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At least 253 records · Page 14

A Robust Data-Driven Approach for Mechanical Serial Sectioning

Mechanical serial sectioning (MSS) provides detailed microstructural information across large length scales. By repeatedly removing thin layers of material and imaging the exposed surface, a 3D representation of a specimen’s internal structure can be constructed, enabling failure analysis and feature identification that are otherwise inaccessible via conventional 2D or nondestructive evaluation techniques. Achieving consistent and accurate material removal can be challenging due to system variability, requiring an experienced operator to manually adjust parameters, prolonging data collection times and necessitating post-processing routines to standardize the data. Here, to address these challenges, this paper presents the employment of a one-step model predictive control (MPC) framework tailored to a run-to-run (R2R) controller. The R2R-MPC controller automates the parameter selection process, improving the consistency of material removal through iterative feedback for disturbance rejection and accurate tracking of the target removal rate. Using a data-driven approach, the controller robustly adapts to changing material characteristics. The effectiveness of the R2R-MPC controller is demonstrated through simulation and experimental results and compared to previous data collection procedures.

3D Materials Science↗

Systematic Assessment of Retrieval Methods for Canopy Far-Red Solar-Induced Chlorophyll Fluorescence Using High-Frequency Automated Field Spectroscopy

Remote sensing of solar-induced chlorophyll fluorescence (SIF) offers potential to infer photosynthesis across scales and biomes. Many retrieval methods have been developed to estimate top-of-canopy SIF using ground-based spectroscopy. However, inconsistencies among methods may confound interpretation of SIF dynamics, eco-physiological/environmental drivers, and its relationship with photosynthesis. Using high temporal- and spectral resolution ground-based spectroscopy, we aimed to (1) evaluate performance of SIF retrieval methods under diverse sky conditions using continuous field measurements; (2) assess method sensitivity to fluctuating light, reflectance, and fluorescence emission spectra; and (3) inform users for optimal ground-based SIF retrieval. Analysis included field measurements from bi-hemispherical and hemispherical-conical systems and synthetic upwelling radiance constructed from measured downwelling radiance, simulated reflectance, and simulated fluorescence for benchmarking. Fraunhofer-based differential optical absorption spectroscopy (DOAS) and singular vector decomposition (SVD) retrievals exhibit convergent SIF-PAR relationships and diurnal consistency across different sky conditions, while O2A-based spectral fitting method (SFM), SVD, and modified Fraunhofer line discrimination (3FLD) exhibit divergent SIF-PAR relationships across sky conditions. We find that such behavior holds across system configurations, though hemispherical-conical systems diverge less across sky conditions. O 2 A retrieval accuracy, influenced by atmospheric distortion, improves with a narrower fitting window and when training SVD with temporally local spectra. This may impact SIF-photosynthesis relationships interpreted by previous studies using O 2 A-based retrievals with standard (759–767.76 nm) fitting windows. Fraunhofer-based retrievals resist atmospheric impacts but are noisier and more sensitive to assumed SIF spectral shape than O 2 A-based retrievals. We recommend SVD or SFM using reduced fitting window (759.5–761.5 nm) for robust far-red SIF retrievals across sky conditions.

59 BASIC BIOLOGICAL SCIENCES↗

Design and Development of a Robotic Exoskeleton Device for use in Glove Boxes - 20374

Glovebox operators in nuclear facilities often operate under radioactive environment and typically perform monotonous, dull and repetitive work. This can result in muscle fatigue leading to increased levels of accidents. Current research work aims in assisting the glovebox operators by designing a novel upper limb exoskeleton device to reduce injuries and increase worker efficiency. Almost none of the commercially available hand and upper body exoskeletons are directly suitable for use in gloveboxes. This explains the novelty of the present work in developing a wearable powered robotic exoskeleton device. The device consists of electronics, motors and spring systems mounted on adjustable plates and is supported by a stationary frame behind the worker. The device is intended to be portable and adjustable according to the operator height. The elbow has a flexion movement assisted with motor control by way of a Bowden cable system. The system is floated on a spring and pulley combination that allows for extra safety and smoothness of operation. The end points are fixed near the pivot points to help minimize unwanted movement/torque. The extension movement of the upper and lower arm are assisted by gravity and a counter spring. The shoulder and upper arm movement are held in a neutral position with a spring system for counter balance allowing small movements within the glovebox. This initial concept considers only the vertical movement of the arm. The abduction and adduction movement will not be assisted or impeded by the over shoulder plate or at the forearm plate allowing for full range of motion. Several glovebox aspects such as the level of task assistance, ergonomic design, minimum hindrance in dexterity/operator movements and tear resistance for hazardous safety reasons will be considered in the design of the exoskeleton. Computer models will be simulated to test the load levels and stress conditions on the exoskeleton to enhance the designs. The exoskeleton focusses on major muscular involvement reduction through weight offset and active assistance with minimal parts and hence the device is derived with several joint links and contains both passive and active joints. The paper details the various stages in the design development and prototype testing of the exoskeleton device. Upon successful prototype device development, human testing will be conducted in a replica of the SRS-235F hot cell facility constructed at FIU-ARC. The final stage of the project will be potential testing/deployment of the exoskeleton device in one of the glovebox facilities in Savannah River Nuclear Waste site. (authors)

12 MANAGEMENT OF RADIOACTIVE AND NON-RADIOACTIVE W↗

High-Throughput Microstructural Characterization and Process Correlation Using Automated Electron Backscatter Diffraction

The need to optimize the processing conditions of additively manufactured (AM) metals and alloys has driven advances in throughput capabilities for material property measurements such as tensile strength or hardness. High-throughput (HT) characterization of AM metal microstructure has fallen significantly behind the pace of property measurements due to intrinsic bottlenecks associated with the artisan and labor-intensive preparation methods required to produce highly polished surfaces. This inequality in data throughput has led to a reliance on heuristics to connect process to structure or structure to properties for AM structural materials. In this study, we show a transformative approach to achieve laser powder bed fusion (LPBF) printing, HT preparation using dry electropolishing and HT electron backscatter diffraction (EBSD). This approach was used to construct a library of > 600 experimental EBSD sample sets spanning a diverse range of LPBF process conditions for AM Kovar. This vast library is far more expansive in parameter space than most state-of-the-art studies, yet it required only approximately 10 labor hours to acquire. Build geometries, surface preparation methods, and microscopy details, as well as the entire library of >600 EBSD data sets over the two sample design versions, have been shared with intent for the materials community to leverage the data and further advance the approach. Using this library, we investigated process–structure relationships and uncovered an unexpected, strong dependence of microstructure on location within the build, when varied, using otherwise identical laser parameters.

Characterization and Analytical Technique↗

CAKE: Consistent Automatic Kinetic Equilibrium reconstruction

Magnetohydrodynamic equilibrium reconstructions with kinetic constraints are an essential input of many tokamak stability and transport analysis work- flows. The reconstructions themselves also contain useful information about pressure and current density distributions within the plasma which can be used to drive other calculations. While standardized magnetic-only, and partially kinetic equilibrium reconstruction is widely available and used, re- constructions for well diagnosed machines such as DIII-D, that incorporates a large and heterogeneous set of internal diagnostic measurements yet robustly reaching high numerical accuracy have been a time intensive, manual process. The Consistent Automatic Kinetic Equilibrium reconstruction tool (CAKE) has been developed and implemented at DIII-D for producing low error, kinetically constrained reconstructions without human intervention, and to identify strategies for doing so that would be broadly applicable. Here, the techniques employed to allow CAKE to handle data of limited quality and availability, as well as the full automation of the workflow may assist future efforts to form kinetic constraint profiles in real time plasma control applications.

70 PLASMA PHYSICS AND FUSION TECHNOLOGY↗

OpenMC

OpenMC is an open source, community-developed framework for performing Monte Carlo particle transport calculations.It is capable of simulating neutron and photon transport below ~50 MeV and also includes a model for bremsstrahlung production of photons by electrons/positrons. Fixed source, k-eigenvalue, and subcritical multiplication problems can be solved. Problem geometries can be modeled either using constructive solid geometry or a CAD representation. A flexible and efficient tally system enables a wide variety of physical quantities to be tallied and analyzed. OpenMC can run in parallel using a hybrid MPI and OpenMP programming model and has been extensively tested on leadership class supercomputers. A built-in Bateman equation solver enables the modeling of material composition changes due to irradiation. One of the unique features of OpenMC is its rich, extensible Python and C/C++ programming interfaces that enable programming pre- and post-processing, multigroup cross section generation, workflow automation, multiphysics coupling, and the visualization of geometry and tally results. In addition to the core Monte Carlo transport solver and associated APIs, OpenMC includes a Python-based nuclear data interface that enables power users to inspect, modify,and perform various types of nuclear data processing on ENDF, ACE, and OpenMC¿s native HDF5 files

ROMANO, PaulK.↗

From Bricks to Clicks: Mapping the White Space in Building Innovation

It is a critical national imperative to transform the buildings sector, yet innovation is impeded by deployment failures that leave promising technologies stranded. Conventional market reports and techno-economic analysis provide an insufficient understanding of markets and resource allocation for emerging building technologies. They omit crucial commercialization factors such as ecosystem maturity and adoption friction, where the coordinated participation of a network of suppliers, contractors, financiers, regulators, and integrators is required to scale solutions. This study addresses these gaps by introducing an evaluation framework grounded in front-line data from six years of the DOE's IMPEL incubator, comprising experience from 300 building-sector innovators and the adjacent, complex ecosystem. Our methodology synthesizes top-down market analysis with bottom-up, practitioner-level data across five megatrends: (M1) Affordable materials and industrialized construction; (M2) Healthy and efficient mechanical systems; (M3) Intelligent building operations; (M4) Buildings as grid assets; and (M5) High-density power and cooling for data centers and therein identify twelve "white space" technology opportunities. Next, we develop a multi-criteria scoring rubric to rank these opportunities based on parameters, i.e., Affordability, Quality of Life, Reliability, and Security, yielding composite ‘Demand’ and ‘Maturity’ indices. Our results indicate that the most significant white spaces may not be incremental products but a new class of ‘Ecosystem Enablers’, such as logistics platforms, orchestration layers, and automated compliance software that solve structural deployment gaps. This paper summarizes this transparent, evidence-based, practitioner-informed evaluation framework for policymakers and investors to re-evaluate policy and resource allocation and unlock scalable market transformation.

Singh, Reshma↗

Advanced Processing of Rare Earth Elements and Critical Minerals from Acid Mine Drainage Feedstocks

Ongoing work by the project team identified a process for extracting rare earths and critical mineral (REE/CM) concentrates from acid mine drainage from coal mines, a major stream pollutant. The process removes harmful metals and separates REE/CM into economically attractive concentrates. This project explored the processing of those concentrates into individually separated, high purity metals, suitable for domestic manufacturers. The team brought unique experience in working with AMD-based feedstocks since the inception of USDOE’s coal-based REE/CM program in 2016. The project team has pioneered the recovery of rare earth/critical minerals (REE/CM) from acid mine drainage (AMD). This environmentally beneficial strategy will incentivize AMD treatment while recovering materials critical to the Nation’s defense and advanced manufacturing industries. In addition, the project will investigate the co-production of five high purity CMs from AMD, namely Co, Mn, Li, Cr, Ge. This team’s upstream and midstream recovery and processing technology has been demonstrated at the continuous, small scale pilot scale. In conjunction with the West Virginia Department of Environmental Protection, the team is constructing a full-scale, integrated, 500 gpm AMD treatment plant coupled with an REE/CM facility that will produce 21 tons REE/CM per year. Commissioning is scheduled for September 2021. This will provide feedstock for the team’s proprietary downstream processes that met the project objective: production of individually separated, high purity (ISHP) REE/CM oxides and their further processing to elemental metals (REM). To facilitate entry into the U.S. market, we have teamed up with companies that would use our products to strengthen their domestic supply chains and grow REE/CM based manufacturing in the U.S. They include Rockwell Automation, Rivian, Endress+Hauser, Inc., Northrop Grumman and Hela Novel Metals.

01 COAL, LIGNITE, AND PEAT↗

Recognizability of Demographically Altered Computerized Facial Approximations in an Automated Facial Recognition Context for Potential Application in Unidentified Persons Data Repositories

This study examined the recognizability of demographically altered facial approximations for potential utility in unidentified persons tracking systems. Five computer-generated approximations were generated for each of 26 African male participants using the following demographic parameters: (i) African male (true demographics), (ii) African female, (iii) Caucasian male, (iv) Asian male, and (v) Hispanic male. Overall, 62% of the true demographic facial approximations for the 26 African male participants examined were matched to a corresponding life photo within the top 50 images of a candidate list generated from an automated blind search of an optimally standardized gallery of 6159 photographs. When the African male participants were processed as African females, the identification rate was 50%. In contrast, less congruent identification rates were observed when the African male participants were processed as Caucasian (42%), Asian (35%), and Hispanic (27%) males. The observed results suggest that approximations generated using the opposite sex may be operationally informative if sex is unknown. The performance of approximations generated using alternative ancestry assignments, however, was less congruent with the performance of the true demographic approximation (African male) and may not yield as operationally constructive data as sex-altered approximations.

59 BASIC BIOLOGICAL SCIENCES↗

Rapid Evaluation Framework for the CMIP7 Assessment Fast Track

As Earth system models (ESMs) grow in complexity and in volume of output data, there is an increasing need for rapid, comprehensive evaluation of their scientific performance. The upcoming Assessment Fast Track for the Seventh Phase of the Coupled Model Intercomparison Project (CMIP7) will require expeditious response for model analyses designed to inform and drive integrated Earth system assessments. To meet this challenge, the Rapid Evaluation Framework (REF), a community-driven platform for benchmarking and performance assessment of ESMs, was designed and developed. The initial implementation of the REF, constructed to meet the near-term needs of the CMIP7 Assessment Fast Track, builds upon four disparate community evaluation and benchmarking tools that are coupled together using the Coordinated Model Evaluation Capabilities (CMEC) framework. The REF runs within a containerized workflow for portability and reproducibility and is aimed at generating and organizing diagnostics covering a variety of model variables. The REF leverages well documented observational datasets to provide assessments of model fidelity across a collection of diagnostics. All diagnostics were identified and selected with community involvement and consultation. Operational integration with the Earth System Grid Federation (ESGF) will permit automated execution of the REF for selected diagnostics as soon as model output data are published on ESGF by the originating modeling centers. The REF is designed to be portable across a range of current computational platforms to facilitate use by modeling centers for assessing the evolution of model versions or gauging the relative performance of CMIP simulations before being published on ESGF. When integrated into production simulation workflows, results from the REF provide immediate quantitative feedback that allows model developers and scientists to quickly identify model biases and performance issues. After the REF is released to the community, its subsequent development and support will be prioritized by an international consortium of scientists and engineers, enabling a broader impact across Earth science disciplines. For instance, the REF will facilitate improvements to models and will enhance confidence in model projections through process-based selection of models based on their performance with respect to observations. Production of reproducible diagnostics and community-based assessments are key features of the REF. Furthermore, providing interoperability with existing evaluation packages assures that contributions from previous community efforts will be available for use in future model intercomparison projects.

Hoffman, Forrest [ORNL] (ORCID:0000000158024134)↗

HTESP (High-throughput electronic structure package): A package for high-throughput ab initio calculations

High-throughput ab initio calculations are the indispensable parts of data-driven discovery of new materials with desirable properties, as reflected in the establishment of several online material databases. The accumulation of extensive theoretical data through computations enables data-driven discovery by constructing machine learning and artificial intelligence models to predict novel compounds and forecast their properties. Efficient usage and extraction of data from these existing online material databases can accelerate the next stage materials discovery that targets different and more advanced properties, such as electron–phonon coupling for phonon-mediated superconductivity. However, extracting data from these databases, generating tailored input files for different ab initio calculations, performing such calculations, and analyzing new results can be demanding tasks. Here, in this work, we introduce a software package named “HTESP” (High-Throughput Electronic Structure Package) written in Python and Bash languages, which automates the entire workflow including data extraction, input file generation, calculation submission, result collection and plotting. Our HTESP will help speed up future computational materials discovery processes.

36 MATERIALS SCIENCE↗

A digital twin approach to system-level fault detection and diagnosis for improved equipment health monitoring

Automating the task of fault detection and diagnosis is crucial in the effort to reduce the operation and maintenance cost in the nuclear industry. This paper describes a physics-based approach for system-level diagnosis in thermal-hydraulic systems in nuclear power plants. The inclusion of physics information allows for the creation of virtual sensors, which provide improved fault diagnosis capability. The physics information also serves to better constrain diagnostic solutions to the physical domain. As a demonstration, various test cases for fault diagnosis in a high-pressure feedwater system were considered. The use of virtual sensors allows constructing performance models for two first-point feedwater heaters which would not have been possible otherwise due to the limited sensor set. Real-time plant data provided by a utility partner were used to assess the diagnostic approach. The detection of an abnormal event immediate after a plant startup pointed to faulty behaviors in the two first-point feedwater heaters. Further, this double-blind fault diagnosis was subsequently confirmed by the plant operator. In addition, several simulated sensor fault events demonstrated the capability of our algorithms in detecting and discriminating sensor faults.

21 SPECIFIC NUCLEAR REACTORS AND ASSOCIATED PLANTS↗

Quantifying uncertainty for deep learning based forecasting and flow-reconstruction using neural architecture search ensembles

Classical problems in computational physics such as data-driven forecasting and signal reconstruction from sparse sensors have recently seen an explosion in deep neural network (DNN) based algorithmic approaches. However, most DNN models do not provide uncertainty estimates, which are crucial for establishing the trustworthiness of these techniques in downstream decision making tasks and scenarios. In recent years, ensemble-based methods have achieved significant success for the uncertainty quantification in DNNs on a number of benchmark problems. However, their performance on real-world applications remains under-explored. In this work, we present an automated approach to DNN discovery and demonstrate how this may also be utilized for ensemble-based uncertainty quantification. Specifically, we propose the use of a scalable neural and hyperparameter architecture search for discovering an ensemble of DNN models for complex dynamical systems. We highlight how the proposed method not only discovers high-performing neural network ensembles for our tasks, but also quantifies uncertainty seamlessly. This is achieved by using genetic algorithms and Bayesian optimization for sampling the search space of neural network architectures and hyperparameters. Subsequently, a model selection approach is used to identify candidate models for an ensemble set construction. Afterwards, a variance decomposition approach is used to estimate the uncertainty of the predictions from the ensemble. We demonstrate the feasibility of this framework for two tasks — forecasting from historical data and flow reconstruction from sparse sensors for the sea-surface temperature. In conclusion, we demonstrate superior performance from the ensemble in contrast with individual high-performing models and other benchmarks.

Deep ensembles↗

Multi deep learning-based stochastic microstructure reconstruction and high-fidelity micromechanics simulation of time-dependent ceramic matrix composite response

A multi deep learning-based framework is developed for efficient, automated microstructure reconstruction and generation of stochastic representative volume elements (SRVEs) with periodic boundary conditions (PBCs) for accurate modeling of ceramic matrix composite (CMC) response. The methodology comprises a convolutional neural network coupled with regression layers to act as a vanilla regression network for semantic segmentation of the microstructure, allowing accurate characterization of the phases and their distributions at the microscale. Scanning electron microscope and confocal microscope are used to obtain C/SiNC and SiC/SiNC CMCs micrographs for vanilla regression testing. Microstructure variability in terms of fiber volume fraction and porosity are quantified through the output regression layer, ensuring accurate representation of material variability in SRVE construction. Generative adversarial network (GAN) and its variants are designed to produce high-fidelity SRVE, spanning CMCs microstructure variability space. A circular padding algorithm is developed to generate SRVEs with PBCs during training of GANs. The accuracy of the generated SRVEs is established through micromechanics simulations, where an efficient formulation of the high-fidelity generalized methods of cells (HFGMC) approach is used to compute the effective mechanical properties. Furthermore, an iterative algorithm is implemented in the HFGMC solver to simulate time-dependent deformation of SiC/SiNC subjected to creep loading conditions.

36 MATERIALS SCIENCE↗

A rule-free workflow for the automated generation of databases from scientific literature

Abstract In recent times, transformer networks have achieved state-of-the-art performance in a wide range of natural language processing tasks. Here we present a workflow based on the fine-tuning of BERT models for different downstream tasks, which results in the automated extraction of structured information from unstructured natural language in scientific literature. Contrary to existing methods for the automated extraction of structured compound-property relations from similar sources, our workflow does not rely on the definition of intricate grammar rules. Hence, it can be adapted to a new task without requiring extensive implementation efforts and knowledge. We test our data-extraction workflow by automatically generating a database for Curie temperatures and one for band gaps. These are then compared with manually curated datasets and with those obtained with a state-of-the-art rule-based method. Furthermore, in order to showcase the practical utility of the automatically extracted data in a material-design workflow, we employ them to construct machine-learning models to predict Curie temperatures and band gaps. In general, we find that, although more noisy, automatically extracted datasets can grow fast in volume and that such volume partially compensates for the inaccuracy in downstream tasks.

36 MATERIALS SCIENCE↗

Development of X-ray Wavefront Sensing Techniques for Adaptive Optics Control at the Advanced Photon Source

The planning and construction of new and upgraded high-brightness X-ray synchrotron and free electron laser sources, such as the Advanced Photon Source upgrade project (APS-U), are driving numerous opportunities to advance X-ray science and technologies. At the same time, an increasing number of highly diverse beamline experiments demand wavefront-preserving adaptive X-ray optics with both high precision and flexibility. At the APS, significant effort has been devoted to developing next-generation adaptive and corrective optics combined with state-of-the-art at-wavelength wavefront sensing techniques and an intelligent feedback control system for the automation and self-alignment of beamline optical systems. This article reviews recent achievements in these areas at the APS. Further, these include the development of in-situ wavefront sensing, the application in active feedback control of ultra-precision deformable mirrors, and the exploration of non-invasive wavefront sensing techniques for adaptive optics and beamline diagnostics.

46 INSTRUMENTATION RELATED TO NUCLEAR SCIENCE AND ↗

CASM Monte Carlo: Calculations of the thermodynamic and kinetic properties of complex multicomponent crystals

Monte Carlo techniques play a central role in statistical mechanics approaches that connect macroscopic thermodynamic and kinetic properties to the electronic structure of a material. This paper describes the implementation of Monte Carlo techniques for the study of multicomponent crystalline materials within the Clusters Approach to Statistical Mechanics (CASM) software suite, and demonstrates their use in model systems to calculate free energies and kinetic coefficients, study phase transitions, and construct phase diagrams from first principles. Many crystal structures are complex, with multiple sublattices occupied by differing sets of chemical species, along with the presence of vacancies or interstitial species. This imposes constraints on concentration variables, the form of thermodynamic potentials, and the values of kinetic transport coefficients. The framework used by CASM to formulate thermodynamic potentials and kinetic transport coefficients accounting for arbitrarily complex crystal structures is presented and demonstrated with examples of increasing complexity. Additionally, an overview of the capabilities of the CASM software specific to Monte Carlo methods is given, and a new CASM software package is introduced, casm-flow, which helps automate the setup, submission, management, and analysis of Monte Carlo simulations.

Cluster expansion↗

Residential Building Energy Efficiency Field Studies: Low-Rise Multifamily

In recent years, the U.S. Department of Energy (DOE) has conducted a series of research studies to validate energy efficient building technologies in the field. Much of the work has focused on single-family construction, and some has also addressed commercial energy codes. The work detailed in this DOE-funded study (EE0007616) focuses on low-rise multifamily buildings (three stories or fewer above grade) in various regions of the United States, and reports on how state-level building codes are being implemented, both in terms of observed characteristics and also in terms of estimated energy impacts. Nearly 100 buildings across four states—Illinois, Minnesota, Oregon, and Washington—were sampled, which represent a range of climate types from mild temperature to very cold continental. Both common entry and outdoor entry buildings were included, and a parallel research project evaluated envelope air tightness and current still-evolving air tightness testing methods. Finally, a set of structured interviews of building designers and other relevant professionals was carried to out to gain more insight into this market. To the greatest extent possible, the methodology developed under the project for low-rise multifamily buildings mirrored the approach established by Pacific Northwest National Laboratory (PNNL) for single-family residential buildings (https://www.energy.gov/eere/buildings/downloads/residential-building-energy-code-field-study). This included the general approach to sampling, recruitment, and data collection, as well as data analysis and presentation. The range of permitting dates for the sites encompassed two energy code cycles in most regions. All states in the study had adopted a variation of the International Energy Conservation Code (IECC) for the structure of their state code. The low-rise multifamily occupancy presents a hybrid building type: most of the building’s conditioned floor area was covered by the residential chapter of the code while portions of the building (such as corridors and common spaces) fell under the commercial code chapter. The key items assessed in this work were: Building Shell—exterior wall insulation, ceiling insulation, foundation insulation, windows. Common Areas—HVAC and lighting. Living Units—lighting, ventilation. A few items were not assessed in detail, given their relative paucity in this occupancy type; these included duct leakage, pipe insulation, and hot water circulation controls. Building characteristics were collected via a combination of architectural, mechanical, electrical, and plumbing plan reviews and field inspections, and entered into a spreadsheet-based tool that was later queried to build a database. Data went through quality control both upon arrival and via a later semi-automated review and assurance process. Most of the data are presented graphically so that the reader can quickly assess compliance with the applicable energy codes (both by state and by code year). As a final step, EnergyPlus™ simulations were created for all buildings in the study to estimate both the as-found energy use intensity (EUI) and the energy and CO 2 that could be saved if features that were found to not meet code minimums were brought up to code. The savings estimates were tabulated for each of the four states in the study. The research team found that the single-family approach was largely applicable to low-rise multifamily buildings. This applies to both the data collection and the prototype EUI analysis. Most of the occupied space is living units and falls under residential energy codes, and many characteristics use similar envelope construction and relatively straightforward mechanical systems and lighting. One of the most challenging aspects of this work was to build an effective spreadsheet-based data collection instrument that could allow efficient collection of both building plan and field data. The research team is of the view that other methods could be equally effective if the work is done carefully with diligent quality control. The primary findings for the work center around the thermal envelope and mechanical systems and lighting at the sites: For thermal envelope components, the majority of buildings met or were better than the prescriptive code.This suggests that building designers and builders are aware of code requirements. In some cases, surveyed buildings were designed to qualify for energy efficiency certification programs. These buildings made up at least 20% of sampled buildings in each state. Almost all buildings met mechanical system efficiency requirements (for both living units and common areas). In some cases, sites employed systems that were considerably more efficient than required by the applicable energy code. Dwelling units had a majority of high-efficacy lighting, often in excess of the state’s residential code requirements. While high-efficacy fixtures were also typical in common areas (corridors and stairwells), lighting power densities (LPDs) in these areas were sometimes higher than levels dictated by the applicable part of the state commercial energy code. The simulation models run on a series of low-rise multifamily prototypes, informed by a composite of the field data collected, calculated annual EUIs of between 20 and 50 kBtu/ft2-yr, with the range representing the effects of both building characteristics and building location (climate zone). A detailed process (based on simulations of prototype buildings) was used to estimate the amount of avoided energy use that would occur if 100% adherence to energy codes were attained. The results indicated modest savings are attainable for items such as window thermal performance and common area lighting. The result is overall only a modest potential for additional energy savings, averaging about 10% of EUI.

29 ENERGY PLANNING, POLICY, AND ECONOMY↗