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Current Practices in Constructing and Evaluating Assurance Cases With Applications to Aviation

This report introduces and provides an overview of assurance cases including theory, practice, and evaluation. This report includes a section that introduces the principles, terminology, and history of assurance cases. The core of the report presents twelve example uses of assurance cases from a range of domains, using a novel classification scheme. The report also reviews the state of the art in assurance case evaluation methods.

David J Rinehart↗

Derivation of Aerosol Profiles for MC3E Convection Studies and Use in Simulations of the 20 May Squall Line Case

Advancing understanding of deep convection microphysics via mesoscale modeling studies of well-observed case studies requires observation-based aerosol inputs. Here, we derive hygroscopic aerosol size distribution input profiles from ground-based and airborne measurements for six convection case studies observed during the Midlatitude Continental Convective Cloud Experiment (MC3E) over Oklahoma. We demonstrate use of an input profile in simulations of the only well-observed case study that produced extensive stratiform outflow on 20 May 2011. At well-sampled elevations between −11 and −23 C over widespread stratiform rain, ice crystal number concentrations are consistently dominated by a single mode near approx. 400 microm in randomly oriented maximum dimension (Dmax). The ice mass at −23 C is primarily in a closely collocated mode, whereas a mass mode near Dmax approx. 1000 microns becomes dominant with decreasing elevation to the −11 C level, consistent with possible aggregation during sedimentation. However, simulations with and without observation-based aerosol inputs systematically overpredict mass peak Dmax by a factor of 3-5 and underpredict ice number concentration by a factor of 4-10. Previously reported simulations with both two-moment and size-resolved microphysics have shown biases of a similar nature. The observed ice properties are notably similar to those reported from recent tropical measurements. Based on several lines of evidence, we speculate that updraft microphysical pathways determining outflow properties in the 20 May case are similar to a tropical regime, likely associated with warm-temperature ice multiplication that is not well understood or well represented in models.

Fridlind, Ann M.↗

Derivation of Aerosol Profiles for MC3E Convection Studies and Use in Simulations of the 20 May Squall Line Case

Advancing understanding of deep convection microphysics via mesoscale modeling studies of well-observed case studies requires observation-based aerosol inputs. Here, we derive hygroscopic aerosol size distribution input profiles from ground-based and airborne measurements for six convection case studies observed during the Midlatitude Continental Convective Cloud Experiment (MC3E) over Oklahoma. We demonstrate use of an input profile in simulations of the only well-observed case study that produced extensive stratiform outflow on 20 May 2011. At well-sampled elevations between -11 and -23 degree C over widespread stratiform rain, ice crystal number concentrations are consistently dominated by a single mode near 400 micrometer in randomly oriented maximum dimension (D[superscript max] ). The ice mass at -23 degree C is primarily in a closely collocated mode, whereas a mass mode near D[superscript max] -1000 micrometer becomes dominant with decreasing elevation to the -11 degree C level, consistent with possible aggregation during sedimentation. However, simulations with and without observation-based aerosol inputs systematically overpredict mass peak D[superscript max] by a factor of 3-5 and underpredict ice number concentration by a factor of 4-10. Previously reported simulations with both two-moment and size-resolved microphysics have shown biases of a similar nature. The observed ice properties are notably similar to those reported from recent tropical measurements. Based on several lines of evidence, we speculate that updraft microphysical pathways determining outflow properties in the 20 May case are similar to a tropical regime, likely associated with warm-temperature ice multiplication that is not well understood or well represented in models.

Fridlind, Ann M.↗

Improving Coverage of Test Cases Generated by Symbolic PathFinder for Programs with Loops

Symbolic execution is a program analysis technique that is used for many purposes, one of which is test-case generation. For loop-free programs, this generates a test-set that achieves path coverage. Program loops, however, imply exponential growth of the number of paths in the best case and non-termination in the worst case. In practice, the number of loop unwindings needs to be bounded for analysis. We consider symbolic execution in the context of the tool Symbolic Pathfinder. This tool extends the model-checker Java Pathfinder and relies on its bounded state-space exploration for termination. We present an implementation of k-bounded loop unwinding, which increases the amount of user-control over the symbolic execution of loops. Bounded unwinding can be viewed as a naive way to prune paths through loops. When using symbolic execution for test-case generation, naively pruning paths is likely at the cost of coverage. In order to improve coverage of branches within a loop body, we present a technique that semi-automatically concretizes variables used in a loop. The basic technique is limited and we therefore present annotations to manually steer symbolic execution towards certain branches, as well as ideas on how the technique can be extended to be more widely applicable.

Programs With Loops↗

Case Study for Lunar ISRU Systems Utilizing Polar Water

In-Situ Resource Utilization (ISRU) is key to long term presence at any extraterrestrial destination. Current NASA direction is to achieve a sustainable presence on the lunar surface by 2028. Mission plans currently target the lunar South Pole to leverage the extended periods of solar illumination and allows for potential access to water ice in the permanently shadowed areas around the poles. With water, it is possible to produce both fuel and oxidizer to fully refuel a vehicle. In order to address ISRU infusion into mission planning, a study of an end-to-end ISRU propellant production system was initiated to assess ISRU architectures and obtain mass and power estimates for each. The results of these case studies will be presented. For this study, The ISRU system architecture involved two sites; the mine site in a shadowed crater where water ice is excavated and extracted from the regolith and the propellant production site at an illuminated ridge where the water is processed into liquefied O2 and H2 propellants. Fixed hardware would be emplaced at each site, with two alternating water tankers to transport water between them. Notional lunar sites were identified for this architecture for baseline environmental parameters. Technology solutions for each subsystem were selected based on those with the highest fidelity models or those that have empirical laboratory data to anchor to. While power needs were identified for each location, a power solution was not prescribed, therefore the masses presented do not include surface power systems. The baseline case in this study assumed that 10 mT of oxygen, along with enough hydrogen to support a propulsion mixture ratio of 6, must be produced in 225 days. Therefore 15 mT of water would need to be collected and processed. The baseline solution resulted in a system mass of5 mT and a total required power of 68kW. The majority of the mass was split between the ridge site system and the two water tankers (2.6 mTand 1.8mTrespectively). The majority of the required power was with three subsystems at approximately 20 kW each: hydrogen liquefaction, electrolysis, and the water extractor subsystem. Trades for four key variables are also presented, namely production rate, water concentration, dry overburden depth, and number of water transport trips. This can be compared to a system that targets oxygen from the minerals in the surface regolith material. A carbothermal reduction reactor system was used for this comparison. The use of direct solar thermal energy to process the regolith and the ease of access of the resource resulted in significantly lower values for the oxygen case: approximately 2.7 mT and 11.8 kW. However, the mass trade would favor the water case over successive missions where the hydrogen up-mass of 2 mT per mission will accrue against the oxygen system.1Aerospace Research Engineer, Chemical and Thermal Propulsion Systems Branch, Senior Member.2Mechanical Engineer, Propulsion and Power Division/Energy Conversion Systems, 2101 Nasa Pkwy/Mailcode EP3 Houston, TX 77058, AIAA member.

Lunar↗

The TRAPPIST-1 Habitable Atmosphere Intercomparison (THAI). Part II: Moist Cases - The Two Waterworlds

To identify promising exoplanets for atmospheric characterization and to make the best use of observational data, a thorough understanding of their atmospheres is needed. 3D general circulation models (GCMs) are one of the most comprehensive tools available for this task and will be used to interpret observations of temperate rocky exoplanets. Due to parameterization choices made in GCMs, they can produce different results, even for the same planet. Employing four widely-used exoplanetary GCMs - ExoCAM, LMD-G, ROCKE-3D and the UM - we continue the TRAPPIST-1 Habitable Atmosphere Intercomparison by modeling aquaplanet climates of TRAPPIST-le with a moist atmosphere dominated by either nitrogen or carbon dioxide. Although the GCMs disagree on the details of the simulated regimes, they all predict a temperate climate with neither of the two cases pushed out of the habitable state. Nevertheless, the inter-model spread in the global mean surface temperature is non-negligible: 14 K and 24 K in the nitrogen and carbon dioxide dominated case, respectively. We find substantial inter-model differences in moist variables, with the smallest amount of clouds in LMDGeneric and the largest in ROCKE-3D. ExoCAM predicts the warmest climate for both cases and thus has the highest water vapor content and the largest amount and variability of cloud condensate. The UM tends to produce colder conditions, especially in the nitrogen-dominated case due to a strong negative cloud radiative effect on the day side of TRAPPIST-le. Our study highlights various biases of GCMs and emphasizes the importance of not relying solely on one model to understand exoplanet climates.

TRAPPIST↗

Heated Supersonic Axisymmetric Jet Cases for the NASA Turbulence Modeling Resource

Three new supersonic jet cases were built for the NASA Turbulence Modeling Resource (TMR). These cases were taken from the 6th AIAA Propulsion Aerodynamics Workshop (PAW) nozzle test problem, which utilized data taken at NASA GRC consisting of non-intrusive measurements of jet plume velocities and temperatures, including both mean values and turbulence statistics. The three jet cases all used a Mach 1.63 axisymmetric nozzle: a heated jet for each at on-design conditions, a temperature-matched on-design condition at Mach 1.63, and an off-design heated condition for the Mach 1.63 nozzle. Computational fluid dynamics (CFD) solutions are obtained using three established Reynolds-averaged Navier-Stokes (RANS) codes: Wind-US, FUN3D, and VULCAN-CFD, all using the Menter Shear Stress Transport k- turbulence model with vorticity source term (SST-V). The NASA TMR requires at least two CFD codes yielding essentially identical results to certify that the approaches are verified, meaning that they solve the posed CFD equations as intended. The three codes generally provided very close agreement with each other for jet plume quantities, with the only exception being static temperature. This discrepancy was determined to be the result of whether or not turbulent kinetic energy was considered in the definition of total energy. Validation of the SST-V turbulence model for this case (its level of agreement/disagreement with experimental data) is also addressed.

turbulance↗

Agent-Based Modeling for the Circular Economy: Lessons Learned From Three Case Studies

The circular economy (CE) aims at decoupling human activities from resource use, creating wealth in the process. Recently, many scholars have questioned the link between increased circularity and sustainability, resulting in many methodological approaches being developed for that purpose. This presentation summarizes the insights gained from the application of agent-based modeling (ABM) to study the techno-economic and social conditions promoting circularity and sustainability of three technologies: photovoltaic (PV) modules, hard disk drives (HDDs), and wind blades. Four main categories of agents are defined in the ABM: asset owners, service providers (e.g., refurbishers), recyclers, and manufacturers. Two main CE strategies are represented: lifetime extension (through repair or reuse) and recycling. The developed models start by projecting installed capacities and end-of-life (EOL) quantities. Then the theory of planned behavior - a social psychology model explaining behavior adoption based on attitude, peer influence, and costs - is used to model the asset owners' EOL decision (i.e., landfill, recycle or extend the lifetime of the asset). Then, the quantities of assets flowing to the recycler and service provider agents and quantities of materials flowing to manufacturers are computed. Recyclers' economies of scale are dynamically modeled, and the value generated by the CE strategies for the recyclers, service providers, and manufacturers is computed within the model. When data are available, avoided greenhouse gas emissions resulting from the CE strategies adoption are calculated exogenously from the ABM simulations. Results show that with improved used PV modules warranties, the reuse CE strategy adoption increases from 1% to 23% between 2020 and 2050. Similarly, improved standards could enhance HDDs end-users trust in data-wiping - a prerequisite to reuse - leading to a 3-fold increase in the reuse rate and avoid about 5 million tons of CO2 eq by 2050. Regarding wind blades, 5-15 years lifetime extension could reduce EOL blade quantities by 13%. High costs and logistic issues prevent blades from being recycled in greater quantities. One insight from the case studies is the necessity to have mature secondary markets for reuse to be a viable option. Interestingly, PV reuse is limited by the willingness of PV owners to purchase used modules (on the demand side), while HDDs reuse is constrained by the lack of trust toward data-wiping (limiting the supply of used HDDs). The six limits of the CE concepts presented by Korhonen et al. (2018) are finally used to interpret the results. The HDD case study is an exemplary lock-in, where the first accepted practice (shredding) retains most of the market. The PV results illustrate the technical limitation to reuse, as the growing demand cannot be supplied entirely with used PV modules. The wind case study shows the relevance of clearly defining physical flows - what type of waste should wind blades be considered, how should they be transported and landfilled? - a crucial consideration that also applies to PV modules. Finally, the three case studies highlight the relevance of studying a technology's technical, economic, and market material efficiency potentials altogether and the potential benefit of coupling ABM to life cycle assessment.

agent-based modeling↗

A Case Study in NREL DERMS Asset Management Implementation

The National Renewable Energy Laboratory (NREL) and Smarter Grid Solutions (SGS) plan to present a case study on their implementation of SGS' Strata Grid Distributed Energy Resource Management System at NREL's Energy Systems Integration Facility (ESIF). The ESIF is one of the nation's premier energy systems integration laboratory facilities focused on development and deployment of clean energy technologies and resilient delivery systems. NREL looked for a DERMS to install at the ESIF that is capable of replicating real world scenarios to control and monitor distributed devices from small residential scale to the grid substation level. The DERMS system demonstrates the use cases of beneficial operation and coordination of modern grid devices, leverage DERs for improved grid planning and operation, demand-side management and customer engagement through bidirectional communication with utilities and energy market operations. The presentation will cover the delivery strategy of NREL and SGS, how the use cases help NREL's research, and NREL and SGS plan to expand the system and use cases.

ARIES↗

Teleoperation of Construction Robots Using Human Interaction: Case Study Examples: Preprint

The integration of advanced teleoperation methods in construction robotics has the potential to enhance productivity and safety in demanding environments. Among different methods, hand gestures have emerged as an intuitive approach, enabling seamless communication between human operators and robotic systems. This study demonstrates the use of hand gestures for controlling a model robotic excavator and a virtual robotic arm in construction applications. Two case study examples are presented. In the first case study, a series of hand gestures are performed to control a model robotic excavator's bucket and arm movements. The second case study focuses on using hand gestures to control a virtual robotic arm to perform a material handling task in a simulated environment. In both cases, the performed hand gestures are all successfully captured and interpreted by the gesture-based teleoperation method to conduct the corresponding tasks, which demonstrates the application of the gesture-based control method for various types of construction robots. Also, the limitations of the gesture-based teleoperation method (e.g., recognition delay, sensitivity to motion outliers) are discussed. Future work will focus on developing a digital twin system to support gesture-based teleoperation for a wider range of construction robots.

32 ENERGY CONSERVATION, CONSUMPTION, AND UTILIZATI↗

Evaluation of integrated daylighting and electric lighting design projects: Lessons learned from international case studies

This article presents and discusses the lessons learned from the monitoring of 25 integrated daylighting and electric lighting international case study projects. The case studies consist of real occupied buildings that have been monitored as part of the International Energy Agency (IEA) SHC Task 61/EBC Annex 77 Programme. The general goal of the case studies was to balance lighting energy use with occupants’ visual and non-visual requirements. This was achieved using innovative solutions for daylighting and electric lighting with advanced controls, but also implementing simple and out-of-the-box strategies. The findings suggest that energy demands for lighting can significantly be reduced by combining sensible daylight provision, efficient lighting sources, and advances in controls. Yet, the effective achievement of project goals requires adequate monitoring, fine-tuning, and verification. The findings also suggest that the adoption of “integrative” lighting – that is, lighting systems that address both visual and non-visual responses – is getting increasingly popular. Catering to non-visual requirements will likely drive further innovation in lighting technology. Currently, there is limited investment available for developing daylighting systems for integrative lighting, and the current related electric strategies often come at the risk of energy rebound effects. Overall, providing daylighting and understanding user requirements are fundamental steps towards achieving quality projects, with potential benefits beyond saving energy.

32 ENERGY CONSERVATION, CONSUMPTION, AND UTILIZATI↗

Microgrids, Infrastructure Resilience, and Advanced Controls Launchpad (MIRACL): Use Cases and Definitions

This resource document is designed to establish common use cases and definitions for U.S. Department of Energy national laboratories and partners participating in the Microgrids, Infrastructure Resilience, and Advanced Controls Launchpad (MIRACL) effort. Use case definitions can be used to classify and connect research-and-development efforts and ultimately to organize project goals. Establishing use cases will also allow for the definition of operational benchmarks for various elements of the MIRACL project and broader distributed wind program as well as enable future alignment with other distributed energy resource research projects.

17 WIND ENERGY↗

Economic Evaluation of a Coupled Nuclear Power Plant and Hydrogen Production Facility: A Case Study

This study optimized the design sizes and operation of a power-to-hydrogen-to-power integrated energy system to allow a baseload power plant to operate flexibly in the energy market. In collaboration with a utility industry partner, the system, consisting of an electrolyzer, compressors, storage tank, and fuel cell, was optimized under conditions specific to the proposed project at the site of a nuclear power plant. The Design Integration and Synthesis Platform to Advance Tightly Coupled Hybrid Energy Systems (DISPATCHES) maximized net present value by optimizing sizing of components and dispatch decisions. Revenues included sale of electricity, capacity payments typical of the New York Independent System Operator, and the section 45V hydrogen production tax credit of the Inflation Reduction Act of 2022 (the tax credit was assumed to be available to legacy plants in the absence of clear guidance at present). Under default assumptions which excluded many capital expenditures, the base case optimized solution had a net present value of $\$$1.4 million over a 30 year lifetime, with a 0.365 MW fuel cell operating nearly continuously and 85% of revenues supplied by the hydrogen production tax credit (which was counted as a revenue regardless of profit, thus assuming credit monetization or offset of taxes within the larger firm was possible in all years). Beyond the base case, a sensitivity study elucidated drivers of the economics as capacity payment rate and hydrogen production tax credit rate vary. Additional sensitivity studies also extended results to variation of other, previously fixed parameters, including the fuel cell capital cost, and to imposition of further constraints. Optimization was also repeated for the default assumptions but recognizing tax credits upon use of hydrogen rather than upon its production, producing no change in the optimal solution. Most notably, capacity payments above $\$$15/kW-month drove optimal fuel cells multiple times larger than those with the default estimated capacity payment of $\$$2.5/kW-month (approaching 11 vs. 0.365 MW), and these larger fuel cells operated rarely (capacity factors of ~0.03). Furthermore, when the hydrogen production tax credit was provided for only 10 years, under the specific assumptions of this study (e.g., neither site preparation costs nor electrolyzer capital cost counted), the optimal solution avoided economic loss by ceasing system operation after the 10th year. Viewed broadly, this study demonstrated the capabilities of DISPATCHES, which can be user-adapted to serve other industrial case studies.

08 HYDROGEN↗

Business Case Analysis for Artificial Intelligence-Large Language Model Technology Integration

AI-assisted processes are expected to enhance operational efficiency and improve decision-making, supporting the long-term economic viability of nuclear power plants. However, detailed business analyses of AI-generated cost savings are rarely performed. Given the recent industry interest in Large Language Model (LLM), the U.S. Department of Energy (DOE) Light Water Reactor Sustainability (LWRS) Program has conducted a comprehensive business case analysis of LLM Artificial Intelligence (AI) implementation in nuclear plant engineering workflows. The research employed three complementary business case approaches to evaluate impact of an LLM, using three representative engineering processes as use-cases: Boric Acid Corrosion (BAC) Evaluations, Maintenance Rule Evaluations, and 10 CFR 50.59 Screenings. Through detailed workload analyses and structured interviews, the study quantified significant efficiency improvements ranging from 11% to 59% across these processes. The research further considers how these efficiency gains could translate into tangible reliability improvements through enhanced engineering capacity. Analysis of historical plant trip data indicates that enabling engineers to focus on proactive reliability activities could provide substantial financial benefits through avoided outages, potentially generating greater value than the direct efficiency improvements alone. By documenting successful applications, implementation challenges, and strategic opportunities, this research provides nuclear utilities with a practical framework for evaluating the value of AI technology to support long-term operations through advanced digital technologies.

97 MATHEMATICS AND COMPUTING↗

Risk Ratio and Risk Difference Estimation in Case-cohort Studies

Background: In case-cohort studies with binary outcomes, ordinary logistic regression analyses have been widely used because of their computational simplicity. However, the resultant odds ratio estimates cannot be interpreted as relative risk measures unless the event rate is low. The risk ratio and risk difference are more favorable outcome measures that are directly interpreted as effect measures without the rare disease assumption. Methods: We provide pseudo-Poisson and pseudo-normal linear regression methods for estimating risk ratios and risk differences in analyses of case-cohort studies. These multivariate regression models are fitted by weighting the inverses of sampling probabilities. Also, the precisions of the risk ratio and risk difference estimators can be improved using auxiliary variable information, specifically by adapting the calibrated or estimated weights, which are readily measured on all samples from the whole cohort. Finally, we provide computational code in R (R Foundation for Statistical Computing, Vienna, Austria) that can easily perform these methods. Results: Through numerical analyses of artificially simulated data and the National Wilms Tumor Study data, accurate risk ratio and risk difference estimates were obtained using the pseudo-Poisson and pseudo-normal linear regression methods. Also, using the auxiliary variable information from the whole cohort, precisions of these estimators were markedly improved. Conclusion: The ordinary logistic regression analyses may provide uninterpretable effect measure estimates, and the risk ratio and risk difference estimation methods are effective alternative approaches for case-cohort studies. These methods are especially recommended under situations in which the event rate is not low.

60 APPLIED LIFE SCIENCES↗

Development of a State Machine Sequencer for the Keck Interferometer: Evolution, Development and Lessons Learned using a CASE Tool Approach

This paper presents a discussion of the evolution of a sequencer from a simple EPICS (Experimental Physics and Industrial Control System) based sequencer into a complex implementation designed utilizing UML (Unified Modeling Language) methodologies and a CASE (Computer Aided Software Engineering) tool approach. The main purpose of the sequencer (called the IF Sequencer) is to provide overall control of the Keck Interferometer to enable science operations be carried out by a single operator (and/or observer). The interferometer links the two 10m telescopes of the W. M. Keck Observatory at Mauna Kea, Hawaii. The IF Sequencer is a high-level, multi-threaded, Hare1 finite state machine, software program designed to orchestrate several lower-level hardware and software hard real time subsystems that must perform their work in a specific and sequential order. The sequencing need not be done in hard real-time. Each state machine thread commands either a high-speed real-time multiple mode embedded controller via CORB A, or slower controllers via EPICS Channel Access interfaces. The overall operation of the system is simplified by the automation. The UML is discussed and our use of it to implement the sequencer is presented. The decision to use the Rhapsody product as our CASE tool is explained and reflected upon. Most importantly, a section on lessons learned is presented and the difficulty of integrating CASE tool automatically generated C++ code into a large control system consisting of multiple infrastructures is presented.

interferometer↗

GeoRePORT Case Study Examples: Reporting Using the Geothermal Resource Portfolio Optimization and Reporting Technique (GeoRePORT)

The Geothermal Research Portfolio Optimization & Reporting Technique (GeoRePORT) was developed with funding from the United States Department of Energy's Geothermal Technologies Office (GTO) to assist in identifying and pursuing long-term investment strategies through the development of a resource reporting protocol. GeoRePORT provides scientists and non-scientists a comprehensive and quantitative means of reporting: (1) features intrinsic to geothermal sites (project grade) and, (2) maturity of the development (project readiness). Because geothermal feasibility is not determined by any single factor (e.g. temperature, permeability, permitting), a site's project grade and readiness are evaluated on twelve independent attributes pertaining to geological, technical, or socio-economic feasibility. In this paper, we present case studies illustrating how GeoRePORT can be used to compare geological, technical, and socio-economic attributes between geothermal systems. The consistent and objective assessment protocols used in GeoRePORT allow for comparison of project attributes across unique locations and geological settings. GeoRePORT case studies outline the geological, socio-economic and technical features of four individual geothermal sites: Coso, Chena, Dixie Valley, and White Sands Missile Range. The case studies presented herein illustrate the usefulness of GeoRePORT in evaluating project risk/return, identifying gaps in reported data, evaluating R&D impact, and gathering insights on successes/failures as applicable to future projects.

40 EE - Geothermal Technologies Office (EE-4G)↗