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At least 343 records · Page 19

A machine learning approach targeting parameter estimation for plant functional type coexistence modeling using ELM-FATES (v2.0)

Tropical forest dynamics play a crucial role in the global carbon, water, and energy cycles. However, realistically simulating the dynamics of competition and coexistence between different plant functional types (PFTs) in tropical forests remains a significant challenge. This study aims to improve the modeling of PFT coexistence in the Functionally Assembled Terrestrial Ecosystem Simulator (FATES), a vegetation demography model implemented in the Energy Exascale Earth System Model (E3SM) land model (ELM), ELM-FATES. Specifically, we explore (1) whether plant trait relationships established from field measurements can constrain ELM-FATES simulations and (2) whether machine learning (ML)-based surrogate models can emulate the complex ELM-FATES model and optimize parameter selections to improve PFT coexistence modeling. We conducted three ensembles of ELM-FATES experiments at a tropical forest site near Manaus, Brazil. By comparing the ensemble experiments without (Exp-CTR) and with (Exp-OBS) consideration of observed trait relationships, we found that accounting for these relationships slightly improves the simulations of water, energy, and carbon variables when compared to observations but degrades the simulation of PFT coexistence. Using ML-based surrogate models trained on Exp-CTR, we optimized the trait parameters in ELM-FATES and conducted another ensemble of experiments (Exp-ML) with these optimized parameters. The proportion of PFT coexistence experiments significantly increased from 21 % in Exp-CTR to 73 % in Exp-ML. After filtering the experiments that allow for PFT coexistence to agree with observations (within 15 % tolerance), 33 % of the Exp-ML experiments were retained, which is a significant improvement compared to the 1.4 % in Exp-CTR. Exp-ML also accurately reproduces the annual means and seasonal variations in water, energy, and carbon fluxes and the field inventory of aboveground biomass. This study represents a reproducible method that utilizes machine learning to identify parameter values that improve model fidelity against observations and PFT coexistence in vegetation demography models for diverse ecosystems. Our study also suggests the need for new mechanisms to enhance the robust simulation of coexisting plants in ELM-FATES and has significant implications for modeling the response and feedbacks of ecosystem dynamics to climate change.

54 ENVIRONMENTAL SCIENCES↗

A Semi-supervised Hybrid Machine Learning Framework for the Qualification of Resistance Spot Welds

• Industries requiring high structural integrity, including automotive, aerospace, and construction, place considerable significance on weld quality classification. • The inspection normally involves human expertise through predefined quality metrics that are subjective, error-prone, and time-intensive • The challenge to classification model development is the scarcity of labeled data and imbalanced distributions in the data that are labeled. • This work develops a new hybrid methodology that achieves clustering using KMeans++ together with supervised classification to overcome these challenges. • The ensemble-based classifiers were identified as optimal, with accuracy enhancements of up to 8% using the pseudo-labeled dataset. • The work provides practical insight into feature engineering and machine learning integration in industrial quality assurance applications.

Rogers, Jeremy K. [Savannah River National Laborat↗

Impurity gas detection for SNF canisters using probabilistic deep learning and acoustic sensing *

Abstract Monitoring impurity gases in spent nuclear fuel (SNF) canisters is a novel structural health monitoring approach for SNF in dry storage. The SNF canisters are sealed containers that do not facilitate visual access to the inside. Acoustic sensing can be deployed by taking advantage of the pathways unobstructed by internal hardware. Although the ultrasonic time-of-flight measurement can provide valuable information, it is limited in its ability to discern the concentration of only one impurity gas. As such, deep learning algorithms, particularly convolutional neural networks (CNNs), offer a promising solution. In this study, CNN-based probabilistic deep learning models were implemented to detect and quantify multiple impurity gases in helium. An experimental platform was established to simulate canister conditions, and ultrasonic test data were collected. The presence of argon and air in helium at concentrations ranging from 0% to 1.2% at increments of 0.05% was considered. The multi-layer perceptron, decision tree, and logistic regression classifiers achieved high accuracies when distinguishing pure helium from helium with impurities. CNN with dropout layers and CNN using maximum likelihood estimation showed a similar performance, indicating their ability to capture uncertainties. The ensemble CNN model exhibited improved predictions and the ability to balance individual gas concentration by integrating 1D- and 2D-CNN models. These findings contribute probabilistic deep learning solutions for impurity gas detection and analysis within SNF canisters, thus ensuring safe storage and management of SNFs.

47 OTHER INSTRUMENTATION↗

Active learning of ternary alloy structures and energies

Abstract Machine learning models with uncertainty quantification have recently emerged as attractive tools to accelerate the navigation of catalyst design spaces in a data-efficient manner. Here, we combine active learning with a dropout graph convolutional network (dGCN) as a surrogate model to explore the complex materials space of high-entropy alloys (HEAs). We train the dGCN on the formation energies of disordered binary alloy structures in the Pd-Pt-Sn ternary alloy system and improve predictions on ternary structures by performing reduced optimization of the formation free energy, the target property that determines HEA stability, over ensembles of ternary structures constructed based on two coordinate systems: (a) a physics-informed ternary composition space, and (b) data-driven coordinates discovered by the Diffusion Maps manifold learning scheme. Both reduced optimization techniques improve predictions of the formation free energy in the ternary alloy space with a significantly reduced number of DFT calculations compared to a high-fidelity model. The physics-based scheme converges to the target property in a manner akin to a depth-first strategy, whereas the data-driven scheme appears more akin to a breadth-first approach. Both sampling schemes, coupled with our acquisition function, successfully exploit a database of DFT-calculated binary alloy structures and energies, augmented with a relatively small number of ternary alloy calculations, to identify stable ternary HEA compositions and structures. This generalized framework can be extended to incorporate more complex bulk and surface structural motifs, and the results demonstrate that significant dimensionality reduction is possible in thermodynamic sampling problems when suitable active learning schemes are employed.

Chemistry↗

Deep Learning Image Segmentation for Atmospheric Rivers

Abstract The identification of atmospheric rivers (ARs) is crucial for weather and climate predictions as they are often associated with severe storm systems and extreme precipitation, which can cause large impacts on society. This study presents a deep learning model, termed ARDetect, for image segmentation of ARs using ERA5 data from 1960 to 2020 with labels obtained from the TempestExtremes tracking algorithm. ARDetect is a convolutional neural network (CNN)-based U-Net model, with its structure having been optimized using automatic hyperparameter tuning. Inputs to ARDetect were selected to be the integrated water vapor transport (IVT) and total column water (TCW) fields, as well as the AR mask from TempestExtremes from the previous time step to the one being considered. ARDetect achieved a mean intersection-over-union (mIoU) rate of 89.04% for ARs, indicating its high accuracy in identifying these weather patterns and a superior performance than most deep learning–based models for AR detection. In addition, ARDetect can be executed faster than the TempestExtremes method (seconds vs minutes) for the same period. This provides a significant benefit for online AR detection, especially for high-resolution global models. An ensemble of 10 models, each trained on the same dataset but having different starting weights, was used to further improve on the performance produced by ARDetect, thus demonstrating the importance of model diversity in improving performance. ARDetect provides an effective and fast deep learning–based model for researchers and weather forecasters to better detect and understand ARs, which have significant impacts on weather-related events such as floods and droughts.

Galea, Daniel↗

FLEET: Flexible Efficient Ensemble Training for Heterogeneous Deep Neural Networks

Parallel training of an ensemble of Deep Neural Networks (DNN) on a cluster of nodes is an effective approach to shorten the process of neural network architecture search and hyper-parameter tuning for a given learning task. Prior efforts have shown that data sharing, where the common preprocessing operation is shared across the DNN training pipelines, saves computational resources and improves pipeline efficiency. Data sharing strategy, however, performs poorly for a heterogeneous set of DNNs where each DNN has varying computational needs and thus different training rate and convergence speed. This paper proposes FLEET, a flexible ensemble DNN training framework for efficiently training a heterogeneous set of DNNs. We build FLEET via several technical innovations. We theoretically prove that an optimal resource allocation is NP-hard and propose a greedy algorithm to efficiently allocate resources for training each DNN with data sharing. We integrate data-parallel DNN training into ensemble training to mitigate the differences in training rates and introduce checkpointing into this context to address the issue of different convergence speeds. Experiments show that FLEET significantly improves the training efficiency of DNN ensembles without compromising the quality of the result.

Guan, Hui↗

Revisiting point defect thermodynamics in group IVB and VB transition metal carbides

We present a comprehensive re-examination of point defect thermodynamics in group IVB and VB transition metal carbides (TMCs) with the rocksalt structure using a combination of density functional theory (DFT) calculations and a statistical mechanical Wagner-Schottky model within the canonical ensemble. The most stable configurations of point defects were discovered using basin-hopping global optimization, driven by either a machine learning interatomic potential (MLIP) or DFT. A key finding is the identification of previously unreported dicarbon antisites—a C–C dimer occupying a metal site—as the structural (constitutional) defects on the carbon-rich side of stoichiometry in all group IVB and VB TMCs except TaC. Furthermore, dicarbon antisite-containing thermal defect complexes, such as quadruple and interbranch defects, can dominate in TMCs under specific stoichiometric and temperature conditions. In conclusion, by incorporating dicarbon antisites into the defect landscape, this work provides a revised understanding of the thermodynamics of point defects in TMCs.

Carbides↗

Towards Anomaly Detection at the CMS High-Level Trigger System

Traditional trigger strategies in CMS typically rely on model-dependent selections or rigid kinematic cuts, risking the omission of unexpected exotic signatures. To address this, we propose a novel anomaly detection (AD) algorithm for the High-Level Trigger (HLT), designed to serve as a complementary second layer of filtering to the Level-1 AXOL1TL AD algorithm. We employ a transformer-based foundation model trained on a diverse ensemble of Standard Model processes. By combining a joint contrastive and classification objective, and using particle kinematics as inputs, the model learns to map events to a physics-informed latent space where anomalous events are isolated from dominant backgrounds. Preliminary results show that this strategy enhances the signal-to-background ratio across a range of rare SM and BSM scenarios. Furthermore, this work constitutes foundational R&D for the potential implementation of an analogous AD algorithm in the Level-1 trigger system for Phase-2.

Cruz, Roy [U. Wisconsin, Madison (main)] (ORCID:00↗

Scaling carbon fluxes from eddy covariance sites to globe: synthesis and evaluation of the FLUXCOM approach

FLUXNET comprises globally distributed eddy-covariance-based estimates of carbon fluxes between the biosphere and the atmosphere. Since eddy covariance flux towers have a relatively small footprint and are distributed unevenly across the world, upscaling the observations is necessary to obtain global-scale estimates of biosphere–atmosphere exchange. Based on cross-consistency checks with atmospheric inversions, sun-induced fluorescence (SIF) and dynamic global vegetation models (DGVMs), here we provide a systematic assessment of the latest upscaling efforts for gross primary production (GPP) and net ecosystem exchange (NEE) of the FLUXCOM initiative, where different machine learning methods, forcing data sets and sets of predictor variables were employed. Spatial patterns of mean GPP are consistent across FLUXCOM and DGVM ensembles (R 2 >0.94 at 1° spatial resolution) while the majority of DGVMs show, for 70 % of the land surface, values outside the FLUXCOM range. Global mean GPP magnitudes for 2008–2010 from FLUXCOM members vary within 106 and 130 PgC yr -1 with the largest uncertainty in the tropics. Seasonal variations in independent SIF estimates agree better with FLUXCOM GPP (mean global pixel-wise R 2 ~0.75) than with GPP from DGVMs (mean global pixel-wise R 2 ~0.6). Seasonal variations in FLUXCOM NEE show good consistency with atmospheric inversion-based net land carbon fluxes, particularly for temperate and boreal regions (R 2 >0.92). Interannual variability of global NEE in FLUXCOM is underestimated compared to inversions and DGVMs. The FLUXCOM version which also uses meteorological inputs shows a strong co-variation in interannual patterns with inversions (R 2 =0.87 for 2001–2010). Mean regional NEE from FLUXCOM shows larger uptake than inversion and DGVM-based estimates, particularly in the tropics with discrepancies of up to several hundred grammes of carbon per square metre per year. These discrepancies can only partly be reconciled by carbon loss pathways that are implicit in inversions but not captured by the flux tower measurements such as carbon emissions from fires and water bodies. We hypothesize that a combination of systematic biases in the underlying eddy covariance data, in particular in tall tropical forests, and a lack of site history effects on NEE in FLUXCOM are likely responsible for the too strong tropical carbon sink estimated by FLUXCOM. Furthermore, as FLUXCOM does not account for CO 2 fertilization effects, carbon flux trends are not realistic. Overall, current FLUXCOM estimates of mean annual and seasonal cycles of GPP as well as seasonal NEE variations provide useful constraints of global carbon cycling, while interannual variability patterns from FLUXCOM are valuable but require cautious interpretation. Exploring the diversity of Earth observation data and of machine learning concepts along with improved quality and quantity of flux tower measurements will facilitate further improvements of the FLUXCOM approach overall.

54 ENVIRONMENTAL SCIENCES↗

The Arctic LDRD project: What happened?

This presentation overviews results from the 2019 LDRD Reserve project “Diagnosing near-future changes in Arctic sea ice and ocean conditions” and a follow-up 2020 CSES Rapid Response project “Multi- Model Risk Assessment for Arctic Navigability.” We analyzed Arctic simulations from 4 CMIP6 model ensembles (E3SM, CESM-CAM, CESM-WACCM and CESM-DPLE), comparing them with observations. We then applied a machine-learning approach using copulas to produce joint probabilities of adverse conditions along potential shipping transit routes through the Arctic. Here we compare and contrast the different models and examine the utility of the copula approach applied to these data sets.

58 GEOSCIENCES↗

HydraGNN_Predictive_GFM_2024 - Ensemble of predictive graph foundation models for ground state atomistic materials modeling

We provide the ensemble of fifteen pre-trained graph foundation models (GFMs) for atomistic materials modeling applications. Each one of the fifteen GFMs has been trained on five open-source datasets that (once aggregated) amount to over 154 million atomistic structures, which cover over two-thirds of the natural elements of the periodic table and that comprises a broad set of organic and inorganic compounds. This vast set of atomistic structures comprises ground state configurations that are dynamically stable (i.e., equilibrated structures with atomic forces approximately close to zero values) as well as dynamically unstable structures (i.e., non-equilibrium structures with non-negligible non-zero values of atomic forces). The ensemble of datasets aggregated does NOT include excited states. The datasets have been curated to remove atomistic structures with spectral norm of the force tensor above 100 eV/angstrom. Moreover, a linear term of the energy was computed for each dataset using a linear regression model that uses the chemical concentration of each natural element as regressor. The linear term predicted by the linear regression model has been subtracted from each original energy value to perform a re-alignment of the energy values across different electronic structures approximation theories performed to generate the diverse multi-source, multi-fidelity datasets. The folder "ADIOS_files" contains the set of pre-processed datasets in Adaptable I/O System (ADIOS) format (https://www.exascaleproject.org/research-project/adios/) that have been used for the development and training of GFMs in this work. The "ADIOS_files" directory contains 6 sub-directories named as follows: - ANI1x-v3.bp - MPTrj-v3.bp - OC2020-20M-v3.bp - OC2020-v3.bp - OC2022-v3.bp - qm7x-v3.bp Each sub-directory contains the pre-processed datasets converted in Adaptable I/O System (ADIOS) format (https://www.exascaleproject.org/research-project/adios/) that have been used to the development, training, and performance testing of the ensemble go predictive graph foundation models. Each GFM was developed using HydraGNN (https://github.com/ORNL/HydraGNN) as underlying graph neural network (GNN) architecture. The multi-task learning (MTL) capability of HydraGNN was used to simultaneously train the GFMs on labeled values for direct predictions of energy (a total system property of an atomistic structure that measures the chemical stability) and atomic forces (an atomic level property of an atomistic structure that measures the dynamical stability). The hyper parameters of the GFM have been tuned using scalable hyperparameter optimization (HPO) algorithms implemented in the software DeepHyper (https://github.com/deephyper/deephyper). The pre-training of each HPO trial was performed using distributed data parallelism (DDP) to scale the training across 128 compute nodes of the exascale OLCF supercomputer Frontier. Each HPO trial was trained only for 10 epochs and an early stopping was performed to avoid wasting significant computational resources on GNN architectures that were clearly underperforming. For each HPO trial, the 'omnistat' tool developed by (AMD Research - Advanced Micro Device) was used to measure the total energy consumption in kWh. The ensemble of GFMs was obtained by selecting the fifteen best performing HPO trials. Four models have been selected for their clear advantage in accuracy, and these are the GFMs with IDs 229, 156, 147, 260. Additional eleven models have been selected based on judicious balance between accuracy and energy consumption needed for training, and these are the GFMs with IDs 165, 78, 137, 1, 175, 171, 181, 67, 179, 167, 351. Each selected GFM of the ensemble was continued to cumulate a total of at most 30 epochs. In some cases, the total number of epochs actually performed was les than 30 due to two combined factors: (1) the size of the GFM (i.e., the number of model parameters to train) and (2) the total wall-clock time for which the computational resources could be allocated on OLCF-Frontier. The "Ensemble_of_models" directory contains 15 sub-directories named as follows: - gfm_0.229 - gfm_0.156 - gfm_0.147 - gfm_0.260 - gfm_0.165 - gfm_0.78 - gfm_0.137 - gfm_0.1 - gfm_0.175 - gfm_0.171 - gfm_0.181 - gfm_0.67 - gfm_0.179 - gfm_0.167 - gfm_0.351 Each one of these sub-directories refers to one of the fifteen HPO trials that have been selected to continue the pre-training with at most 30 epochs. With each sub-directory associated with a specific HPO trial, the following files can be found: - config.json: file for argument parsing to develop and train an HydraGNN architecture - gfm_0.ID_epoch_N.pk: file with model parameters for HPO ID trial after N epochs of training The ensemble of fifteen GFM architectures was used for (1) ensemble averaging to stabilize the predictions of energy and atomic forces after pre-training for post-processing analysis and (2) ensemble uncertainty quantification (UQ). The code used to develop, pre-train, and load the pre-trained models for post-processing analysis is available on the ORNL-GitHub at the following link: https://github.com/ORNL/HydraGNN/tree/Predictive_GFM_2024

36 MATERIALS SCIENCE↗

Real-time capable modeling of ICRF heating on NSTX and WEST via machine learning approaches

Abstract A real-time capable core Ion Cyclotron Range of Frequencies (ICRF) heating model on NSTX and WEST is developed. The model is based on two nonlinear regression algorithms, the random forest ensemble of decision trees and the multilayer perceptron neural network. The algorithms are trained on TORIC ICRF spectrum solver simulations of the expected flat-top operation scenarios in NSTX and WEST assuming Maxwellian plasmas. The surrogate models are shown to successfully capture the multi-species core ICRF power absorption predicted by the original model for the high harmonic fast wave and the ion cyclotron minority heating schemes while reducing the computational time by six orders of magnitude. Although these models can be expanded, the achieved regression scoring, computational efficiency and increased model robustness suggest these strategies can be implemented into integrated modeling frameworks for real-time control applications.

70 PLASMA PHYSICS AND FUSION TECHNOLOGY↗

Predicting battery capacity from impedance at varying temperature and state of charge using machine learning

Prediction of battery health from electrochemical impedance spectroscopy (EIS) data can enable rapid measurement of battery state in real-world applications without using additional sensors or time-consuming performance measurements. However, deconvoluting the effect of capacity, state of charge, and temperature on EIS response is complicated analytically. Here, various machine-learning models, such as linear, Gaussian process, random forest, and artificial neural network regression, are utilized to predict capacity from EIS using hundreds of capacity, direct current (DC) resistance, and EIS measurements recorded under varying conditions of health, temperature, and state of charge (SOC). Several feature extraction and selection methods from traditional electrochemical analysis and statistical modeling are explored using machine-learning pipelines. EIS data from just two frequencies can accurately predict capacity, and interrogation shows that the optimal set of frequencies is not usually intuitive. Best results are achieved with an ensemble model, which predicts battery capacity with a mean absolute error of 1.9% on data from unobserved cells.

25 ENERGY STORAGE↗

Forced Component Estimation Statistical Method Intercomparison Project (ForceSMIP)

Anthropogenic climate change is unfolding rapidly, yet its regional manifestation can be obscured by internal variability. A primary goal of climate science is to identify the externally forced climate response from among the noise of internal variability. Separating the forced response from internal variability can be addressed in climate models by using a large ensemble to average over different possible realizations of internal variability. However, with only one realization of the real world, it is a major challenge to isolate the forced response directly in observations. In the Forced Component Estimation Statistical Method Intercomparison Project (ForceSMIP), contributors used existing and newly developed statistical and machine learning methods to estimate the forced response over 1950–2022 within individual realizations of the climate system. Participants used neural networks, linear inverse models, fingerprinting methods, and low-frequency component analysis, among other approaches. These methods were trained using large ensembles from multiple climate models and then applied to observations. Here, we evaluate method performance within large ensembles and investigate the estimates of the forced response in observations. Our results show that many different types of methods are skillful for estimating the forced response in climate models, though the relative skill of individual methods varies depending on the variable and evaluation metric. Methods with comparable skill in models can give a wide range of estimates of the forced response pattern in observations, illustrating the epistemic uncertainty in forced response estimates. ForceSMIP gives new insights into the forced response in observations, its uncertainty, and methods for its estimation.

Climate attribution↗

Scaling whole-chip QAOA for higher-order ising spin glass models on heavy-hex graphs

Abstract We show that the quantum approximate optimization algorithm (QAOA) for higher-order, random coefficient, heavy-hex compatible spin glass Ising models has strong parameter concentration across problem sizes from 16 up to 127 qubits for p = 1 up to p = 5, which allows for computationally efficient parameter transfer of QAOA angles. Matrix product state (MPS) simulation is used to compute noise-free QAOA performance. Hardware-compatible short-depth QAOA circuits are executed on ensembles of 100 higher-order Ising models on noisy IBM quantum superconducting processors with 16, 27, and 127 qubits using QAOA angles learned from a single 16-qubit instance using the JuliQAOA tool. We show that the best quantum processors find lower energy solutions up to p = 2 or p = 3, and find mean energies that are about a factor of two off from the noise-free distribution. We show that p = 1 QAOA energy landscapes remain very similar as the problem size increases using NISQ hardware gridsearches with up to a 414 qubit processor.

71 CLASSICAL AND QUANTUM MECHANICS, GENERAL PHYSIC↗

Generalized representative structures for atomistic systems

A new method is presented to generate atomic structures that reproduce the essential characteristics of arbitrary material systems, phases, or ensembles. Previous methods allow one to reproduce the essential characteristics (e.g. the chemical disorder) of a large random alloy within a small crystal structure. The ability to generate small representations of random alloys, along with the restriction to crystal systems, results from using the fixed-lattice cluster correlations to describe structural characteristics. A more general description of the structural characteristics of atomic systems is obtained using complete sets of atomic environment descriptors. These are used within for generating representative atomic structures without restriction to fixed lattices. A general data-driven approach is provided here utilizing the atomic cluster expansion (ACE) basis. The N-body ACE descriptors are a complete set of atomic environment descriptors that span both chemical and spatial degrees of freedom and are used within for describing atomic structures. The generalized representative structure (GRS) method presented within generates small atomic structures that reproduce ACE descriptor distributions corresponding to arbitrary structural and chemical complexity. It is shown that systematically improvable representations of crystalline systems on fixed parent lattices, amorphous materials, liquids, and ensembles of atomic structures may be produced efficiently through optimization algorithms. With the GRS method, we highlight reduced representations of atomistic machine-learning training datasets that contain similar amounts of information and small 40–72 atom representations of liquid phases. The ability to use GRS methodology as a driver for informed novel structure generation is also demonstrated. The advantages over other data-driven methods and state-of-the-art methods restricted to high-symmetry systems are highlighted.

atomic cluster expansion↗

SARS-CoV2 Docking Dataset

Description: Small-molecule conformations and docking scores for 1.4 billion molecules docked against 6 protein targets from SARS-CoV2: MPro 5R84, MPro 6WQF, NSP15 6WLC, PLPro 7JIR, Spike 6M0J, and a hand-optimized model of the RNA-dependent RNA polymerase. Docking was carried out using the Autodock-GPU program performing 20 independent structure minimizations per dock - saving 3 results per molecule. Scores reported include the Autodock free energy estimate as well as RF3 and VS-DUD-E v2 machine-learned rescoring models. Protein structure files and maps in the format input to Autodock-GPU are included. Literature Ref: Supercomputer-Based Ensemble Docking Drug Discovery Pipeline with Application to Covid-19, J. Chem. Inf. Model. 2020, 60(12): 5832–5852.

36 MATERIALS SCIENCE↗

TULIP: An RNA-seq-based Primary Tumor Type Prediction Tool Using Convolutional Neural Networks

Background: With cancer as one of the leading causes of death worldwide, accurate primary tumor type prediction is critical in identifying genetic factors that can inhibit or slow tumor progression. There have been efforts to categorize primary tumor types with gene expression data using machine learning, and more recently with deep learning, in the last several years. Methods In this paper, we developed four 1-dimensional (1D) Convolutional Neural Network (CNN) models to classify RNA-seq count data as one of 17 highly represented primary tumor types or 32 primary tumor types regardless of imbalanced representation. Additionally, we adapted the models to take as input either all Ensembl genes (60,483) or protein coding genes only (19,758). Unlike previous work, we avoided selection bias by not filtering genes based on expression values. RNA-seq count data expressed as FPKM-UQ of 9,025 and 10,940 samples from The Cancer Genome Atlas (TCGA) were downloaded from the Genomic Data Commons (GDC) corresponding to 17 and 32 primary tumor types respectively for training and validating the models. Results: All 4 1D-CNN models had an overall accuracy of 94.7% to 97.6% on the test dataset. Further evaluation indicates that the models with protein coding genes only as features performed with better accuracy compared to the models with all Ensembl genes for both 17 and 32 primary tumor types. For all models, the accuracy by primary tumor type was above 80% for most primary tumor types. Conclusions: We packaged all 4 models as a Python-based deep learning classification tool called TULIP (TUmor CLassIfication Predictor) for performing quality control on primary tumor samples and characterizing cancer samples of unknown tumor type. Further optimization of the models is needed to improve the accuracy of certain primary tumor types.

Jones, Sara↗