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All sources NASA NTRS DOE OSTI

DOE OSTI2021

Dynamic, risk informed decision support systems and methods

The present disclosure is directed to a decision support system or tool based on a Bayesian Network (BN) framework. The diagnostic support tool is created by using advanced Probabilistic Risk Assessment (PRA) method(s) to construct Bayesian Networks (BNs) that form a Bayesian Decision Support Process (BDSP) to provide science-based decision support for understanding and managing events in complex systems. In an embodiment, the PRA method(s) may include Discrete Dynamic Event Trees (DDETs) and simulations.

Groth, Katrina↗

DOE OSTI2024

Deep Learning and Likelihood Approaches for Viral Phylogeography Converge on the Same Answers Whether the Inference Model Is Right or Wrong

Abstract Analysis of phylogenetic trees has become an essential tool in epidemiology. Likelihood-based methods fit models to phylogenies to draw inferences about the phylodynamics and history of viral transmission. However, these methods are often computationally expensive, which limits the complexity and realism of phylodynamic models and makes them ill-suited for informing policy decisions in real-time during rapidly developing outbreaks. Likelihood-free methods using deep learning are pushing the boundaries of inference beyond these constraints. In this paper, we extend, compare, and contrast a recently developed deep learning method for likelihood-free inference from trees. We trained multiple deep neural networks using phylogenies from simulated outbreaks that spread among 5 locations and found they achieve close to the same levels of accuracy as Bayesian inference under the true simulation model. We compared robustness to model misspecification of a trained neural network to that of a Bayesian method. We found that both models had comparable performance, converging on similar biases. We also implemented a method of uncertainty quantification called conformalized quantile regression that we demonstrate has similar patterns of sensitivity to model misspecification as Bayesian highest posterior density (HPD) and greatly overlap with HPDs, but have lower precision (more conservative). Finally, we trained and tested a neural network against phylogeographic data from a recent study of the SARS-Cov-2 pandemic in Europe and obtained similar estimates of region-specific epidemiological parameters and the location of the common ancestor in Europe. Along with being as accurate and robust as likelihood-based methods, our trained neural networks are on average over 3 orders of magnitude faster after training. Our results support the notion that neural networks can be trained with simulated data to accurately mimic the good and bad statistical properties of the likelihood functions of generative phylogenetic models.

Evolutionary Biology↗

DOE OSTI2026

Planning for cooler communities: Vacant lots as components of heat resilience in Mesa, Arizona

Vacant lots are often perceived as contributing to negative socioeconomic and environmental impacts on surrounding communities. However, they also offer opportunities for strategic interventions that promote heat resilience. This study uses a decision-scale congruence analytic approach to examine the correlation between extreme heat and community resilience in the context of vacant lots in the city of Mesa, Arizona. By identifying and analyzing over 1,200 vacant lots, we assessed spatial patterns of Community Resilience Estimates (CRE) for Heat and Body Heat Storage (BHS) to understand their correlation at the unit of analysis of vacant lots, where key decisions are made concerning land use. The results reveal a nonrandom spatial distribution of CRE for Heat and BHS across Mesa’s vacant lots. Vacant lots are disproportionately concentrated in neighborhoods with lower resilience, exacerbating heat exposure. Communities with limited access to cooling infrastructure, tree canopy, and other resources experience lowered heat resilience. A positive correlation between CRE for Heat and BHS shows that areas with higher heat exposure tend to have lower community resilience, reinforcing the need for cooling interventions. This study highlights the potential for converting vacant lots into heat-resilient, community-serving spaces. Using our findings, decision makers can identify priority areas and leverage vacant lots to mitigate heat impacts and foster community resilience.

community resilience↗

DOE OSTI2025

Dynamic probabilistic risk assessment and game theory for cyber security risk analysis in nuclear power plants

Nuclear Power Plants and energy systems have become more prone to cyber-attacks with their digitalization and the increased use of smart equipment. Hence, it is important to quantify the risk associated with cyber-attacks in such systems. Dynamic Probabilistic Risk Assessment which involves studying the evolution of a system due to random events and operator and attacker actions during a cyber-attack by employing a physics-based model of the system is a suitable framework to quantify cybersecurity risk in nuclear power plants. In addition to the plant dynamics, it is also important to model the strategies of the attackers and plant operators for an effective cybersecurity risk assessment. Game theory provides a set of necessary tools to model such strategic interactions. In this research, a framework that integrates dynamic probabilistic risk assessment with game theory for cybersecurity risk analysis in nuclear power plants is presented. The mathematical formulation is derived based on the theory of continuous event trees. We propose a game theory based action model, that utilizes physics-based rewards to define the strategies of attackers and operators at every decision epoch. As a case study, the risk associated with cyber-attacks on the digital components in the secondary side of a pressurized water reactor is studied using a reduced order model. A set of attacker actions and a set of operator actions are defined for the system. The operator and attacker interactions were modelled using simultaneous game, their action policies were computed using the concept of mixed strategy Nash equilibrium and the evolution of the system was studied.

97 MATHEMATICS AND COMPUTING↗

DOE OSTI2026

California Trees Seasonally Use Augmented Water Sources: Water Isotope Tracking in a Groundwater‐Dependent Ecosystem

Sustainable groundwater management must account for the needs of groundwater dependent ecosystems. To understand the relationship of ecosystems and seasonal water use, we studied the stable isotope composition (δ 18 O and δ 2 H) of water in streamside trees in a semi-arid streamside environment (Livermore, California, USA). We sampled seven trees at two sites every other month from April 2024 through April 2025 for tree xylem stable water isotope signatures. These data were compared to potential source waters: precipitation, imported surface water, soil water and regional groundwaters. Large daily precipitation events were found to be isotopically similar to regional groundwater and were thus treated as one water source. A Bayesian mixing model using stable water isotopes was used to determine the ratios of these three potential source waters (small daily precipitation events, groundwater/large daily precipitation events and imported water) present in tree xylem water. On average, tree water sources include 32% imported water (SD = 9%), 35% small daily precipitation events (SD = 10%) and 33% groundwater (SD = 3%), with significant seasonal variation (t summer-winter = 30.8, p < 0.01), particularly drawing more imported water (more than 55%) in the summer. While small daily precipitation events contribute only 10% of the total precipitation in our dataset, it represents a third of water used by trees. In addition, while these ecosystems are designated as groundwater dependent ecosystems, the trees use approximately one third imported water and even more during dry summer months. This approach provides water managers with a practical tool for quantifying ecosystem water needs, supporting data-driven decisions and regulatory compliance. While California's Sustainable Groundwater Management Act emphasizes supporting groundwater dependent ecosystems, it allows flexibility in demonstrating benefits. In conclusion, our methodology provides a way to document that management actions (such as managed aquifer recharge with imported water) deliver measurable co-benefits to GDEs.

Geosciences↗

DOE OSTI2021

Prioritizing Countries by Concern Regarding Access to Weapons of Mass Destruction Materials

This article presents a global prioritization methodology that evaluates the relative risks of non-state actor acquisition of materials that could be used in chemical, biological, radiological, nuclear and high explosive Weapons of Mass Destruction (WMD) from the country’s relevant infrastructure. Prioritization is based on three domains: 1. Assessing relative scale of materials in each country, 2. The country’s corresponding security posture, and 3. The presence of threat actors. The output is a list of countries prioritized from greatest risk to least. Rather than providing an overall 1 to N ranking, however, the results are placed into tiers based upon their natural groupings within the three domains. The countries in the highest tiers are flagged as potential US national security concern; those scoring in the middle and at the bottom are flagged as posing lower US national security concern. A systematic approach assesses each country by leveraging many disciplines, such as risk and decision analysis, as well as expert judgement. A quantitative value model based on Multi-Attribute Value Theory (MAVT) organizes the objectives scoring criteria into a value tree using lessons learned from previous studies, published literature, and expert judgement. The article presents the prioritization categories and corresponding value model scoring criteria to include measurement type, weight, range, and value preference. Country names and data are notional in order to share the details on the underlying methodology and model without identification of actual security risks. A deliberative process addresses factors external to the model and scrutinizes inputs, methodology, model, and results.

98 NUCLEAR DISARMAMENT, SAFEGUARDS, AND PHYSICAL P↗

DOE OSTI2022

Stream Temperature Predictions for River Basin Management in the Pacific Northwest and Mid-Atlantic Regions Using Machine Learning

Stream temperature (Ts) is an important water quality parameter that affects ecosystem health and human water use for beneficial purposes. Accurate Ts predictions at different spatial and temporal scales can inform water management decisions that account for the effects of changing climate and extreme events. In particular, widespread predictions of Ts in unmonitored stream reaches can enable decision makers to be responsive to changes caused by unforeseen disturbances. In this study, we demonstrate the use of classical machine learning (ML) models, support vector regression and gradient boosted trees (XGBoost), for monthly Ts predictions in 78 pristine and human-impacted catchments of the Mid-Atlantic and Pacific Northwest hydrologic regions spanning different geologies, climate, and land use. The ML models were trained using long-term monitoring data from 1980–2020 for three scenarios: (1) temporal predictions at a single site, (2) temporal predictions for multiple sites within a region, and (3) spatiotemporal predictions in unmonitored basins (PUB). In the first two scenarios, the ML models predicted Ts with median root mean squared errors (RMSE) of 0.69–0.84 °C and 0.92–1.02 °C across different model types for the temporal predictions at single and multiple sites respectively. For the PUB scenario, we used a bootstrap aggregation approach using models trained with different subsets of data, for which an ensemble XGBoost implementation outperformed all other modeling configurations (median RMSE 0.62 °C).The ML models improved median monthly Ts estimates compared to baseline statistical multi-linear regression models by 15–48% depending on the site and scenario. Air temperature was found to be the primary driver of monthly Ts for all sites, with secondary influence of month of the year (seasonality) and solar radiation, while discharge was a significant predictor at only 10 sites. The predictive performance of the ML models was robust to configuration changes in model setup and inputs, but was influenced by the distance to the nearest dam with RMSE <1 °C at sites situated greater than 16 and 44 km from a dam for the temporal single site and regional scenarios, and over 1.4 km from a dam for the PUB scenario. Our results show that classical ML models with solely meteorological inputs can be used for spatial and temporal predictions of monthly Ts in pristine and managed basins with reasonable (<1 °C) accuracy for most locations.

54 ENVIRONMENTAL SCIENCES↗

DOE OSTI2023

Application of multi-criteria decision analysis techniques and decision support framework for informing plant select agent designation and decision making

The United States Department of Agriculture (USDA) Division of Agricultural Select Agents and Toxins (DASAT) established a list of biological agents (Select Agents List) that threaten crops of economic importance to the United States and regulates the procedures governing containment, incident response, and the security of entities working with them. Every 2 years the USDA DASAT reviews their select agent list, utilizing assessments by subject matter experts (SMEs) to rank the agents. We explored the applicability of multi-criteria decision analysis (MCDA) techniques and a decision support framework (DSF) to support the USDA DASAT biennial review process. The evaluation includes both current and non-select agents to provide a robust assessment. We initially conducted a literature review of 16 pathogens against 9 criteria for assessing plant health and bioterrorism risk and documented the findings to support this analysis. Technical review of published data and associated scoring recommendations by pathogen-specific SMEs was found to be critical for ensuring accuracy. Scoring criteria were adopted to ensure consistency. The MCDA supported the expectation that select agents would rank high on the relative risk scale when considering the agricultural consequences of a bioterrorism attack; however, application of analytical thresholds as a basis for designating select agents led to some exceptions to current designations. A second analytical approach used agent-specific data to designate key criteria in a DSF logic tree format to identify pathogens of low concern that can be ruled out for further consideration as select agents. Both the MCDA and DSF approaches arrived at similar conclusions, suggesting the value of employing the two analytical approaches to add robustness for decision making.

59 BASIC BIOLOGICAL SCIENCES↗

DOE OSTI2024

Seeing the forest for the trees: implementing dynamic representation of forest management and forest carbon in a long-term global multisector model

Abstract Studies have found that understanding forest management is critical in understanding the interaction between the carbon cycle and the integrated human-Earth system. This makes effectively representing forest management decisions such as planting and harvesting important. Here, we implement a novel dynamic forest harvest model in a global state of the art multi-sector dynamics model, namely the Global Change Analysis Model (GCAM). We implement an approach that explicitly tracks forest age and generates rotation ages for forest harvest that are responsive to changes in wood prices, changes in forest age and regional preferences for forest rotation. Furthermore, the forest sector in GCAM competes for investment with other land use types in the future years based on expected profit. Our baseline scenario results indicate that with the new forest harvest model, the current global wood product demand in GCAM can be met with minimal loss of old growth forest through the age-based harvest decisions. We find that economic pressure for deforestation and consequent loss of forest carbon is a bigger driver of global forest change than wood harvests, especially in developing regions. Under alternative scenarios where an economic value is placed on carbon across the terrestrial and energy systems, while there is an increase in forest plantations, there can be corresponding decreases in forest cover in some regions as forest land competes with land for bio-energy crops. When the carbon in forests is assigned a price, we find that the average rotation age for wood harvests can be reduced across regions to harvest forests in a more carbon efficient manner.

54 ENVIRONMENTAL SCIENCES↗

DOE OSTI2023

Automatic Rural Road Centerline Detection and Extraction from Aerial Images for a Forest Fire Decision Support System

To effectively manage the terrestrial firefighting fleet in a forest fire scenario, namely, to optimize its displacement in the field, it is crucial to have a well-structured and accurate mapping of rural roads. The landscape’s complexity, mainly due to severe shadows cast by the wild vegetation and trees, makes it challenging to extract rural roads based on processing aerial or satellite images, leading to heterogeneous results. This article proposes a method to improve the automatic detection of rural roads and the extraction of their centerlines from aerial images. This method has two main stages: (i) the use of a deep learning model (DeepLabV3+) for predicting rural road segments; (ii) an optimization strategy to improve the connections between predicted rural road segments, followed by a morphological approach to extract the rural road centerlines using thinning algorithms, such as those proposed by Zhang–Suen and Guo–Hall. After completing these two stages, the proposed method automatically detected and extracted rural road centerlines from complex rural environments. This is useful for developing real-time mapping applications.

Lourenço, Miguel (ORCID:0000000157673394)↗

DOE OSTI2025

Success Path Method: Introduction to the Success Path Method Software Tool©

As part of its commitment to advancing safety and reliability assessment methodologies, Argonne National Laboratory pioneered the use of an evaluation method called the Success Path Method (SPM) to improve risk management for offshore oil and gas operations. The development of the SPM at Argonne has been driven by the need to improve existing risk assessment methodologies by focusing on the steps necessary for success rather than failure modes alone. This is particularly important for industrial environments like offshore facilities that perform multiple functions under a continuously evolving set of operational conditions – such as water depth and temperature, currents, and weather conditions. In these dynamic environments, the traditional Probabilistic Risk Assessment (PRA) approach is far too complex as it focuses on what can go wrong – which comprises an infinite failure space that must be fully explored and understood. By shifting the focus to a finite space of success paths, the SPM enables operators and decision makers to prioritize a manageable number of steps that must go right to ensure success. Building on its five decades of experience in safety assessments for the nuclear industry, Argonne made major adaptations to existing risk assessment methods utilizing features similar to fault trees that are traditionally used in PRA to map all pathways in which the system can malfunction. In contrast, SPM identifies the components and processes that must function correctly to achieve specific outcomes – such as preventing the uncontrolled release of hydrocarbons during drilling operations. The SPM framework integrates equipment, procedures, software, processes, and human actions to ensure that physical barriers meet critical safety functions in dynamic operational conditions. This approach helps identify failure modes and improve operational risk management by narrowing the focus to key success elements, which in turn reduces uncertainty and helps users understand, manage, and respond to failures.

97 MATHEMATICS AND COMPUTING↗

DOE OSTI2023

Convergence and divergence in science and practice of urban and rural forest restoration

Forest restoration has never been higher on policymakers' agendas. Complex and multi-dimensional arrangements across the urban–rural continuum challenge restorationists and require integrative approaches to strengthen environmental protection and increase restoration outcomes. It remains unclear if urban and rural forest restoration are moving towards or away from each other in practice and research, and whether comparing research outcomes can help stakeholders to gain a clearer understanding of the interconnectedness between the two fields. This study aims to identify the challenges and opportunities for enhancing forest restoration in both urban and rural systems by reviewing the scientific evidence, engaging with key stakeholders and using an urban–rural forest restoration framework. Using the Society for Ecological Restoration's International Principles as discussion topics, we highlight aspects of convergence and divergence between the two fields to broaden our understanding of forest restoration and promote integrative management approaches to address future forest conditions. Our findings reveal that urban and rural forest restoration have convergent and divergent aspects. We emphasise the importance of tailoring goals and objectives to specific contexts and the need to design different institutions and incentives based on the social and ecological needs and goals of stakeholders in different regions. Here we discuss the challenges of achieving high levels of ecological restoration and the need to go beyond traditional ecology to plan, implement, monitor, and adaptively manage restored forests. We suggest that rivers and watersheds could serve as a common ground linking rural and urban landscapes and that forest restoration could interact with other environmental protection measures. We note the potential for expanding the creative vision associated with increasing tree-containing environments in cities to generate more diverse and resilient forest restoration outcomes in rural settings. This study underscores the value of integrative management approaches in addressing future forest conditions across the urban–rural continuum. Our framework provides valuable insights for policymakers, researchers, and decision-makers to advance the field of forest restoration and address the challenges of restoration across the urban–rural continuum. The rural–urban interface serves as a convergence point for forest restoration, and both urban and rural fields can benefit from each other's expertise.

54 ENVIRONMENTAL SCIENCES↗

DOE OSTI2025

EVI-EnSitePy (Electric Vehicle Infrastructure – Energy Estimation and Site Optimization Tool in Python) [EVI-X Modeling Suite] [SWR-25-07]

EVI-EnSitePy is a comprehensive agent-based tool designed for the analysis and design of high-power charging sites, encompassing a wide array of site agents including Electric Vehicles (EVs), chargers, energy storage units (ESS), renewable energy resources (DER), and loads. This versatile tool offers diverse functionalities and a modular modeling approach, allowing detailed configuration of agents based on power ratings, port numbers, energy capacities, demand requirements, charger interfaces, and flexibility to customize the tool for project specific goals. By simulating agent interactions and employing various metrics, EVI-EnSitePy enables the assessment of site performance, exploration of energy management systems (EMS), and implementation of innovative EV charging policies. Utilizing EV charge schedules and arrival states, the tool performs thorough charging site simulations, with outputs consisting of agent and site-level power profiles and statistical metrics. Employing a tree graph structure, EVI-EnSitePy supports nested site structures and power distribution modeling. The tool's ability to generate charging schedules deterministically or via stochastic analysis further enhances its versatility. Through its features and capabilities, EVI-EnSitePy offers a powerful platform for informed decision-making in the realm of high-power charging site design and operation.

Jackson, Derek [National Renewable Energy Laborato↗

DOE OSTI2021

Modeling freight mode choice using machine learning classifiers: a comparative study using Commodity Flow Survey (CFS) data

This study explores the usefulness of machine learning classifiers for modeling freight mode choice. We investigate eight commonly used machine learning classifiers, namely Naïve Bayes, Support Vector Machine, Artificial Neural Network, K-Nearest Neighbors, Classification and Regression Tree, Random Forest, Boosting and Bagging, along with the classical Multinomial Logit model. US 2012 Commodity Flow Survey data are used as the primary data source; we augment it with spatial attributes from secondary data sources. The performance of the classifiers is compared based on prediction accuracy results. The current research also examines the role of sample size and training-testing data split ratios on the predictive ability of the various approaches. In addition, the importance of variables is estimated to determine how the variables influence freight mode choice. The results show that the tree-based ensemble classifiers perform the best. Specifically, Random Forest produces the most accurate predictions, closely followed by Boosting and Bagging. With regard to variable importance, shipment characteristics, such as shipment distance, industry classification of the shipper and shipment size, are the most significant factors for freight mode choice decisions.

42 ENGINEERING↗

DOE OSTI2025

Growth–Mortality Coordination Differs Among Xerophytic Versus Mesophytic Tree Species During Severe Drought

ABSTRACT Forest composition is changing, yet the consequences for terrestrial carbon cycling are unclear. In the eastern United States, water‐demanding “mesophytic” tree species are replacing “xerophytic” oaks (Quercusspp.) and hickories (Caryaspp.), raising concerns that forest productivity will become increasingly sensitive to more frequent and severe drought conditions predicted for the region. However, we have a limited understanding of the extent to which the mortality risk of xerophytes versus mesophytes is coordinated with their growth sensitivity during drought. Here, we evaluated growth and mortality dynamics for 20 abundant eastern United States tree species following a severe drought in the summer of 2012. We synthesized data from ~4500 forest inventory plots and used an approach that quantified relative drought responses between co‐located trees to minimize impacts from environmental heterogeneity. We found that mesophytes were just as likely to perish as co‐occurring xerophytes but were more sensitive to drought in terms of diminished growth. These findings suggest that xerophytic decline is likely to lead to reduced carbon uptake during drought and that management efforts to conserve oak‐hickory stands will be decisive to sustain the carbon mitigation potential of these forests. However, we also found that growth‐mortality relationships differed between functional groups. Among xerophytes, growth and survival during drought were decoupled. Among mesophytes, there was a high degree of coordination, where species that experienced greater mortality also experienced greater growth reductions. Therefore, mesophytes with high growth sensitivity to water deficits are likely to be the most vulnerable to drought‐driven die‐off events moving forward.

Biodiversity & Conservation↗

DOE OSTI2023

On the Language of Reliability: A System Engineer Perspective

In its classical definition, risk is defined by three elements: what can go wrong, what are its consequences, and how likely is it to occur? While this definition makes sense in a regulatory-based framework where for the current fleet of operating light water reactors (LWRs), the risks associated with nuclear power plants typically are characterized in terms of core damage and large early release frequency (LERF), this approach does not provide a useful snapshot of the health of the plant from a broader perspective. This is due to the very narrow context in which the term “risk” typically is defined as nuclear safety aspects that have the potential to impact public health. In this paper, we take the viewpoint of nuclear safety that is reflective of the current fleet of operating LWRs for which core damage frequency and LERF are appropriate metrics. For other advanced reactor designs, other more applicable technology neutral metrics of reactor safety metrics would be specified. A possible alternate path would start by redefining the word risk with a broader meaning that better reflects the needs of a system health and asset management decision-making process. Rather than asking how likely an event could occur (in probabilistic terms), we can ask how far this event is from occurring. Our approach starts by defining and quantifying component and system health in terms of a “distance” between its actual and limiting conditions, i.e., determination of the margin that exists between the current state/condition and the state where the component/system is no longer capable of achieving its intended function. A margin is a measure that is more reflective of the current state or performance of a component, and therefore more closely tied to decisions that are made on an ongoing basis. Further, we will show how, given the data available from plant equipment reliability and monitoring (e.g., pump vibration data) and prognostic (e.g., component remaining useful life estimation) data, a margin can be described and determined for all types of maintenance approaches (e.g., corrective or predictive maintenance). We show how classical reliability models (e.g., fault trees) can be used to quantify the system margin provided component margin values. In the approach described in this paper, the propagation of margin values through classical reliability models are not performed using classical probabilistic calculations applied to sets (as performed in a typical plant probabilistic risk assessment). Instead, we show how it is possible to propagate margin values through Boolean logic gates (i.e., AND and OR operators) through distance-based operations.

97 MATHEMATICS AND COMPUTING↗

DOE OSTI2022

Predicting resistive wall mode stability in NSTX through balanced random forests and counterfactual explanations

Abstract Recent progress in the disruption event characterization and forecasting framework has shown that machine learning guided by physics theory can be easily implemented as a supporting tool for fast computations of ideal stability properties of spherical tokamak plasmas. In order to extend that idea, a customized random forest (RF) classifier that takes into account imbalances in the training data is hereby employed to predict resistive wall mode (RWM) stability for a set of high beta discharges from the NSTX spherical tokamak. More specifically, with this approach each tree in the forest is trained on samples that are balanced via a user-defined over/under-sampler. The proposed approach outperforms classical cost-sensitive methods for the problem at hand, in particular when used in conjunction with a random under-sampler, while also resulting in a threefold reduction in the training time. In order to further understand the model’s decisions, a diverse set of counterfactual explanations based on determinantal point processes (DPP) is generated and evaluated. Via the use of DPP, the underlying RF model infers that the presence of hypothetical magnetohydrodynamic activity would have prevented the RWM from concurrently going unstable, which is a counterfactual that is indeed expected by prior physics knowledge. Given that this result emerges from the data-driven RF classifier and the use of counterfactuals without hand-crafted embedding of prior physics intuition, it motivates the usage of counterfactuals to simulate real-time control by generating the β N levels that would have kept the RWM stable for a set of unstable discharges.

70 PLASMA PHYSICS AND FUSION TECHNOLOGY↗

DOE OSTI2020

Winners are not keepers: Characterizing household engagement, gains, and energy patterns in demand response using machine learning in the United States

Demand-response programs can help utilities manage rapidly evolving electric grids, but these programs are subject to the complexities of human behavior. This paper explores a novel method for uncovering heterogeneity in households. In this work, we use a machine-learning method known as a Conditional Inference Tree (c-tree) algorithm to categorize households based on their energy behavior characteristics collected via smart meters, and explore how this translates through into heterogeneity in their real-world response to a DR program. Using data from randomized controlled trial, we generate estimates of the changes in energy use caused by the program within each household group. Our results show that the c-tree approach differentiates households by their energy-use characteristics in a way that increases the spread in enrollment rates and critical peak reduction among household groups, compared with the spreads achieved via several conventional segmentation methods. Thus, the c-tree analysis enables the most tailored targeting of major potential energy savers and could provide the greatest increase in cost-effectiveness of household recruitment into DR programs. Our results also offer fresh insights into the relationships between household energy behavior characteristics – such as peak energy use and “structural winningness” (the ability to save money under a DR program without changing energy-use behaviors) – and household decisions about enrolling in DR programs and reducing energy use. Our research also demonstrates the potential of smart meter data, combined with machine learning and econometric methods, to provide significant value to utilities, program implementers, researchers, and other stakeholders.

32 ENERGY CONSERVATION, CONSUMPTION, AND UTILIZATI↗