviewing it, five aspects of the research stand out: 

1. National policy has always kept an expectation established at the beginning. 

2. A group of top scientists have continued to support this research, even though it 

appears to violate common-sense. 

3. International collaboration has been an important aspect from beginning until the 

present day. 

4. Chinese researchers have attempted to develop the basic research independently with 

our own approaches. 

5. Hot fusion institutions have kept abreast of development in normal temperature nuclear 

fusion, and have even given a hand occasionally. 

Over 20 institutions have continued research into these phenomena since the 1989 FPE 

announcement. The map below provides an indication of the work as of August 2008. 

781

2. “Condensed Matter Nuclear Science” Research in France 

History of Cold Fusion France 

Jean-Paul Biberian, Faculté des Sciences de Luminy, Marseille 

Jacques Dufour, CNAM, Paris 

The players. These scientists and engineers have entered the field at one time or another : 

The CEA Grenoble (Georges Lonchampt). 

CNAM (Jacques Dufour). 

CNAM (Pierre Clauzon). 

The EDF (Electricité de France). 

Université Aix-Marseille (Jean-Paul Biberian). 

IMRA Sophia Antipolis (Stan Pons and Martin Fleischman). 

Independent researcher (Jean-Louis Naudin). 

Independent researcher (Fabrice David). 

Fondation Louis de Broglie (Georges Lochak and Henri Lehn). 

The future. Unless something striking happens soon, the field will disappear in France. 

Today’s active researchers” 

CNAM (Pierre Clauzon, already retired). 

Université Aix-Marseille (Jean-Paul Biberian, will retire in three years). 

Fondation Louis de Broglie(George Lochak and Henri Lehn, already retired). 

Fabrice David. 

782

Research interest among younger scientist can be found at CNAM where Jacques Dufour has a 

team of two young scientists actively testing a novel working hypothesis (picochemistry) that 

based on a current center of interest in main stream physics (long range weak Yukawa potential 

in the Standard Model Extension). 

3. “Condensed Matter Nuclear Science” Research in India 

History of Cold Fusion Research in India 

M. Srinivasan, Formerly of Bhaba Atomic Research Centre, Trombay, Mumbai 

Phases of CF Research in India 

Phase i : 1989 to 1991 (ICCF 1) - Most productive era! 

Phase ii : 1992 to 1995 (ICCF 3,4,5) - Post Iyengar period 

Phase iii : 1996 to 2007 (12 years) India totally blanked out! 

Phase iv : 2008 Revival - Following NIAS meeting of 9th January 2008 

Overview of BARC (1989-90) 

BARC has > 50 Divisions & 3000 Scientists! 

12 teams (~ 50 scientists) took up challenge 

To verify “nuclear origin” of phenomenon 

Looked for neutrons & Tritium 

First neutrons detected on 21st April 1989! 

Within a year all teams reported both n & T 

Among first groups to find branching ratio anomaly namely (n/T) = ~ 1E (-7) 

ICENES Karlsruhe 4th to 7th July 1989 

Report BARC 1500 (Aug ‘89) (Historical role!) 

ICCF 1 & Fusion Technology paper of Aug ‘90 with 50 authors summarize work of 89- 

90! 

4. “Condensed Matter Nuclear Science” Research in Italy 

Cold Fusion in Italy 

Francesco Scaramuzzi , LNF/INFN, Frascati – Italy 

Introduction. I will discuss a book produced by ENEA: “The history of Cold Fusion in Italy”. 

I will touch the following issues: 

- The book 

- The beginning of the Italian History of CF 

- The years of maximum effort 

- The decay 

- Comments 

Comments. 

- cold fusion is a reality 

- it is prominently a scientific problem, very much interesting at that 

783

need for a coordinated effort in material science 

- it is important to convince the scientific world of the validity of the issue, through neat, 

reproducible experiments 

- it is still too early to put the accent on the possible applicative fall-outs, even though 

everyone hopes in them, in particular in the field of energy production. 

5. “Condensed Matter Nuclear Science” Research in Japan 

Country History of Japanese Work on Cold Fusion - Toward further development of 

Condensed Matter Nuclear Science 

J. Kasagi 

Laboratory of Nuclear Science, Tohoku University 

Y. Iwamura 

Advanced Technology Research Center, MHI 

Abstract. We briefly summarize the history of Japanese work on cold fusion after 1989. Since 

the excellent work performed by Prof. Arata are introduced and discussed in the special session, 

we try to summarize other works in Japan. The history can be divided into three periods: the 1st 

period is from the announcement by Fleischmann and Pons to the ICCF3 Nagoya Conference 

(1989 - 1993); the 2nd period is during the New Hydrogen Energy (NHE) Project (1994 – 

1998); and the 3rd after the NHE project (1999 – present). Characteristics of each period and 

the present situation are presented. 

Introduction. In the 19 years following the announcement of Professors Martin Fleischmann 

and Stanley Pons, much work on the cold fusion has been carried out in Japan as well as in 

other countries. The organizers of this conference have asked us to edit a document on “cold 

fusion” research in Japan. Many official reports for various projects, proceedings of domestic 

meetings on cold fusion and research papers describe the progress of this research in Japan. 

Thus, we thought that it is worthwhile to collect and summarize such records as an interim 

report in the cold fusion research. Since the excellent works performed by Prof. Arata were 

introduced and fully discussed in the special session of ICCF14, we have tried to summarize 

other work based on many official reports in Japan. 

The history of cold fusion research in Japan can be divided into three periods: the 1st period is 

from the announcement of F-P to the ICCF3 Nagoya Conference (1989 - 1993), the 2nd period 

is during the New Hydrogen Energy (NHE) Project (1994 – 1998), and the 3rd after the NHE 

project (1999 – present), as schematically shown in Fig. 1. We will show background and 

characteristics of each period, as well as notable research. 

6. “Condensed Matter Nuclear Science” Research in Russia (Former Soviet 

Union) 

Status of Russian Research on Low Energy Nuclear Reactions in Non-Equilibrium Condensed 

Matter, Based on Publications in Peer-Reviewed Journals 

784

Andrei G. Lipson, A.N. Frumkin Institute of Physical Chemistry and Electrochemistry, Russian 

Academy of Sciences, Moscow 199915, Russia 

Ivan P. Chernov Tomsk Polytechnic University, Tomsk, 634050 Russia 

Why peer-reviewed journals only in this history? LENR (CMNS) is a new science and still 

shows poor reproducibility. In some sense it is a “Proto-science” (the definition of L. 

Kowalski). In some cases poor experimental equipment, reflecting a lack of support, and 

overselling of results, while seeking support, leads to a lack of credibility. Lacking independent 

confirmations one may not believe in each result! It is hard to distinguish the grains of truth 

from the stream of informational noise. Because peer reviewed journals take on the 

responsibility for the integrity of their publications they use respected scientists in the field of 

journal, although also this introduces biases. Thus, we have chosen only per-reviewed papers 

that have been filtered by editors and published. 

Wide Survey of FSU/Russian CMNS Related Activities. CMNS Russian activity, based on 

local conference and seminar proceedings has been prepared by Yuri Bazhutov and will be 

described in the so-labeled section below. 

What we are studying. Under LENR or CMNS we study specific nuclear processes at very 

low kinetic energy of projectile nuclei (say, kT< Elab < 1 KeV) that originate and are enhanced 

by strictly non-equilibrium condensed matter/crystalline lattice environment. These 

peculiarities make LENR (and nuclear cross-sections) drastically distinctive from the nuclear 

reactions taking place in vacuum/plasma collision. Broadly, the LENR/CMNS effects include 

nuclear, calorimetric, electrochemical, condensed matter physics, material science and other 

accompanying aspects. This field is inherently an interdisciplinary research area. 

Some dates and statistics. After the discovery of deuterium’s role in Pd cathodes during 

electrolysis (by Fleischmann and Ponce in 1989) many groups in the former USSR started their 

works on LENR. In April 1989 to support this research at the national government level a 

special Council on Cold Fusion was been created in the USSR Academy of Sciences, headed 

by a vice-president of Academy Academician V. Nefedov. 

The First All-Union Conference on Cold Fusion at JINR-Dubna was in March 1991. Fourteen 

local Russian conferences and a monthly Cold Fusion seminar at PF University, Moscow (N. 

Samsonenko) were organized. More than 250 Russian papers have appeared in peer-reviewed 

journals since1989. Since 1993 there has been no central government funding of research in 

this area. FSU scientist suffer from the Bill Collis Vicious Cycle: “insufficient funding leads to 

poor research, poor research leads to poor papers, poor papers lead to insufficient funding”. 

Critical Russian Contributions in LENR/CMNS Research - Prior to 1989 F-P 

announcement. 

First experimental study and development of the microscopic acceleration model: Fractofusion 

on fracture of deuterated dielectrics: LiD and heavy ice crystals (Klyuev VA, Lipson AG et al., 

Sov. Tech. Phys. Lett 12, 551 (1986), Deryaguin BV, Klyuev VA, Lipson AG, Toporov YuP, 

785

Colloid J. USSR 48, 8(1986)). In 1989 TiDx fracture neutrons: [B.V. Deryaguin et al, Nature, 

341, 492, (1989)]. 

Theoretical considerations re the effects on the Coulomb barrier that is reduced in deuterated 

crystals, depending on crystallographic direction, resulting in excess energy production using 

deuteron beam and crystalline target: V.V. Vysotsky and R.N. Kuzmin, Sov.Tech. Phys. Lett., 7, 

981 (1983) 

Summary of FSU/Russian Contributions. Russian research in LENR has made a critical, 

important contribution. The significant areas include, but are not limited by fracto-fusion, 

nuclear emissions during acoustic cavitation, glow discharge effects (isotopic shifts and soft Xray 

emission first observed by Karabut et al), energetic alpha particle emissions, and the first 

application of CR-39 and so on. These contributions are pioneering results and have affected 

international development of CMNS. Despite the clear evidence and high value of Russian 

achievements, much of Russian researcher work has been ignored and have not been cited (in 

time) in international publications on LENR and other related fields. Particular examples – 

fractofusion, cavitation fusion, neutrons emitted from ferroelectrics and so on. It is worth 

noting that main stream Soviet/Russian physics journals (JETP, JETP Lett., Tech. Phys. Tech. 

786

Phys, Lett.) have been translated to English (almost simultaneously with the Russian version) 

by American Institute of Physics. So the failure to make reference to this literature cannot be 

attributed being only available in Russian. 

Conclusion. The research product of Russian groups answer affirmatively that the question 

existence of LENR. Numerous peer reviewed and published Russian papers on CMNS in nonequilibrium 

condensed matter repeatedly show the occurrence of LENR in the form of excess 

heat and/or nuclear emissions. The main problems of Russian LENR studies is a total lack of 

institutional funding resulting in fragmentation of the research conducted and the low 

circulation and readership of the results in international community. Much has been done so it 

is clear that concentration of Russian efforts and international cooperation are highly 

productive. The result of concentrated efforts and international collaboration finally put in 

place a complete CMNS experiments where simultaneous detection of excess heat, atomic 4 He, 

3 T, charged particles (DD-products +energetic alphas), neutron emission is accomplished. 

7. Role of Russian Scientists in Cold Nuclear Transmutation – Condensed 

Matter Nuclear Science (According to Conferences Proceedings, 1991-2007) 

Yu.N. Bazhutov 

Institute of Terrestrial Magnetism, Ionosphere and Radiowave Propagation (RAS), 

142092, Troitsk, Moscow region, Russia, bazhutov@izmiran.ru 

Abstract. The following presents a statistical analysis of Russian scientists’ personal research 

(together with Ukrainian scientists) according to their publications in different Cold Fusion 

Conferences Proceedings. Among these conferences are following: 11 International 

Conferences on Cold Fusion (3-13 ICCF, 1992-2007); Soviet Union Conference on Cold 

Nuclear Fusion (JINR-MSU, 1991); Soviet Union Seminar on Chemistry & Technology of 

Hydrogen (Zarechnyi, 1991); 2-d International Symposium on Cold Fusion (Minsk, 1994); all 

14 Russian Conferences on Cold Nuclear Transmutation (Abrau-Dyurso, Sochi, Dagomys, 

1993-2006). An analysis is presented of the total number of Russian scientists publications in 

International Conferences on Cold Fusion compared to publications from other countries. This 

analysis has demonstrated the considerable contribution of Russian Scientific Community to 

the World Cold Fusion researches. 

Introduction. Immediately after M. Fleishmann and S. Pons's press conference on 23 March 

1989 and in the scientific press [1,2] about discovery of the new phenomenon named by them 

as Cold Nuclear Fusion the Russian scientists have actively joined in its research. Moreover, 

some researches have been lead even earlier [3,4,5], but they were not considered by authors, 

as essentially new direction in a science (mechanoemission by Deryagin B.V. – see references 

in the first part of this Russian/FSU history above), or simply were not published in scientific 

journals since they were seen as contradicting orthodox theoretical representations 

(Yaroslavskiy M.A). Therefore already at the First (and last) Soviet Union Conference on Cold 

Fusion (SUC CF) there were presented almost a hundred reports from nearby fifty various 

scientific groups. It was the first large congress of Russian (and also Ukrainian and Belarus) 

787

scientists on the problem of Cold Fusion which took place in the 2nd anniversary of 

announcement of this phenomenon (22-23 March, 1991) in the Joint Institute of Nuclear 

Researches in Dubna and also has come to the end in the Moscow State University. 

Unfortunately, all papers of this meeting have not been published, only Abstracts SUC CF [6] 

has been published. 

Synopsis of Some Aspects of Russian Meetings. The very first RCCNT (more exact then it 

still referred to RCCNF) took place in September 1993 in Abrau-Dyurso near Novorossiysk on 

the basis of sport camp of the Rostov State University. It became long-awaited heiress to All- 

Union Conference on Cold Nuclear Fusion (1991). On it outstanding representatives CNT from 

abroad have been presented more than 30 Russian and Ukrainian scientists. At the second 

RCCNT (RCCFNT-2) that took place on September, 19-23rd at the rest house of the Moscow 

State University in Sochi, 39 scientists from Russia, Ukraine and Belarus and also from the far 

abroad. All the subsequent RCCNT (3-14, 1995-2006) were held at the resort “Olympic- 

Dagomys” (Sochi). At each were present about 30 Russian (and also Ukrainian, Kazakh and 

Belarus) scientists with their reports and some from a few scientists of the far abroad. 

Views of the status of Russian Research and Organiation. The main “Gold” stock of high 

scientific physical and chemical potential in researches of Cold Fusion in Russia is its highly 

professional researchers managing in the hardest conditions of full disorder of a science in the 

country to spend solid theoretical and experimental researches, recognized by all international 

community as priority. From our statistics it is apparent, that many Russian scientists, not 

having a financial opportunity to attend ICCF, actively enough work and are published in 

RCCNT Proceedings. Such professional activity of the Russian scientists allows hoping, 

eventually, will find recognition and support and will allow the Russian science to bring still 

the defining contribution to World scientific and technical progress. 

Activity of the Russian scientific community on a problem Cold Nuclear Transmutation is 

coordinated by its Interdepartmental Coordination Committee (ICC), created at vice-president 

of the Russian Academy of Sciences, academician Nefyodov O.M. in 1995. Its chairmen in 

different years were academicians Kolotyrkin Ya.M., Baraboshkin A.N. and Kazarinov V.Е. In 

2004 in connection with reorganization of Presidium of the Russian Academy of Science, ICC 

also has been reorganized in the structure and has been registered at the Russian Physical 

Society by its president, Professor Mikhailin V.V. The academician of the Russian Academy of 

Nature Sciences Rukhadze A.A. is now the new ICC CNT Chairman. 

788


Many people and organizations contributed to the planning and execution of ICCF-14. We 

are grateful to all those who helped us in myriad ways. 

The offer to hold the conference in Washington DC in 2008 was accepted by the 

International Advisory Committee at ICCF-12 in Yokahama Japan in 2005 and reaffirmed at 

ICCF-13 in Sochi in June 2007. The members of the International Advisory Committee (IAC) 

committee at the time of ICCF-13 were: 

Yuri Bazhutov, IZMIRAN RAS, Russia (ICCF-13 chairman); Jean Paul Biberian, University 

of Marseilles Luminy, France (ICCF-11 chairman); Tullio Bressani, Dept. di Fisica 

Sperimentale, Universita di Torino, Italy; Francesco Celani, INFN, Frascati, Italy; William 

Collis, ISCMNS Secretary; Igor Goryachev, Russian Research Center "Kurchatov Institute", 

Russia; Antonella De Ninno, ENEA, Frascati, Italy; Peter Hagelstein, MIT, USA (ICCF-10 

chairman); Yasuhiro Iwamura, Mitsubishi Heavy Industries, Japan; Jirohta Kasagi, Laboratory 

for Nuclear Science, Tohoku University, Japan; Xing Zhong Li, Tsinghua University, China 

(ICCF-9 chairman); Andrei Lipson, Institute of Physical Chemistry, RAS, Moscow, Russia; 

Michael McKubre, SRI International, USA (ICCF-4 chairman); George Miley, Fusion Studies 

Laboratory, University of Illinois, USA; Ken-ichiro Ota, Dept of Energy and Safety 

Engineering, Yokohama, Nation. Univ., Japan; Nikolai Samsonenko, People Friendship 

University, Russia; Francesco Scaramuzzi, ENEA, Frascati (retired), Italy, (ICCF-8 chairman); 

Mahadeva Srinivasan, BARC (retired), India; Edmund Storms, Lattice Energy, LLC, USA; 

Akito Takahashi, Osaka University, Japan, (ISCMNS President and ICCF-12 chairman). 

The members of the Technical Program Committee for ICCF-14 were: Michael E. Melich, 

Chairman, (Naval Postgraduate School, USA), Ashraf Imam, Secretary (Naval Research 

Laboratory, USA), Jean-Paul Biberian (University of Marseilles Luminy , France), Ivan 

Chernov (Tomsk Polytechnical University , Russia), Talbot Chubb (Naval Research Laboratory 

(Retired), USA), Peter L. Hagelstein, (MIT, USA), Yasuhiro Iwamura (Mitsubishi Heavy 

Industries, Japan), Jirohta Kasagi (Tohoku University, Japan), Xing Zhong Li (Tsinghua 

University, China), Michael C. H. McKubre (SRI International, USA), Franco Scaramuzzi 

(ENEA Frascati, Italy), Mahadeva Srinivasan (BARC, Retired, India), and Tanya Zilov 

(Energetics Technologies, Israel). 

Several major contributors to the field were commissioned to provide reviews for the 

conference. They include: 

D. Cravens, D. Letts Experiments Reporting Heat 

J. Dufour Ice Calorimetry 

T.V. Lautzenhiser, D.W. Phelps, M. Eisner Constant Heat Flow Calorimetry 

M.C.H. McKubre, F. Tanzella Mass Flow Calorimetry 

M.H. Miles, M. Fleischmann Isoperibolic Calorimetry 

E. Storms Seebeck Calorimetry 

J.-P. Biberian Gas Loading 

789

Financial support for the conference came from both government and private sources. Dr. G. 

Peter Nanos and Dr. William H. Wilson of the Defense Threat Reduction Agency provided 

major support. The New York Community Trust has long been a major benefactor of research 

and outreach activities, including ICCF-14, driven by the interest of its retired businessman 

founder. Brian and Cynthia Chang Scanlon were particularly helpful in funding the ICCF-14 

scholarship program for college. Energetics Technologies and its president Alison Godfrey 

provided both funding and access to major US media coverage. Christy Frazier of the New 

Energy Foundation helped with administration of some of this support as well as manning the 

book desk and providing technical materials for the attendees. Steven Krivit of the New Energy 

Institute administered some of this support. Robert Smith of Oakton International assisted with 

letters of invitation and funding administration. 

Capitol Meeting Planning, Inc. provided invaluable, highly professional assistance in the 

planning and conduct of the conference. Marjorie Burdetsky lead that effort and performed 

many functions. Matthew Burdetsky provided timely assistance with proper handling of the 

government funding. Mindy Stewart served as registrar for the conference. On-site support was 

provided by Stephanie Hines and Trinh Lieu of Capitol Meeting Planning and Carol Ann 

Nagel. 

Two past ICCF chairmen, Michael McKubre and Peter Hagelstein, gave us many suggestions 

and comments. Marianne Macy and Faqir Khanna also provided much useful advice during the 

planning of the conference. 

The Hyatt Regency Hotel on Capitol Hill ably and responsively helped plan the conference. 

Kelly MacIntyre was the initial management contact. Isabella Jabart served as the conference 

point of contact immediately before and during the conference. Vidia Nigam helped with meal 

planning and supervised the preparation and serving of the meals. 

Meetings were held in Moscow in February 2008 with Mark Tervakoski of the US Consulate 

in Moscow for the purpose of establishing the process for Russians to obtain visas. N.V. 

Samsenenko brought together in Moscow many of the Russian’s so that they could appreciate 

the complex process required to obtain a US visa. As the process for granting visas was in 

constant flux Jerome Conley Research, Director, Operational Concepts, LLC and Larry Forsley 

of JWK Corporation brought to bear their extensive experience in expediting the granting of 

clearances and visas. 

Llewellyn King provided an appropriate and stimulating keynote address. Professor George 

Miley of the University of Illinois organized and conducted a post-conference workshop on the 

topic of transmutations. It was attended by approximately 50 scientists. 

Talbot Chubb undertook the organization of the session honoring Prof Arata and wrote 

interpretive materials to assist in understanding his work. Frank Gordon similarly organized 

and conducted the session honoring Stanislaw Szpak. 

A few colleagues gave much time and talent to preparation of these proceedings. Scott Chubb 

of the Naval Research Laboratory and Rodney Johnson of the Naval Postgraduate School 

provided reviews of the theoretical papers, which constitute almost one-third of the papers in 

these proceedings. 

790

Jed Rothwell provided inspired and invaluable editorial, formatting and other services 

without which these proceedings would be much less useful. He also posted many of the papers 

from this conference on the web site lenr-canr.org in order to make them widely available. 

The Marriott Library of the University of Utah is the repository for the archives of materials 

on cold fusion. Dr. Joyce Ogburn, head of that library, and Dr. Gregory Thompson, 

responsively agreed to both print and mail these proceedings to conference attendees. The 

proceedings will also be available on DVD after the initial distribution of paper copies. Orders 

for these proceedings can be placed at http://www.infinite-energy.com. Further, the entire 

proceedings, less copyrighted papers, can be downloaded from LENR-CANR.org. 

791

Author Index 

Pages are in Volume 1 unless otherwise indicated. Volume 2 begins on page 409. 

Adamenko, V., (Vol. 2) 484 

Alexandrov, D., (Vol. 2) 490 

Andreassi, V., 385 

Arata, Y., (Vol. 2) 752 

Bass, R., (Vol. 2) 497 

Bazhutov, Yu. N., (Vol. 2) 780 

Biberian, J-P., 370, (Vol. 2) 780 

Boss, P., (Vol. 2) 766, (Vol. 2) 772 

Branover, H., 106 

Breed, B., (Vol. 2) 503 

Calamai, O. M., 385 

Cantwell, R., 288 

Cao, D., (Vol. 2) 623 

Cappuccio, G., 385 

Castagna, E., (Vol. 2) 429, (Vol. 2) 437, 

(Vol. 2) 444 

Celani, F., 385 

Chardantsev, Y., 220 

Chaudhary, I., (Vol. 2) 579, (Vol. 2) 596 

Chernov, I., 220, (Vol. 2) 780 

Chubb, S., (Vol. 2) 521 

Chubb, T., (Vol. 2) 534, (Vol. 2) 743 

Cook, N., (Vol. 2) 540 

Cravens, D., 71 

Dardik, I., 106, (Vol. 2) 778 

Dash, J., 26 

Date, H., (Vol. 2) 618 

David, F., (Vol. 2) 696 

Dea, J., (Vol. 2) 766, (Vol. 2) 772 

Desyatov, A., (Vol. 2) 418 

Di Biagio, P., 385 

Di Stefano, V., 385 

Dufour, J., 60, (Vol. 2) 546, (Vol. 2) 780 

Dufour, X., 60, (Vol. 2) 546 

Eisner, M., 53 

El-Boher. A., 106 

Falcioni, F., 385 

Fleischmann, M., 6 

Fontana, F., 385 

792 

Foos, J., 60, (Vol. 2) 546 

Forsley, L., (Vol. 2) 653, (Vol. 2) 766, 

(Vol. 2) 772 

Fou, C., (Vol. 2) 553 

Frisone, F., (Vol. 2) 556 

Fujita, Y., 400 

Furuyama, Y., 195 

Gamberale, L., 385 

Gao, J., 203 

Garbelli, D., 385 

Giles, J., (Vol. 2) 696 

Godes, R., (Vol. 2) 573 

Gordon, F., (Vol. 2) 766, (Vol. 2) 772 

Grabowski, K., (Vol. 2) 444 

Grabowski, K. S., (Vol. 2) 429, 

(Vol. 2) 437 

Greenspan, E., 106 

Grimshaw, T., (Vol. 2) 729 

Hagelstein, P., 333, (Vol. 2) 579, 

(Vol. 2) 586, (Vol. 2) 596 

Hampai, D., 385 

He, M., 299 

Hibi, S., 203 

Hioki, T., 203 

Hora, H., (Vol. 2) 451 

Hubler, G., (Vol. 2) 444 

Hubler, G. K., (Vol. 2) 429, (Vol. 2) 437 

Iwamura, Y., (Vol. 2) 780 

Jiang, S., 299 

Jin, L., 328 

Johnson, R., (Vol. 2) 586, (Vol. 2) 596, 

(Vol. 2) 704 

Karabut, A. B., 169, 362 

Karabut, E. A., 169, 362 

Kasagi, J., 203, 310, 318, (Vol. 2) 780 

Khachaturov, B., 106 

Khim, J., (Vol. 2) 766, (Vol. 2) 772 

Kidwell, D., 180 

Kim, Y. E., (Vol. 2) 604

Kitamura, A., 195, 400 

Knies, D., (Vol. 2) 444 

Knies, D. L., (Vol. 2) 429, (Vol. 2) 437 

Kornilova, A., (Vol. 2) 418 

Kowalski, L., (Vol. 2) 723 

Kozima, H., (Vol. 2) 613, (Vol. 2) 618 

Krakov, V., 106 

Lautzenhiser, T. V., 53 

Lecci, S., (Vol. 2) 429, (Vol. 2) 437, 

(Vol. 2) 444 

Lesin, S., 106 

Letts, D., 71, 333 

Li, J., 299 

Li, X., (Vol. 2) 623, (Vol. 2) 780 

Lipson, A., 220, (Vol. 2) 780 

Little, M., 47 

Little, S., 47 

Liu, B., (Vol. 2) 623 

Lu, X., 328 

Luce, G., 47 

Lyakhov, B., 220 

Mancini, A., 385 

Marchesini, M., 385 

Marini, P., 385 

Marmigi, A., 385 

Martini, U., 385 

Mastromatteo, U., 385 

McConnell, M., 288 

McKubre, M., 32, (Vol. 2) 444, 

(Vol. 2) 673 

Melich, M., 220, (Vol. 2) 586, (Vol. 2) 596, 

(Vol. 2) 704 

Meulenberg, A., 633 

Miles, M., 6, (Vol. 2) 766 

Miley, G. H., 212, (Vol. 2) 451 

Mizuno, T., 147 

Motohiro, T., 203 

Murase, A., 203 

Murat, D., 60, (Vol. 2) 546 

Nakamura, M., 385 

Nohmi, T., 195, 400 

Oriani, R. A., 250 

Ozaki, M., 338 

Passell, T., (Vol. 2) 737 

793 

Phelps, D. W., 53 

Purchi, E., 385 

Righi, E., 385 

Roussetski, A., 220 

Rufoloni, A., (Vol. 2) 444 

Sansovini, M., (Vol. 2) 429, (Vol. 2) 437, 

(Vol. 2) 444 

Sarto, F., (Vol. 2) 429, (Vol. 2) 437, 

(Vol. 2) 444 

Sasabe, S., 338 

Sasaki, Y., 195, (Vol. 2) 400 

Saunin, E., 220 

Sawada, S., 147 

Scanlan, B., 263 

Scaramuzzi, F., (Vol. 2) 780 

Seto, R., 400 

Shapiro, A., 106 

Shen, B. J., 328 

Sinha, K., (Vol. 2) 633 

Sona, P. G., 385 

Spallone. A., 385 

Srinivasan, M., (Vol. 2) 780 

Storms, E., 11, 263 

Stringham, R., (Vol. 2) 411 

Swartz, M., 123, 343, (Vol. 2) 458, 

(Vol. 2) 497, (Vol. 2) 639, (Vol. 2) 653, 

(Vol. 2) 689 

Sysoev, N., (Vol. 2) 418 

Szpak, S., (Vol. 2) 766, (Vol. 2) 772 

Takahashi, A., 195, 400, (Vol. 2) 663 

Takahashi, N., 203 

Taniike, A., 195, 400 

Tanzella, F., 32, (Vol. 2) 444 

Tian, J., 328 

Todarello, F., 385 

Toriyabe, Y., 310 

Trenta, G., 385 

Tsirlin, M., 106 

Tsuchiya, K., 338 

Verner, G., 343, (Vol. 2) 458 

Violante, V., 429, (Vol. 2) 437, 

(Vol. 2) 444 

Vysotskii, V., (Vol. 2) 418, (Vol. 2) 484 

Wang, C., 299

Wang, J., 299 

Watanabe, A., 338 

Wei, Q., (Vol. 2) 623 

Weinberg, A., 343 

Weng, Z. K., 328 

Wu, S., 299 

Yamaguchi, T., 195, 400 

Yang, X., (Vol. 2) 451 

Yao, S., 299 

Zhang, H., 299 

Zhang, W-S., 26 

Zhang, Y-C., (Vol. 2) 752 

Zhang, Z-L., 26 

Zhao, Y., 299 

Zheng, S., (Vol. 2) 623 

Zilov, T., 106 

794

Volume 2 - LENR-CANR

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