Engineering Papers⌕ Search

SEARCH · Engineering Papers

Results for “Causality”

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.

Quote a phrase for an exact phrase match. Source license links do not imply unrestricted reuse.

At least 343 records · Page 19

Notes on nonlocal projective measurements in relativistic systems

In quantum mechanical bipartite systems, naive extensions of von Neumann’s projective measurement to nonlocal variables can produce superluminal signals and thus violate causality. We analyze the projective quantum nondemolition state-verification in a two-spin system and see how the projection introduces nonlocality without entanglement. For the ideal measurements of “R-nonlocal” variables, we argue that causality violation can be resolved by introducing further restrictions on the post-measurement states, which makes the measurement “Q-nonlocal”. After we generalize these ideas to quantum mechanical harmonic oscillators, we look into the projective measurements of the particle number of a single mode or a wave-packet of a relativistic quantum field in Minkowski space. It turns out that the causality-violating terms in the expectation values of the local operators, generated either by the ideal measurement of the “R-nonlocal” variable or the quantum nondemolition verification of a Fock state, are all suppressed by the IR and UV cutoffs of the theory. Thus relativistic quantum field theories with such projective measurements are effectively causal.

71 CLASSICAL AND QUANTUM MECHANICS, GENERAL PHYSIC↗

Seeing the entanglement wedge

We study the problem of revealing the entanglement wedge using simple operations. We ask what operation a semiclassical observer can do to bring the entanglement wedge into causal contact with the boundary, via backreaction. In a generic perturbative class of states, we propose a unitary operation in the causal wedge whose backreaction brings all of the previously causally inaccessible ‘peninsula’ into causal contact with the boundary. This class of cases includes entanglement wedges associated to boundary sub-regions that are unions of disjoint spherical caps, and the protocol works to first order in the size of the peninsula. The unitary is closely related to the so-called Connes Cocycle flow, which is a unitary that is both well-defined in QFT and localised to a sub-region. Our construction requires a generalization of the work by Ceyhan & Faulkner to regions which are unions of disconnected spherical caps. We discuss this generalization in the appendix. We argue that this cocycle should be thought of as naturally generalizing the non-local coupling introduced in the work of Gao, Jafferis & Wall.

2D gravity↗

Modular flow in JT gravity and entanglement wedge reconstruction

It has been shown in recent works that JT gravity with matter with two boundaries has a type II ∞ algebra on each side. As the bulk spacetime between the two boundaries fluctuates in quantum nature, we can only define the entanglement wedge for each side in a pure algebraic sense. As we take the semiclassical limit, we will have a fixed long wormhole spacetime for a generic partially entangled thermal state (PETS), which is prepared by inserting heavy operators on the Euclidean path integral. Under this limit, with appropriate assumptions of the matter theory, geometric notions of the causal wedge and entanglement wedge emerge in this background. In particular, the causal wedge is manifestly nested in the entanglement wedge. Different PETS are orthogonal to each other, and thus the Hilbert space has a direct sum structure over sub-Hilbert spaces labeled by different Euclidean geometries. The full algebra for both sides is decomposed accordingly. From the algebra viewpoint, the causal wedge is dual to an emergent type III 1 subalgebra, which is generated by boundary light operators. To reconstruct the entanglement wedge, we consider the modular flow in a generic PETS for each boundary. We show that the modular flow acts locally and is the boost transformation around the global RT surface in the semiclassical limit. It follows that we can extend the causal wedge algebra to a larger type III 1 algebra corresponding to the entanglement wedge. Within each sub-Hilbert space, the original type II ∞ reduces to type III 1 .

2D Gravity↗

A general proof of the quantum null energy condition

We prove a conjectured lower bound on ⟨T_ _(x)⟩ $ψ$ in any state $ψ$ of a CFT on Minkowski space, dubbed the Quantum Null Energy Condition (QNEC). The bound is given by the second order shape deformation, in the null direction, of the geometric entanglement entropy of an entangling cut passing through $x$. Our proof involves a combination of the two independent methods that were used recently to prove the weaker Averaged Null Energy Condition (ANEC). In particular the properties of modular Hamiltonians under shape deformations for the state ψ play an important role, as do causality considerations. We study the two point function of a “probe” operator $\mathcal{O}$ in the state $ψ$ and use a lightcone limit to evaluate this correlator. Instead of causality in time we consider causality on modular time for the modular evolved probe operators, which we constrain using Tomita-Takesaki theory as well as certain generalizations pertaining to the theory of modular inclusions. The QNEC follows from very similar considerations to the derivation of the chaos bound and the causality sum rule. We use a kind of defect Operator Product Expansion to apply the replica trick to these modular flow computations, and the displacement operator plays an important role. We argue that the proof extends to more general relativistic QFT with an interacting UV fixed point and also prove a higher spin version of the QNEC. Our approach was inspired by the AdS/CFT proof of the QNEC which follows from properties of the Ryu-Takayanagi (RT) surface near the boundary of AdS, combined with the requirement of entanglement wedge nesting. Our methods were, as such, designed as a precise probe of the RT surface close to the boundary of a putative gravitational/stringy dual of any QFT with an interacting UV fixed point.

71 CLASSICAL AND QUANTUM MECHANICS, GENERAL PHYSIC↗

Predicting the ethanol potential of wheat straw using near-infrared spectroscopy and chemometrics: The challenge of inherently intercorrelated response functions

Here, the combination of NIR spectroscopy and chemometrics is a powerful correlation method for predicting the chemical constituents in biological matrices, such as the glucose and xylose content of straw. However, difficulties arise when it comes to predicting enzymatic glucose and xylose release potential, which is matrix dependent. Further complications are caused by xylose and glucose release potential being highly intercorrelated. This study emphasizes the importance of understanding the causal relationship between the model and the constituent of interest. It investigates the possibility of using near-infrared spectroscopy to evaluate the ethanol potential of wheat straw by analyzing more than 1000 samples from different wheat varieties and growth conditions. During the calibration model development, the prime emphasis was to investigate the correlation structure between the two major quality traits for saccharification of wheat straw: glucose and xylose release. The large sample set enabled a versatile and robust calibration model to be developed, showing that the prediction model for xylose release is based on a causal relationship with the NIR spectral data. In contrast, the prediction of glucose release was found to be highly dependent on the intercorrelation with xylose release. If this correlation is broken, the model performance breaks down. A simple method was devised for avoiding this breakdown and can be applied to any large dataset for investigating the causality or lack of causality of a prediction model.

09 BIOMASS FUELS↗

Socioeconomic and particulate air pollution correlates of heart disease risk

Highlights: • Heart disease risk varies with age, sex, smoking, income, education, and particulate (PM2.5) air pollution. • How these risk factors interact is unclear. • We examine correlates of self-reported heart disease risk in a large data set. • Income is negatively associated with both PM2.5 exposure and heart disease risk. • Income is an important confounder of air pollution-heart disease associations. • Nonparametric methods can quantify associations and suggest causal interpretations. How does risk of heart disease depend on age, sex, smoking, income, education, marital status, and outdoor concentrations of fine particulate matter (PM2.5)? We join data available from the Centers for Disease Control and Prevention (CDC) Behavioral Risk Factor Surveillance (BRFSS) System for years 2008–2012 to US Environmental Protection Agency (EPA) data on county-specific concentrations of fine particulate matter (PM2.5) to quantify associations among these variables and to explore possible causal interpretations. Low income is identified as a direct cause of increased heart disease risk in this data set. The effect depends on age and sex: it is most pronounced for men under age 70 and for women under age 80. Income is significantly associated with all of the other variables examined and confounds the association between PM2.5 and heart disease risk. This association is significant in regression models that exclude income, but not in regression models that include it, both in the data set as a whole and in the subset of observations with PM2.5 < 15 μg/m{sup 3}. Causal directed acyclic graph (DAG) models and non-parametric model ensemble partial dependence plots confirm that higher incomes reduce heart disease risk, consistent with previous observations of socioeconomic gradients in health risks. They support interpretation of this as a robust causal relation apparent in non-parametric analyses, and hence independent of any specific parametric modeling assumptions.

54 ENVIRONMENTAL SCIENCES↗

A caveat on building nonlocal models of cosmology

Nonlocal models of cosmology might derive from graviton loop corrections to the effective field equations from the epoch of primordial inflation. Although the Schwinger-Keldysh formalism would automatically produce causal and conserved effective field equations, the models so far proposed have been purely phenomenological. Two techniques have been employed to generate causal and conserved field equations: either varying an invariant nonlocal effective action and then enforcing causality by the ad hoc replacement of any advanced Green's function with its retarded counterpart, or else introducing causal nonlocality into a general ansatz for the field equations and then enforcing conservation. We point out here that the two techniques access very different classes of models, and that neither one of them may represent what would actually arise from fundamental theory.

79 ASTRONOMY AND ASTROPHYSICS↗

Robust analytic continuation of Green's functions via projection, pole estimation, and semidefinite relaxation

Green's functions of fermions are described by matrix-valued Herglotz-Nevanlinna functions. Since analytic continuation is fundamentally an ill-posed problem, the causal space described by the matrix-valued Herglotz-Nevanlinna structure can be instrumental in improving the accuracy and in enhancing the robustness with respect to noise. We demonstrate a three-pronged procedure for robust analytic continuation called PES: (1) projection of data to the causal space; (2) estimation of pole locations; and (3) semidefinite relaxation within the causal space. We compare the performance of PES with the recently developed Nevanlinna and Carathéodory continuation methods and find that PES is more robust in the presence of noise and does not require the usage of extended precision arithmetics. We also demonstrate that a causal projection improves the performance of the Nevanlinna and Carathéodory methods. The PES method is generalized to bosonic response functions, for which the Nevanlinna and Carathéodory continuation methods have not yet been developed. Furthermore, it is particularly useful for studying spectra with sharp features, as they occur in the study of molecules and band structures in solids.

71 CLASSICAL AND QUANTUM MECHANICS, GENERAL PHYSIC↗

Operation Optimization using Reinforcement Learning with Integrated Artificial Reasoning Framework

In large and complex systems, operational decision-making requires a systematic analysis with a vast amount of data from both process parameters and component status monitoring. In this paper, we present an integrated artificial reasoning approach for system state transition models that can help operational decision-making with explainable and traceable reasoning. The integrated artificial reasoning framework is a physics-based approach of defining the system structure in a Bayesian network, so we leveraged it in a Markov decision process (MDP) for finding optimal operational solutions. In our proposed framework, the MDP is implemented on a dynamic Bayesian network (DBN), which represents causalities in a system. The multilevel flow modeling was utilized in order to extract these causalities in a more efficient and objective manner. Since multilevel flow modeling is based on the fundamental energy and mass conservation laws, the target system is decomposed into several mass, energy, and information structures, which serve as the basis for a DBN. The MDP consists of the processes of finding a solution for the Bellman equation, which can be derived from the conditional probability equations of the constructed DBN. System operators can capture stochastic system dynamics as multiple subsystem state transitions based on their physical relations and uncertainties coming from the component degradation process or random failures. We analyzed a simplified example system to illustrate finding an optimal operational policy with this approach.

99 GENERAL AND MISCELLANEOUS↗

Recipes for a Successful Exit for Clean- and Hard-tech Startups

This study demonstrates the combinations of multiple causal factors that formulate a startup’s strategy to successfully “exit”, namely “recipes for a successful exit,” in the clean- and hard-tech sector. We identify seven key causal factors (i.e., causal conditions) that impact startup success, including commercial readiness, investor interactions, favorable industry, non-financial support, straightforward development path, experienced team, and visibility to investors. We also investigate the combinations of selective causal conditions that can provide further synergetic impact. We conduct the fuzzy-set qualitative comparative analysis (fsQCA) on seven US clean and hard-tech startups that exited between 2005 and 2016. The successful companies all demonstrate distinctive characteristics based on three general categories (1) robust ecosystem; (2) heavy-lifting team; or (3) external opportunity. Across these three categories, commercial readiness and strong investor interactions are necessary conditions for all exit cases. But there are important differences that drive success in each category, such as the interaction with non-financial support (in the robust ecosystem case), experienced team (in the heavy-lifting team case), and favorable industry (in the external opportunity case). Furthermore, our findings are meant to support entrepreneurs in reaching an exit by optimizing the given internal and external circumstances, and policymakers to build a robust ecosystem that can increase the success rate of the clean- and hardtech development.

99 GENERAL AND MISCELLANEOUS↗

Understanding How Reservoir Operations Influence Methane Emissions: A Conceptual Model

Because methane is a potent greenhouse gas (GHG), understanding controls on methane emissions from reservoirs is an important goal. Yet, reservoirs are complex ecosystems, and mechanisms by which reservoir operations influence methane emissions are poorly understood. In part, this is because emissions occur in ‘hot spots’ and ‘hot moments’. In this study, we address three research questions, ‘What are the causal pathways through which reservoir operations and resulting water level fluctuations (WLF) influence methane emissions?’; ‘How do influences from WLF differ for seasonal drawdown and diurnal hydropeaking operations?’; and ‘How does understanding causal pathways inform practical options for mitigation?’. A graphical conceptual model is presented that links WLF in reservoirs to methane emissions via four causal pathways: (1) water-column mixing (2) drying–rewetting cycles, (3) sediment delivery and redistribution, and (4) littoral vegetation. We review what is known about linkages for WLF at seasonal and diurnal resolutions generate research questions, and hypothesize strategies for moderating methane emissions by interrupting each causal pathway. Those related to flow management involve basin-scale management of tributary flows, seasonal timing of hydropeaking (pathway #1), timing and rates of drawdown (pathway #2). In addition, we describe how sediment (pathway #3) and vegetation management (pathway #4) could interrupt linkages between WLF and emissions. We demonstrate the strength of conceptual modeling as a tool for generating plausible hypotheses and suggesting mitigation strategies. Future research is needed to develop simpler models at appropriate timescales that can be validated and used to manage flow releases from reservoirs.

13 HYDRO ENERGY↗

Cardinality-Regularized Hawkes-Granger Model

We propose a new sparse Granger-causal learning framework for temporal event data. We focus on a specific class of point processes called the Hawkes process. We begin by pointing out that most of the existing sparse causal learning algorithms for the Hawkes process suffer from a singularity in maximum likelihood estimation. As a result, their sparse solutions can appear only as numerical artifacts. In this paper, we propose a mathematically well-defined sparse causal learning framework based on a cardinality-regularized Hawkes process, which remedies the pathological issues of existing approaches. We leverage the proposed algorithm for the task of instance-wise causal event analysis, where sparsity plays a critical role. We validate the proposed framework with two real use-cases, one from the power grid and the other from the cloud data center management domain.

Ide, Tsuyoshi↗

Quantum Gravity and Laser Interferometry: Towards Observable Predictions

Understanding quantum gravity remains one of the deepest challenges in modern physics, as direct experimental access to Planck-scale effects is beyond current technological reach. However, recent theoretical advances indicate that quantum fluctuations of spacetime may produce measurable effects in precision experiments, particularly near causal horizons. This opens new avenues for testing quantum gravity phenomena through high-precision measurement techniques. This dissertation develops multiple theoretical models to characterize these effects and examines their potential observational signatures in future gravitational wave interferometers. We begin by investigating the role of quantum fluctuations in near-horizon geometries through the lens of the AdS/CFT correspondence, which provides a powerful framework for understanding the interplay between quantum field theory and general relativity via holographic principles. By modeling stochastic energy-momentum sources in Rindler-AdS spacetime, we demonstrate that vacuum fluctuations transform the Einstein equations into a Langevin-type stochastic differential equation, leading to potentially observable fluctuations in photon traversal times. Extending this approach to Minkowski spacetime, we establish a correspondence between gravitational shockwaves and fluid dynamics, showing that near-horizon perturbations satisfy an equation analogous to that governing incompressible fluids, thereby reinforcing the membrane paradigm and hydrodynamic analogies in the context of the fluid/gravity duality. Furthermore, we construct the covariant phase space of a spherically symmetric causal diamond in Minkowski spacetime, identifying two fundamental charges that govern its evolution. These results provide a foundation for quantizing causal horizons and understanding their microscopic degrees of freedom. Building upon these theoretical developments, we further examine a related stochastic phenomenon: the gravitational wave memory background arising from the cumulative memory steps produced by supermassive black hole mergers. After reviewing the standard stochastic gravitational wave background, gravitational memory effects, and BMS symmetries, we model the stochastic memory background using a Brownian motion framework. We show that while the cumulative memory background initially appears above the sensitivity curve of space-based interferometers like LISA, the realistic subtraction of individually resolvable merger events substantially suppresses the residual signal, making its detection more challenging. This highlights the critical importance of source subtraction when evaluating the detectability of gravitational memory effects. By bridging fundamental theory with experimental prospects, this dissertation contributes to the ongoing effort to uncover the quantum nature of spacetime through precision measurement techniques. Whether through detecting quantum spacetime fluctuations, gravitational memory backgrounds, or probing the symmetries of causal horizons, the pursuit of observable quantum gravity phenomena continues to expand the frontiers of both theory and experiment.

Zhang, Yiwen [Caltech] (ORCID:0000000323559416)↗

Examination of Icing Induced Loss of Control and Its Mitigations

Factors external to the aircraft are often a significant causal factor in loss of control (LOC) accidents. In today s aviation world, very few accidents stem from a single cause and typically have a number of causal factors that culminate in a LOC accident. Very often the "trigger" that initiates an accident sequence is an external environment factor. In a recent NASA statistical analysis of LOC accidents, aircraft icing was shown to be the most common external environmental LOC causal factor for scheduled operations. When investigating LOC accident or incidents aircraft icing causal factors can be categorized into groups of 1) in-flight encounter with super-cooled liquid water clouds, 2) take-off with ice contamination, or 3) in-flight encounter with high concentrations of ice crystals. As with other flight hazards, icing induced LOC accidents can be prevented through avoidance, detection, and recovery mitigations. For icing hazards, avoidance can take the form of avoiding flight into icing conditions or avoiding the hazard of icing by making the aircraft tolerant to icing conditions. Icing detection mitigations can take the form of detecting icing conditions or detecting early performance degradation caused by icing. Recovery from icing induced LOC requires flight crew or automated systems capable of accounting for reduced aircraft performance and degraded control authority during the recovery maneuvers. In this report we review the icing induced LOC accident mitigations defined in a recent LOC study and for each mitigation describe a research topic required to enable or strengthen the mitigation. Many of these research topics are already included in ongoing or planned NASA icing research activities or are being addressed by members of the icing research community. These research activities are described and the status of the ongoing or planned research to address the technology needs is discussed

Reehorst, Andrew L.↗

The Analysis of the Contribution of Human Factors to the In-Flight Loss of Control Accidents

In-flight loss of control (LOC) is currently the leading cause of fatal accidents based on various commercial aircraft accident statistics. As the Next Generation Air Transportation System (NextGen) emerges, new contributing factors leading to LOC are anticipated. The NASA Aviation Safety Program (AvSP), along with other aviation agencies and communities are actively developing safety products to mitigate the LOC risk. This paper discusses the approach used to construct a generic integrated LOC accident framework (LOCAF) model based on a detailed review of LOC accidents over the past two decades. The LOCAF model is comprised of causal factors from the domain of human factors, aircraft system component failures, and atmospheric environment. The multiple interdependent causal factors are expressed in an Object-Oriented Bayesian belief network. In addition to predicting the likelihood of LOC accident occurrence, the system-level integrated LOCAF model is able to evaluate the impact of new safety technology products developed in AvSP. This provides valuable information to decision makers in strategizing NASA's aviation safety technology portfolio. The focus of this paper is on the analysis of human causal factors in the model, including the contributions from flight crew and maintenance workers. The Human Factors Analysis and Classification System (HFACS) taxonomy was used to develop human related causal factors. The preliminary results from the baseline LOCAF model are also presented.

Ancel, Ersin↗

Directed Acyclic Graph Guidance Documentation

For over a decade, the National Aeronautics and Space Administration (NASA) has tracked and configuration-managed approximately 30 risks to astronaut health and performance that occur before, during and after spaceflight. The Human System Risk Board (HSRB), a Health and Medical Technical Authority (HMTA) Board at NASA Johnson Space Center, is the entity responsible for identifying, assessing, analyzing, and monitoring the official understanding of the risk or risk posture for each of the Human System Risks and determining – based on evaluation of the available evidence – when that risk posture changes. The ultimate purpose of tracking and researching these risks is to find ways to reduce the risk that astronaut crews face during spaceflight. Historically, research, development and operations relevant to one risk have been conducted in isolation from other risks; these individual risk ‘silos’ enabled initial characterization of each specific risk. In spaceflight however, the impact of exposure to risk for astronaut crews is cumulative, and not independent of exposures or other risks, as all the adverse effects of the spaceflight environment begin at launch, continue throughout the duration of the mission and in some cases across the lifetime of the crews. In January of 2020, the HSRB at NASA embarked on a pilot project designed to assess the potential value of causal diagramming as a tool to facilitate understanding these cumulative and interdependent effects as applied within Human System Risk management. This process uses directed acyclic graphs as a means of formalizing a shared mental model of the causal flow of risk among Risk Board stakeholders. Initially this model was to improve communication among those stakeholders, but the potential value exceeds communication alone. Formalization of the process for creating these causal diagrams will enable the creation of a composite risk network that is vetted by members of the NASA community and configuration managed. The causal diagrams are formulated as directed acyclic graphs (DAGs) to function as a type of knowledge graph for reference for the board and its stakeholders. This document outlines the pilot process, the standardized approaches, and guidance for risk custodian teams when creating and updating DAGs as a part of the NASA Human System Risk Management process.

Risk↗

Systems and methods for modeling and analyzing networks

The systems and methods described herein utilize a probabilistic modeling framework for reverse engineering an ensemble of causal models, from data and then forward simulating the ensemble of models to analyze and predict the behavior of the network. In certain embodiments, the systems and methods described herein include data-driven techniques for developing causal models for biological networks. Causal network models include computational representations of the causal relationships between independent variables such as a compound of interest and dependent variables such as measured DNA alterations, changes in mRNA, protein, and metabolites to phenotypic readouts of efficacy and toxicity.

97 MATHEMATICS AND COMPUTING↗

Investigation and Recovery Following the Drum Event at INL's ARP-V Facility - 19517

Contractors working under the Department of Energy's (DoE's) Idaho Field Office have been exhuming and processing buried legacy waste from early weapons development and productions operations since 1984. Since operations began, nearly 400,000 drums have passed through this process. On April 11, 2018, repackaged drums were staged in an airlock (radiological buffer area) awaiting transfer to another facility for characterization. Late in the evening after operations had ended, four of the drums over pressurized causing an energetic displacement of their lids. A significant fraction of drum contents was ejected and dispersed throughout the airlock. The event activated the fire detection system in the facility initiating an emergency response from the site fire department, radiological protection, and operations. Initial intervention by fire department personnel was unsuccessful at quenching the reaction, so the responders egressed to a safe distance and monitored the situation. After determining the event had terminated and it was safe to enter, the facility was assessed revealing significant contamination in the airlock from the ejected waste. The area surrounding the facility was surveyed and it was determined that no contamination was released outside the facility. The Fluor Idaho, LLC (Fluor Idaho) Program Manager commissioned an investigation and recovery effort, which focused on three aspects: (1) technical investigation, (2) event and causal analysis, and (3) facility recovery. A team of highly qualified individuals from around the DOE Complex was assembled to support the technical investigation. The team included representatives from several Fluor Idaho, Fluor Corporate, Battelle Energy Alliance, LLC (INL), LANL, SRNL, South West Research Institute, DOE Carlsbad Field Office, and Defense Nuclear Facility Safety Board, and DOE-Headquarters. This team addressed the reaction mechanism of the event by guiding the sampling activities and coordinating analysis and testing by the analytical laboratories. Independent and experienced investigators were brought in to conduct a rigorous event and cause analysis. The Causal Analysis Team pursued direct, root, and contributing causes. Interviews were conducted, and documents were reviewed to develop an event and causal analysis. The Accelerated Retrieval Project V Operations team mobilized to decontaminate and recover the facility. Significant progress has been made in this effort, area and airborne contamination levels have been significantly reduced allowing limited activities to resume. In addition, this group supported sample collection efforts as directed by the Technical Investigation Team. This paper reviews key findings and milestones from the technical investigation, the event and causal analysis, and facility recovery operations. From these elements of the investigation, lessons learned are identified that would benefit other organizations involved with legacy waste management and disposition. Waste management is common to all sites in the DOE Complex and the events and recovery efforts described in this paper may provide beneficial insights to these operations. (authors)

12 MANAGEMENT OF RADIOACTIVE AND NON-RADIOACTIVE W↗