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Search indexed NASA NTRS and DOE OSTI research on propulsion, heat transfer, battery materials and energy systems. Follow report and document links to the original sources.

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All sourcesNASA NTRSDOE OSTI
DOE OSTI2023

Automated classification of big X-ray diffraction data using deep learning models

Abstract In current in situ X-ray diffraction (XRD) techniques, data generation surpasses human analytical capabilities, potentially leading to the loss of insights. Automated techniques require human intervention, and lack the performance and adaptability required for material exploration. Given the critical need for high-throughput automated XRD pattern analysis, we present a generalized deep learning model to classify a diverse set of materials’ crystal systems and space groups. In our approach, we generate training data with a holistic representation of patterns that emerge from varying experimental conditions and crystal properties. We also employ an expedited learning technique to refine our model’s expertise to experimental conditions. In addition, we optimize model architecture to elicit classification based on Bragg’s Law and use evaluation data to interpret our model’s decision-making. We evaluate our models using experimental data, materials unseen in training, and altered cubic crystals, where we observe state-of-the-art performance and even greater advances in space group classification.

Chemistry↗
DOE OSTI2024

Leverage modern artificial intelligence (AI) enabled systems for waste reduction

Manufacturing industries continue to face challenges in reducing waste, as upstream strategies such as source reduction and product redesign require a deeper understanding of processes compared to conventional recycling methods. Recent advancements in artificial intelligence (AI) and machine learning (ML) have opened new opportunities to integrate modern computational techniques with traditional waste minimization strategies. This paper explores AI-enabled approaches for product redesign, source reduction, and recycling that can significantly reduce waste generation while improving efficiency and sustainability. AI-driven material substitution and lightweighting in product design enable discovery of novel materials with optimized properties, reducing waste without compromising performance. Reinforcement learning models optimize process parameters, raw material specifications, and machine sequencing to minimize production losses, while Industrial Internet of Things (IIoT) systems paired with AI analytics enhance real-time waste tracking, predictive maintenance, and quality inspection. Furthermore, AI-based demand forecasting and production planning reduce overproduction and excess inventory, as demonstrated in industrial applications. In recycling, ML-powered pattern recognition and robotic sorting technologies achieve higher accuracy in waste segregation, directly improving recycling efficiency. Complementary solutions such as smart bins and AI-enabled waste pickup scheduling optimize collection logistics, reducing both costs and emissions. Although implementation requires upfront investment in infrastructure and training, the long-term benefits include higher material efficiency, reduced waste, improved product quality, and stronger sustainability outcomes across the supply chain. By leveraging AI-enabled systems, manufacturers can align waste minimization efforts with circular economy principles, creating scalable solutions for both industry and society.

32 ENERGY CONSERVATION, CONSUMPTION, AND UTILIZATI↗
DOE OSTI2026

LANL Institutional Computing Report: Towards a digital twin of Arctic sea ice

Our goal is to develop a digital twin of Arctic sea ice that combines high-resolution predictive modeling with observational products. This effort will provide an optimized model for use in seasonal to sub-seasonal forecasting and a tool for policymakers to better anticipate, plan for, and mitigate the national security impacts of rapidly changing Arctic conditions. The modeling component uses the Discrete Element Model for Sea Ice (DEMSI), which uses discrete elements to represent the sea ice with an explicit representation of forces between them.

58 GEOSCIENCES↗
DOE OSTI2023

Fast model-based scenario optimization in NSTX-U enabled by analytic gradient computation

Model-based optimization offers a systematic approach to advanced scenario planning. In this case, the feedforward-control inputs (actuator trajectories) that are needed to attain and sustain a desired scenario are obtained by solving a nonlinear constrained optimization problem. This class of problems generally minimize a cost function that measures the difference between desired and actual plasma states. Several numerical optimization algorithms, such as sequential quadratic programming, require repeated calculation of the cost function gradients with respect to the input trajectories. Calculating these gradients numerically can be computationally intensive, increasing the time needed to solve the feedforward-control optimization problem. Here, this work introduces a method to analytically calculate these cost function gradients from the current profile evolution model. This can significantly reduce the computational time and allow for fast feedforward-control optimization, which would eventually enable optimal scenario planning between discharges. The performance of the feedforward optimizer with analytical gradients is compared to a traditional optimization algorithm based on numerical gradients for different NSTX-U scenarios. The plasma dynamics in the optimization algorithm are simulated using the Control Oriented Transport SIMulator (COTSIM). Results of the work show that analytical gradients consistently reduce the computation time while achieving trajectories that are comparable to those obtained by traditional optimization algorithms based on numerical gradients.

70 PLASMA PHYSICS AND FUSION TECHNOLOGY↗
DOE OSTI2024

Enhancing the cooling performance of thermocouples: a power-constrained topology optimization procedure

Abstract Heat pumping through thermoelectric devices has many advantages over traditional cooling. However, their current efficiency is a limiting factor in their implementation. In this paper, we approach the non-convex topology optimization of thermoelectrical elements for cooling applications through the method of moving asymptotes (MMA) to improve their cooling capabilities per watt usage. The optimization problem is defined for a given power budget, aiming for the minimum temperature with a known heat pumping need. The introduction of power as a constraint justifies the introduction of the voltage gradient across the thermocouple as a design variable to maintain the thermoelectrical device in its optimum power-to-heat extraction ratio. To better understand the convergence of this non-convex problem, we present a two-variable analytical thermoelectric optimization model. This example provides information on how to select the penalty parameters used to scale the three material coefficients involved in the problem to obtain lower objective values and better convergence using MMA. The analytical model shows the non-convexity of the problem and provides the recommendation to use penalization coefficients of the form $$p_k=p_{\sigma }>p_{\alpha }=1$$ p k = p σ > p α = 1 for the thermal conductivity, electrical conductivity, and Seebeck coefficients. We tested these penalization coefficients through optimizations of a model based on the 1MC10-031 commercial thermoelectric-cooler (TEC) using the finite element method (FEM). These penalization coefficients provided local minima without the need for volume constraints. With this procedure, we found designs that provided temperatures close to 10 degrees lower using 60% less semiconductor material volume compared to the initial design.

Gutiérrez, G. Reales↗
DOE OSTI2026

Sensitivity Analysis of Drivers Water Shortage in the Los Angeles Region During Drought

The code and detailed step-by-step instructions for generating the model output data, processing results, and analysis and plotting are provided at https://github.com/IMMM-SFA/Ferencz_et_al_2026_ER_Water. The PyArtes model is a python adaptation of the Artes model. PyArtes uses many of the same input data and optimization model architecture as Artes. Documentation for the PyArtes model is provided in the Supplement to the paper. The primary data product are simulated monthly water shortages for indoor and outdoor demand under a large ensemble of drought scenarios (>13,000). The droughts are hypothetical and are not based on historical time series data of supply sources - though historical data did help inform ranges explored for supply parameters. Demands are informed by recent 2017-2021 water supply data. Demands used for the model can be accessed at https://github.com/IMMM-SFA/Ferencz_et_al_2026_ER_Water. Simulations resolve demand for over 90 water providers in the study region. The results report 36 months of water shortage data for each indoor and outdoor demand node. The study also developed a multilayer perceptron (MLP) neural network trained on a subset of the simulated shortage ensemble to emulate worst annual water shortage for a given set of parameter multipliers -- provided the parameter values fall within the ranges sampled in the ensemble. Emulated water shortages for synthetic ensembles are in the MLP-generated shortages folder. The MLP model was used to generate larger ensembles to support Sobol analysis that would have been extremely computationally expensive to simulate. Datasets provided in this repository*: Simulated shortages. These results are used for the analysis for Figures 5, 8, and 9 in the paper, and also to train the MLP emulator. .zip file containing outputs for the 13,312 scenario ensemble. Separate .csv files for indoor and outdoor shortage for each scenario. Rows = demand ids (~100), Columns = months (36) Units = acre-feet/month of shortage (shortage = monthly demand - supply). 1 acft = 1233.48 m^3 .csv files of aggregated shortages derived from the 13,312 ensemble Rows = scenarios (13,312), Columns = demand ids (~100) Units = acre-feet/year (either worst annual shortage or total shortage over the 3-year drought) .csv file of the parameter multipliers scenarios for the ensemble .csv file of the parameter ranges and baseline values the multipliers were applied to MLP-generated shortages. These results are used for Figures 4, 6, and 7 in the paper. mwd higher folder: scenario ensembles, emulated worst year total shortages (acft), and Sobol results Emulated shortages. Rows = scenarios, columns = demand ids, units acft Sobol results. Rows = demand ids, columns Sobol (S1, ST, or 95% confidence interval) value for each parameter mwd lower folder: scenario ensembles, emulated worst year total shortages (acft), and Sobol results same organization as mwd higher MLP performance: performance metrics (R^2, RMSE, BIAS, MAPE) for the testing subset (20% or 2,662 scenarios) and simulated vs emulated worst year shortage (acre-feet/year) for every demand node, MWD wholesale regions, and the entire study region (LAC). Supporting data for figures. Figure plotting scripts in the associated GitHub repo. These files support analysis and visualization. Geospatial Data used for plotting simulated water shortages and Sobol results. Dictionary of full names for demand nodes in the model and estimates of water supply by source type informed by Artes input files and California Urban Water Management Planning data: https://water.ca.gov/Programs/Water-Use-And-Efficiency/Urban-Water-Use-Efficiency/Urban-Water-Management-Plans *Readme files provided for each folder.

drought↗
DOE OSTI2025

Refinery Integration Analysis: Pathways, Challenges, and Opportunities

Integrating biomass-derived intermediates into traditional petroleum refineries presents unique challenges and opportunities, requiring innovative analysis approaches that account for biofuel producers and refiners. Consequently, teams within the National Renewable Energy Laboratory (NREL) have developed a comprehensive refinery integration analysis framework that combines experimental data, detailed techno-economic analyses of bio-conversion pathways, and economic projections within refinery linear programming (LP) optimization models. These models enable the identification of promising bio-integration strategies tailored to specific refinery configurations, economic conditions, and production goals. They also capture upstream and downstream impacts, highlighting critical bottlenecks and research opportunities for increasing the share of biogenic feedstocks in traditional refining operations. Refinery models are also packaged into a broader bio-economy optimization framework which enables biofuel supply chain optimization with standalone biofuel production and refinery co-processing/repurposing options. This presentation discusses promising refinery bio-integration strategies along with key challenges and opportunities identified using NREL's refinery and bio-economy optimization frameworks.

09 BIOMASS FUELS↗
DOE OSTI2024

Integrating Human Factors in Dynamic Rideshare Assignment: Willingness-To-Pay for Delay

Dynamic ride-sharing (DRS) has been projected to be a key solution to lowering system-wide congestion. Despite recent developmental progress, demand studies for DRS suggest low levels of willingness for travelers to use such services. The disconnect between DRS system designs and user preferences limits the application impacts of DRS in the real world. Therefore, this paper aims to design a new DRS trip/vehicle assignment strategy by considering the user preferences of choices under different levels of service. In this study, an agent-based simulation approach is used to model a fleet of shared vehicles that allows DRS. An optimization model is developed to match riders to vehicles while accounting for traveler delay and delay acceptance. Travelers are also dynamically issued predictive discounts, catered to their expected willingness to pay, to incentivize them to accept longer trip delays. Results show that the proposed approach can improve system efficiency by increasing average vehicle occupancy by up to 1.0 persons/trip and DRS acceptance by up to 38.9% depending on fleet size. Additionally, congestion is eased through the decrease of empty vehicle miles traveled by up to 7.1%.

Paul, Joseph↗
DOE OSTI2025

Revenue-Maximizing Shared Parking and Electric Vehicle Charging Management in Multi-Unit Dwellings

In urban areas, searching for parking and electric vehicle (EV) charging can result in cruising, congestion, and environmental externalities. Recognizing the business opportunity of offering private parking and charging infrastructure access within multi-unit dwellings (MUDs) during daytime, we model a shared parking and EV charging management system. We maximize the revenue of MUD charging hubs in mixed land use, catering to public demand. Our approach accounts for the objectives of the two stakeholders involved: a demand model is fitted on the choices of EV charging users, and the supply model optimizes the allocation of parking and charging requests in an MUD parking lot. A binary integer linear programming model for the allocation of parking and charging spaces with a rolling horizon is integrated with matching rules that handle both parking and charging requests. In our numerical experiments in a neighborhood of Chicago, Illinois, we estimate the performance of the MUD parking and charging system with metrics that include revenue, number of matchings, and utilization rates. At any given time, MUDs with lower prices attract more charging requests, particularly those of longer duration, resulting in higher revenue and greater charging utilization. Dynamic pricing facilitates a more equitable distribution of requests; as MUD parking lots reach capacity and their fees increase, other MUDs become more competitive, attracting additional requests. Comparing our method against first-come-first-served and optimal-solution benchmarks, we demonstrate our model’s effectiveness in dynamically managing mixed parking and charging demand in MUD charging hubs.

electric vehicle, multi-unit dwelling, charging in↗
DOE OSTI2023

gLaSDI: Parametric physics-informed greedy latent space dynamics identification

A parametric adaptive physics-informed greedy Latent Space Dynamics Identification (gLaSDI) method is proposed for accurate, efficient, and robust data-driven reduced-order modeling of high-dimensional nonlinear dynamical systems. In the proposed gLaSDI framework, an autoencoder discovers intrinsic nonlinear latent representations of high-dimensional data, while dynamics identification (DI) models capture local latent-space dynamics. Here, an interactive training algorithm is adopted for the autoencoder and local DI models, which enables identification of simple latent-space dynamics and enhances accuracy and efficiency of data-driven reduced-order modeling. To maximize and accelerate the exploration of the parameter space for the optimal model performance, an adaptive greedy sampling algorithm integrated with a physics-informed residual-based error indicator and random-subset evaluation is introduced to search for the optimal training samples on the fly. Further, to exploit local latent-space dynamics captured by the local DI models for an improved modeling accuracy with a minimum number of local DI models in the parameter space, a -nearest neighbor convex interpolation scheme is employed. The effectiveness of the proposed framework is demonstrated by modeling various nonlinear dynamical problems, including Burgers equations, nonlinear heat conduction, and radial advection. The proposed adaptive greedy sampling outperforms the conventional predefined uniform sampling in terms of accuracy. Compared with the high-fidelity models, gLaSDI achieves 17 to 2,658× speed-up with 1 to 5% relative errors.

97 MATHEMATICS AND COMPUTING↗
DOE OSTI2022

Rolling Optimization of Transmission Network Recovery and Load Restoration Considering Hybrid Wind-Storage System and Cold Load Pickup

A common solution to deal with the stochasticity introduced by fast-ramping wind power integration is to equip wind farms (WFs) with energy storage systems (ESSs) to formulate hybrid WF-ESSs. In addition to leveling off wind power fluctuations during normal operations, a hybrid WF-ESS can be a flexible power source to accumulate the power system restoration. In this paper, we propose a rolling optimization model for transmission network recovery and load restoration considering the contributions of WF-ESSs. The proposed model is formulated as a mixed integer linear programming problem that simultaneously optimizes the amount and location of restorable load blocks as well as the restoration lines. The cold load pickup features of interrupted loads considering the outage duration are modeled in detail. A chance-constrained method is employed to deal with the uncertainty of wind power, and a rolling horizon-based framework is adopted to reduce the influence of forecast error. Case studies are conducted on both New England 39-bus system and part of a provincial power system in China. The results show that the load restoration process can be significantly accelerated by employing the proposed method and contributions of hybrid WF-ESSs to power system restoration are validated.

chance-constrained optimization↗
DOE OSTI2023

Dynamic Asset Allocation with Expected Shortfall via Quantum Annealing

Recent advances in quantum hardware offer new approaches to solve various optimization problems that can be computationally expensive when classical algorithms are employed. We propose a hybrid quantum-classical algorithm to solve a dynamic asset allocation problem where a target return and a target risk metric (expected shortfall) are specified. We propose an iterative algorithm that treats the target return as a constraint in a Markowitz portfolio optimization model, and dynamically adjusts the target return to satisfy the targeted expected shortfall. The Markowitz optimization is formulated as a Quadratic Unconstrained Binary Optimization (QUBO) problem. The use of the expected shortfall risk metric enables the modeling of extreme market events. We compare the results from D-Wave’s 2000Q and Advantage quantum annealers using real-world financial data. Both quantum annealers are able to generate portfolios with more than 80% of the return of the classical optimal solutions, while satisfying the expected shortfall. We observe that experiments on assets with higher correlations tend to perform better, which may help to design practical quantum applications in the near term.

97 MATHEMATICS AND COMPUTING↗
DOE OSTI2022

Introduction to Special Section: Machine Learning for Image-based Geologic Interpretation

Image-based geological interpretation has been a labor-intensive and time-consuming process because it requires well-trained geoscientists to identify geological structures, features, and textures from various types of images. These images include scanning electron microscopic images, optical microscopic images, optical photos, resistivity images, seismic volumes, remote-sensing images, etc. With fast-evolving machine learning (ML) technology and computing power in recent decades, computers can achieve nearhuman-level to super-human-level performance with scalable high efficiency in the computer vision field. These technological revolutions facilitated image-based geological interpretation in petroleum exploration and production. For example, a fault picking method applied to 3-D seismic volume data using deep learning can achieve superior performance in comparison to conventional auto-picking methods. In addition, under the new normal of low oil prices, the petroleum industry seeks cost-effective strategies such as automating traditionally labor-intensive processes. Nevertheless, the potential of applying ML to geological image interpretation is still facing a few key challenges including data scarcity, data distribution, poor data and/or label quality, data leakage, learning algorithms, model architecture, training methodologies, testing and evaluation metrics, hyper-parameters optimization, model drift, production deployment, and the like.

58 GEOSCIENCES↗
DOE OSTI2025

Benefits of Dual Fuel Heat Pump Grid-responsive Control: A Model-based Control Optimization Approach Using Building and Equipment Co-simulation

Conventional dual fuel heat pumps lack the intelligent control mechanisms to efficiently manage the switch between heat pump and furnace, leading to sub-optimal energy usage and, in some cases, increased operating costs. To resolve this gap, this study applies optimized control on hybrid heat pumps. With a focus on equipment control strategies, we compare the performances of five spacing heating equipment, including a conventional heat pump (HP), a conventional furnace, a dual fuel heat pump (DFHP) with conventional control, a dual fuel heat pump with smart control, and a novel seamlessly fuel flexible heat pump (SFFHP). While DFHP runs on either gas or electricity at any given moment, SFFHP concurrently consumes gas and electricity by continuously optimizing the proportion of each. In this research, a co-simulation framework is developed by integrating a building envelope model with a physics-based heat pump simulation model to analyze the benefits of grid-responsive controls of DFHP and SFFHP. The model-based optimal controls adjust the operation of the heat pump and gas furnace based on utility price signals and marginal grid emission to minimize utility cost and CO 2 emissions for multiple climate zones, different utility tariffs, and marginal grid emission scenarios. Case studies in Chicago and Los Angeles demonstrate that SFFHP and DFHP, with model-based optimal control, can deliver significant reductions in peak demand, utility cost, and CO 2 emission. In Chicago, SFFHP and smart controlled DFHP yield up to 64.7% and 61.7% utility cost reduction and up to 15.7% and 8.5% CO 2 emission reduction compared to the gas furnace. In Los Angeles, SFFHP and smart controlled DFHP achieve up to 43.6% and 40.1% utility cost reduction and up to 13.8% and 14.1% CO2 emission reduction compared to conventional heat pumps. In conclusion, by leveraging the fuel flexibility nature of dual fuel heat pumps, the model-based control optimization approach makes dual fuel heat pump an attractive option for demand response programs.

Control↗
DOE OSTI2025

Data-Enabled Fusion Technology (Final Scientific/Technical Report)

Advancing Scientific Understanding in Fusion Energy and Machine Learning This research represented a significant step forward in machine learning (ML) applications for fusion energy experiments. The project integrated advanced data-driven modeling, optimization techniques, and artificial intelligence to enhance the predictive capabilities and operational efficiency of plasma-based fusion systems. Specifically, tasks focused on ML-enhanced diagnostics, operator guidance tools, and predictive modeling helped improve the ability to interpret complex fusion experiments. Key areas of advancement included: 1) data-driven plasma control, i.e., using ML algorithms to optimize experimental conditions and classify plasma behaviors based on historical data; 2) spectroscopy and diagnostics, i.e., applying AI models to extract previously inaccessible insights from experimental spectroscopy data; and 3) configuration mapping and operator guidance, i.e., developing a predictive framework to assist scientists in identifying the most effective experimental parameters, reducing reliance on manual adjustments. By refining these ML-driven techniques, the project contributed to the broader scientific community’s understanding of plasma dynamics and fusion energy viability. Technical Effectiveness and Economic Feasibility The methods investigated demonstrated high technical effectiveness, as reflected in milestones assessing the predictive accuracy, performance, and optimization of fusion configurations. The development of an Operator Guidance Tool (OGT), for example, led to more precise control of plasma conditions by learning from experimental data and offering real-time adjustments. From an economic standpoint, DeFT provided: 1) the ability to reduce trial-and-error experimentation, which lowered operational costs; 2) improved data interpretation methods, which enabled more efficient resource allocation in large-scale fusion research projects; and 3) the automation of key diagnostic tasks, which reduced manual labor and human error, increasing overall efficiency. 13 The final assessments of predictive models and optimization strategies demonstrated that these approaches were scalable and could be implemented across multiple fusion energy research programs. Public Benefit and Societal Impact This project contributed directly to the broader goal of achieving sustainable and commercially viable fusion energy, which had profound implications for clean energy production and climate change mitigation. The integration of AI-driven solutions into fusion research: 1) sped up scientific discovery, accelerating progress towards achieving energy breakthroughs; 2) reduced the cost of experimentation, making fusion research more accessible; and 3) provided a framework for future AI applications in high-energy physics, benefiting adjacent fields like space exploration, material science, and renewable energy. Additionally, by fostering collaborations between AI researchers and plasma physicists, this project promoted interdisciplinary innovation that could lead to broader applications beyond fusion research.

22 GENERAL STUDIES OF NUCLEAR REACTORS↗
DOE OSTI2022

Bayesian Optimization Framework for Imperfect Data or Models

Conventional Bayesian optimization methods implicitly assume that the data and model being optimized are “perfect.” This assumption leads to inaccurate posterior probability distribution functions (PDFs) when applied to “imperfect” data or models. The new Bayesian optimization framework presented in this report provides a way to parameterize the effect of imperfections usually encountered in a prior PDF of generalized data or a model on the posterior PDF. The effects of imperfections are parameterized by a set of constraints imposed on the posterior expectation values of deviations between the data and the model and on their covariance matrix elements. A particular set of values for these constraints conveys an evaluator’s best estimate of the effect of imperfections on the corresponding posterior expectation values. When a prior PDF of generalized data is assumed to be normal, an expression for a posterior PDF satisfying an arbitrary set of constraints is derived analytically for linear models. An analogous iterative algorithm is given for nonlinear models. The corresponding posterior PDF should be used to estimate any posterior expectation values in the presence of imperfections parameterized by that set of constraints. A posterior PDF of a conventional Bayesian optimization method is recovered analytically when all evaluator-specified constraints are set to zero (i.e., in the absence of any imperfections). The analytical expressions derived in this report for normal PDFs and linear models were verified numerically by a Metropolis–Hastings Monte Carlo method. The methods presented herein could be applied to any kind of data or models, including differential cross-section data or integral benchmark experiments.

97 MATHEMATICS AND COMPUTING↗
DOE OSTI2020

Austin Sustainable and Holistic Integration of Energy Storage and Solar PV [Austin SHINES]. Final Report, Version 2

The Austin SHINES project and solution is a software management platform, for an electric grid with a high penetration of dispersed photovoltaic (PV) solar generation sites, which maintains the traditional power quality and reliability associated with grid service. This project developed and deployed the platform as a Distributed Energy Resource Management System (DERMS), engaging multiple advanced controls, to evaluate operation and optimization of a fleet of diverse DER assets, installed at several locations among Austin Energy’s customers and distribution system. The project also produced a methodology to create a replicable DERMS template, adaptable to other regions and market structures. Last, Austin SHINES aimed to demonstrate the solution’s methodology would enable the DER grid ecosystem to serve load at a technical cost (System Levelized Cost of Electricity, or System LCOE) of less than the U.S. Department of Energy SHINES program metric of $0.14/kWh, in a defined boundary, while enabling a high penetration of distributed PV. Research was categorized in 6 reports (Final Deliverables = FD) listed below, with titles and descriptions indicating which area of understanding was investigated: FD-1: System Levelized Cost of Electricity (System LCOE) Methodology The creation and use of the System LCOE to Serve Load metric that encompasses the holistic, system-level costs and benefits of all resources, and enables them to be evaluated based on their ability to support an efficient and low-cost integrated grid ecosystem. FD-2: Software Platform Product Description The creation of new DER control methodologies deployable within a utility-grade software platform that enable DER's to maximize their benefit within a grid, that is capable of serving load enabling a high penetration of distributed PV generation. FD-3: Optimal Design Methodology Optimal design methodologies for individual DER installations that enable utilities to determine the optimal combinations and sizing for individual DER sites. FD-4: Austin SHINES Ownership and Operation Models for DER System Performance A comparison of multiple DER aggregation and ownership methodologies including direct utility control, third-party aggregator, and autonomous. FD-5: Economic Modeling & Optimization A comparison of multiple DER technology mixes and configurations within the distribution system, providing insight into an optimal blend of technologies that best enable the distribution system to serve load at the lowest cost at high penetrations of solar. FD-6: Fielded Assets Deployed DER assets within the Austin Energy SHINES circuits. Austin SHINES provided an opening for state-of-the-art technology products to be deployed, providing a rich opportunity for improving how each of the products perform as stand-alone products, and in concert with other complementary products. The Austin SHINES project comprised of two key metrics for System LCOE: SystemLCOE_SHINES<$0.14/kWh Modeled ΔSystemLCOE_SHINES/ΔSystemLCOE_Base≥20% at same solar penetration The System LCOE calculation uses the costs of the utility-owned infrastructure as it exists today, the cost of the DERs that exist in the system today, and the cost of the purchase of energy from ERCOT wholesale markets over the course of the calendar year. All costs are on an annualized basis. The capital and operating costs are derived from the rate case, which produces a yearly cost. The net cost of energy and services imported to the system is integrated over the test year, as is the load served and solar penetration. The first metric was easily achieved by every scenario considered. The goal was set when the Department of Energy’s SHINES Funding Opportunity Announcement was written in 2015 and was a more difficult target at the time. Due mostly to rapidly declining costs for DERs and the significant decrease in the Electric Reliability Council of Texas (ERCOT) energy market prices, which results in lower net cost of energy purchases, the System LCOE is well below this target for all scenarios considered. A fleet of DERs can assume different mixtures, each of which serves the load at a different LCOE. The optimal mixture of DERs serves load at the smallest System LCOE. The second metric (hereinafter %delta metric) asks that the holistic DERMS controls reduce the incremental cost above the baseline of going to a high solar penetration future by at least 20% as compared to the case of a DER deployment with no sophisticated controls (autonomous). Many comparison sets were created throughout this project. Physical technology was installed for informing utility engineering and testing several types of operational control schemes, through the DERMS. The types of operational control which were compared for valuation of the System LCOE Metric were: Holistic control = using the full suite of the DERMS platform to decide and optimize how/why the systems operate depending on weather, market, and reliability signal input. Autonomous control = a local mode at the asset site, wherein a schedule operates the asset, with visibility into performance only No control = the baseline for comparing value against the other two types of control The types of ownership control included: Direct Utility control = the utility dispatches a signal to each asset Third-Party Aggregator = a third party aggregates a fleet of assets and the utility dispatches one signal for all Autonomous = a local mode is set for operation at the asset site, wherein a schedule operates the asset, with visibility into performance only The types of control methodologies deployable within a utility-grade software platform included: Utility Peak Load Reduction = Lower transmission cost obligation Day-Ahead Energy Arbitrage = Realize economic value through price differential Real-Time Price Dispatch = Realize economic value from real-time price spikes Voltage support = Reduce losses and increase solar generation Distribution Congestion Management = Increase local grid reliability Demand Charge Reduction = Lower customer bills and realize system benefit The fielded assets deployed for the project were: Utility Scale Kingsbery Energy Storage System: 1.5 MW / 3 MWh Li-Ion battery storage Mueller Energy Storage System: 1.75 MW / 3.2 MWh Li-Ion battery storage, 7 Energy Storage Units (250 kW each) La Loma Community Solar: 2.6 MW Commercial Scale Aggregated storage installations at 3 sites, with existing solar (300+ kW): One 18 kW / 36 kWh Li-Ion battery storage Two 72 kW / 144 kWh Li-Ion battery storage Residential Scale Aggregated storage installations: -Six stationary battery storage systems (10 kWh each) at homes with existing solar -One Electric Vehicle installed as Vehicle-to-Grid (V2G) Utility-Controlled Solar via Smart Inverters at 12 homes Autonomously-Controlled Smart Inverters at 6 homes Over the course of the project, Austin SHINES undertook installing more than 3 MW of distributed battery energy storage, smart PV inverters, a DER control platform, and other enabling technologies utilizing customer and utility locations and aggregation models. All of these resources were to be integrated and optimized at the utility level. DER assets and control methodologies were designed to achieve a credible pathway to a System LCOE for energy delivered to load of $0.14//kWh or less by 2020, while maximizing distributed solar generation and maintaining acceptable standards of power quality. The project also established a template for other regions to follow, to maximize the adoption of distributed solar PV in support of an economic and efficient grid. In total, the Austin SHINES project added value to the DER subject area in each layer of integration. From utility, to commercial to residential scales, the sheer hierarchy of communication and coordination was a significant accomplishment in addition to learnings from what these communications revealed was unique to each. Economically, the most effective method demonstrated was the criticality of planning phases. Contingencies and multiple projection scenarios helped guide the project to deploy optimal design as close as feasible, in real world conditions. The project and reports will serve public benefit by outlining specific areas of DER strategy and installation where many stakeholders and needs can be addressed with improved efficiency. Overall, communities and utilities should use the results to guide the increasing options available for powering the grid with DER, renewables, and carbon considerate energy.

14 SOLAR ENERGY↗