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DOE OSTI2024

Funding a Just Transition Away from Coal in the U.S. Considering Avoided Damage from Air Pollution

Abstract Coal is declining in the U.S. as part of the clean energy transition, resulting in remarkable air pollution benefits for the American public and significant costs for the industry. Using the AP3 integrated assessment model, we estimate that fewer emissions of sulfur dioxide, nitrogen oxides, and primary fine particulate matter driven by coal’s decline led to $300 billion in benefits from 2014 to 2019. Conversely, we find that job losses driven by less coal plant and mining activity resulted in $7.84 billion in foregone wages over the same timeframe. While the benefits were greatly distributed (mostly throughout the East), costs were highly concentrated in coal communities. Transferring a small fraction of the benefits to workers could cover these costs while maintaining societal net benefits. Forecasting coal fleet damages from 2020 to 2035, we find that buying out or replacing these plants would result in $589 billion in air quality benefits, which considerably outweigh the costs. The return on investment increases when policy targets the most damaging capacity, and net benefits are maximized when removing just facilities where marginal benefits exceed marginal costs. Evaluating competitive reverse auction policy designs akin to Germany’s Coal Exit Act, we find that adjusting bids based on monetary damages rather than based only on carbon dioxide emissions – the German design – provides a welfare advantage. Our benefit–cost analyses clearly support policies that drive a swift and just transition away from coal, thereby clearing the air while supporting communities needing assistance.

Dennin, Luke R. (ORCID:0000000205405520)↗

DOE OSTI2021

Geospatial assessment of the economic opportunity for reforestation in Maryland, USA

Afforestation and reforestation have the potential to provide effective climate mitigation through forest carbon sequestration. Strategic reforestation activities, which account for both carbon sequestration potential (CSP) and economic opportunity, can provide attractive options for policymakers who must manage competing social and environmental goals. In particular, forest carbon pricing can incentivize reforestation on private land, but this may require landholders to forego other profits. Here, we utilize an ambitious geospatial approach to quantify economic opportunities for reforestation in the state of Maryland (USA) based on high-resolution remoting sensing, ecosystem modeling, and economic analysis. Our results identify spatially-explicit areas of economic opportunity where the potential revenue from forest carbon outcompetes the expected profit of existing cropland at the hectare scale. Specifically, we find that under a baseline economic scenario of 20 dollars per ton of carbon (5% rental rate) and decadal average crop profitability, a transition to forest on agricultural land would be more profitable than 23.2% of cropland in Maryland under a 20-year land-use commitment. Accounting for variations in carbon and crop pricing, 5.5% to 55.4% of cropland would be immediately outcompeted by expected forest carbon revenue, with the potential for an additional 0.5% to 10.6% of outcompeted cropland within 20 years. Under the baseline economic scenario, an annual allocation of $5.8 million towards a carbon rental program could protect 6.93 Tg C (2.2% of the state’s total CSP) on reforested croplands. This moderate yearly cost is equal to 9.7% of Maryland’s average annual auction proceeds from participation in the Regional Greenhouse Gas Initiative (between 2014-2018), and 19.3% of the average annual subsidy payments for corn, soy, and wheat allocated over the same period. This methodological approach may be useful for state governments, not-for-profit organizations, or regional climate initiatives interested in identifying strategic areas for reforestation.

54 ENVIRONMENTAL SCIENCES↗

DOE OSTI2026

Distribution System Congestion Management - A Survey of Reliable Integration for Aggregated Resources and Microgrids

Rising penetration of consumer-owned Distribution Grid Resources (DGRs), increasingly managed by third party aggregators and enrolled in grid services and wholesale market programs, can create localized congestion in distribution networks. Managing these constraints is challenging due to a persistent coordination and information gap: utilities are accountable for reliability and have network topology and state visibility, while aggregators control the DGR capability needed to relieve congestion. This survey synthesizes congestion management solutions for distribution systems with high DGR penetration, covering both market-based mechanisms (distribution level markets, locational pricing, flexibility auctions) and non-market-based solutions (network reconfiguration, direct DGR control, demand response, curtailment, etc.). The literature is organized across three decision horizons: long term planning, operational planning, and real-time operation. Special attention is devoted to emerging distribution system operator architectures and coordination frameworks spanning transmission system operators, aggregators, and microgrids. Drawing on recent case studies and implementations, we distill best practices, identify key technical and economic barriers, and outline research directions. The evidence points to a shift toward integrated congestion management that combines market signals with technical controls, enabled by improved monitoring, forecasting, and closed loop control capabilities.

Active Distribution Networks (ADN)↗

DOE OSTI2023

Rethinking the Price Formation Problem–Part 2: Rewarding Flexibility and Managing Price Risk

In this study, part 1 of this two-part paper describes the impact that uncertainty has on the design and analysis of price formation policies in the non-convex auctions conducted by U.S. wholesale electricity market operators. Using first a toy model and then a large-scale test system, Part 2 demonstrates the difference in prices under the idealized benchmark of ex ante convex hull pricing defined in Part 1 versus existing methods, in particular documenting the potential for suppression of volatility and therefore under-compensation of flexibility by existing methods. The examples highlight that inefficient spot price formation can induce inefficient forward commitments of generators, necessitating out-of-market intervention to restore a reliable and efficient operating plan.Given the potential side effects of existing policies for investment and operation, we suggest two elements in a reoriented approach to the price formation problem: first ensuring that prices exhibit full-strength volatility, and second ensuring that risk-averse market participants have sufficient ability to manage this volatility.

24 POWER TRANSMISSION AND DISTRIBUTION↗

DOE OSTI2022

Allocation Mechanisms in Rationed Markets

Economic theory has come to play an important role in power system operations through the design of wholesale markets that are central to their operation. Furthermore, transactive energy places economic theory as a cornerstone in its operational concept as it seeks to integrate the technical needs of the power system with the preferences of its participants. Traditionally the mechanism employed is the continuous double-auction but de-pending on the circumstances the power system find itself in, this mechanism may or may not be the most appropriate, i.e. a one-size fits all market institution cannot be recommended without regard for the features of the underlying trading environment. This paper seeks to explain the economic rationale that guides the choice of a market institution and takes recourse to a theoretical demonstration in the context of a rationed power system scenario where demand exceeds generation (due to any number of events such as outages, microgrid operation, etc) and electrical energy must be rationed to better understand which types of mechanisms are most appropriate.

transactive energy, power system economics, econom↗

DOE OSTI2025

Fair Concurrent Training of Multiple Models in Federated Learning

Federated learning (FL) enables collaborative learning across multiple clients. In most FL work, all clients train a single learning task. However, the recent proliferation of FL applications may increasingly require multiple FL tasks to be trained simultaneously, sharing clients’ computing resources, which we call Multiple-Model Federated Learning (MMFL). Current MMFL algorithms use naïve average-based client-task allocation schemes that often lead to unfair performance when FL tasks have heterogeneous difficulty levels, as the more difficult tasks may need more client participation to train effectively. Furthermore, in the MMFL setting, we face a further challenge that some clients may prefer training specific tasks to others, and may not even be willing to train other tasks, e.g., due to high computational costs, which may exacerbate unfairness in training outcomes across tasks. We address both challenges by firstly designing FedFairMMFL, a difficulty-aware algorithm that dynamically allocates clients to tasks in each training round, based on the tasks’ current performance levels. We provide guarantees on the resulting task fairness and FedFairMMFL’s convergence rate. We then propose novel auction designs that incentivizes clients to train multiple tasks, so as to fairly distribute clients’ training efforts across the tasks, and extend our convergence guarantees to this setting. Here, we finally evaluate our algorithm with multiple sets of learning tasks on real world datasets, showing that our algorithm improves fairness by improving the final model accuracy and convergence speed of the worst performing tasks, while maintaining the average accuracy across tasks.

Federated learning↗

DOE OSTI2022

DSO+T: Transactive Energy Coordination Framework (DSO+T Study: Volume 3)

This report describes a transactive energy coordination scheme designed to integrate into existing day-ahead and real-time wholesale energy markets. This scheme was evaluated in the Distribution System Operator with Transactive (DSO+T) study to assess the engineering and economic performance of the transactive energy coordination of a large-scale deployment of distributed energy resources (DER). Transactive agents were developed for a range of DERs (heating, ventilation, and air conditioning units, water heaters, batteries, and electric vehicles) that optimize flexibility over a 48-hour horizon and adjust their strategy in response to changes in real-time prices. A transactive energy coordination scheme, executed by a DSO retail market operator, aggregates these DER bids from participating customers and clears them against a DSO supply curve using a double auction market mechanism. The process of constructing the price-quantity DSO supply curve includes distribution-level transportation constraints (for example, substation congestion limits) and forecast locational marginal price of the DSO’s connected transmission node. The resulting day-ahead and real-time quantities are then bid into a competitive wholesale market operated by an independent system operator. This report also details additional capabilities for proper marketplace simulation such as wholesale price, weather, and load forecasting. The report concludes with a discussion of lessons learned and key design features required to ensure successful operation.

29 ENERGY PLANNING, POLICY, AND ECONOMY↗

NASA NTRS1981

Alternative licensing arrangements and spectrum economics: The case of multipoint distribution service

At present, the Federal Communications Commission assigns radio licenses following a determination of the public interest. Whenever mutually conflicting license applications are filed, the Commission holds a comparative hearing. This assignment mechanism is criticized as cumbersome and unrealiable, and three alternatives are proposed: increasing the available spectrum, and either auctions or lotteries of radio licenses. An analysis is presented of the present system and these alternative arrangments for assigning rights to the frequency spectrum for the Multipoint Distribution Service (MDS). Although MDS is a relatively minor radio service, it serves as a prototype for message distribution services with a large potential for use in business communications. Moreover, the way in which the initial batch of MDS licenses was assigned provides a unique opportunity for empirical work on the economics of the licensing process.

Agnew, C. E.↗

NASA NTRS1997

Automated Pollution Control

Patterned after the Cassini Resource Exchange (CRE), Sholtz and Associates established the Automated Credit Exchange (ACE), an Internet-based concept that automates the auctioning of "pollution credits" in Southern California. An early challenge of the Jet Propulsion Laboratory's Cassini mission was allocating the spacecraft's resources. To support the decision-making process, the CRE was developed. The system removes the need for the science instrument manager to know the individual instruments' requirements for the spacecraft resources. Instead, by utilizing principles of exchange, the CRE induces the instrument teams to reveal their requirements. In doing so, they arrive at an efficient allocation of spacecraft resources by trading among themselves. A Southern California RECLAIM air pollution credit trading market has been set up using same bartering methods utilized in the Cassini mission in order to help companies keep pollution and costs down.

Source record↗

NASA NTRS2003

Route Monopolie and Optimal Nonlinear Pricing

To cope with air traffic growth and congested airports, two solutions are apparent on the supply side: 1) use larger aircraft in the hub and spoke system; or 2) develop new routes through secondary airports. An enlarged route system through secondary airports may increase the proportion of route monopolies in the air transport market.The monopoly optimal non linear pricing policy is well known in the case of one dimension (one instrument, one characteristic) but not in the case of several dimensions. This paper explores the robustness of the one dimensional screening model with respect to increasing the number of instruments and the number of characteristics. The objective of this paper is then to link and fill the gap in both literatures. One of the merits of the screening model has been to show that a great varieD" of economic questions (non linear pricing, product line choice, auction design, income taxation, regulation...) could be handled within the same framework.VCe study a case of non linear pricing (2 instruments (2 routes on which the airline pro_ddes customers with services), 2 characteristics (demand of services on these routes) and two values per characteristic (low and high demand of services on these routes)) and we show that none of the conclusions of the one dimensional analysis remain valid. In particular, upward incentive compatibility constraint may be binding at the optimum. As a consequence, they may be distortion at the top of the distribution. In addition to this, we show that the optimal solution often requires a kind of form of bundling, we explain explicitly distortions and show that it is sometimes optimal for the monopolist to only produce one good (instead of two) or to exclude some buyers from the market. Actually, this means that the monopolist cannot fully apply his monopoly power and is better off selling both goods independently.We then define all the possible solutions in the case of a quadratic cost function for a uniform distribution of agent types and explain the implications for airlines in terms of service differentiation.

Tournut, Jacques↗

NASA NTRS2010

Optimizing Air Transportation Service to Metroplex Airports: Analysis of Historical Data - Part 1

The air transportation system is a significant driver of the U.S. economy, providing safe, affordable, and rapid transportation. During the past three decades airspace and airport capacity has not grown in step with demand for air transportation (+4% annual growth), resulting in unreliable service and systemic delays. Estimates of the impact of delays and unreliable air transportation service on the economy range from $32B to $41B per year. This report describes the results of an analysis of airline strategic decision-making with regards to: (1) geographic access, (2) economic access, and (3) airline finances. This analysis evaluated markets-served, scheduled flights, aircraft size, airfares, and profit from 2005-2009. During this period, airlines experienced changes in costs of operation (due to fluctuations in hedged fuel prices), changes in travel demand (due to changes in the economy), and changes in infrastructure capacity (due to the capacity limits at EWR, JFK, and LGA). This analysis captures the impact of the implementation of capacity limits at airports, as well as the effect of increased costs of operation (i.e. hedged fuel prices). The increases in costs of operation serve as a proxy for increased costs per flight that might occur if auctions or congestion pricing are imposed.

Donohue, George↗

NASA NTRS2010

Optimizing Air Transportation Service to Metroplex Airports: Analysis Using the Airline Schedule Optimization Model (ASOM) - Par 2

The air transportation system is a significant driver of the U.S. economy, providing safe, affordable, and rapid transportation. During the past three decades airspace and airport capacity has not grown in step with demand for air transportation; the failure to increase capacity at the same rate as the growth in demand results in unreliable service and systemic delay. This report describes the results of an analysis of airline strategic decision-making that affects geographic access, economic access, and airline finances, extending the analysis of these factors using historic data (from Part 1 of the report). The Airline Schedule Optimization Model (ASOM) was used to evaluate how exogenous factors (passenger demand, airline operating costs, and airport capacity limits) affect geographic access (markets-served, scheduled flights, aircraft size), economic access (airfares), airline finances (profit), and air transportation efficiency (aircraft size). This analysis captures the impact of the implementation of airport capacity limits, as well as the effect of increased hedged fuel prices, which serve as a proxy for increased costs per flight that might occur if auctions or congestion pricing are imposed; also incorporated are demand elasticity curves based on historical data that provide information about how passenger demand is affected by airfare changes.

Donoue, George↗

NASA NTRS2010

Signal Processing Methods Monitor Cranial Pressure

Dr. Norden Huang, of Goddard Space Flight Center, invented a set of algorithms (called the Hilbert-Huang Transform, or HHT) for analyzing nonlinear and nonstationary signals that developed into a user-friendly signal processing technology for analyzing time-varying processes. At an auction managed by Ocean Tomo Federal Services LLC, licenses of 10 U.S. patents and 1 domestic patent application related to HHT were sold to DynaDx Corporation, of Mountain View, California. DynaDx is now using the licensed NASA technology for medical diagnosis and prediction of brain blood flow-related problems, such as stroke, dementia, and traumatic brain injury.

Source record↗

NASA NTRS2013

Evaluation of Contrail Reduction Strategies Based on Environmental and Operational Costs

This paper evaluates a set of contrail reduction strategies based on environmental and operational costs. A linear climate model was first used to convert climate effects of carbon dioxide emissions and aircraft contrails to changes in Absolute Global Temperature Potential, a metric that measures the mean surface temperature change due to aircraft emissions and persistent contrail formations. The concept of social cost of carbon and the carbon auction price from recent California's cap-and-trade system were then used to relate the carbon dioxide emissions and contrail formations to an environmental cost index. The strategy for contrail reduction is based on minimizing contrail formations by altering the aircraft's cruising altitude. The strategy uses a user-defined factor to trade off between contrail reduction and additional fuel burn and carbon dioxide emissions. A higher value of tradeoff factor results in more contrail reduction but also more fuel burn and carbon emissions. The strategy is considered favorable when the net environmental cost benefit exceeds the operational cost. The results show how the net environmental benefit varies with different decision-making time-horizon and different carbon cost. The cost models provide a guidance to select the trade-off factor that will result in the most net environmental benefit.

social cost of carbon↗

NASA NTRS2014

Evaluating Tradeoffs Between Environmental Impact and Operational Costs for Enroute Air Traffic

The rapid growth of air traffic has drawn attention to aircraft-induced environmental impact. Aviation operations affect the environment mainly through the release of emissions and by the formation of contrails. Recent research has shown that altering aircraft cruise altitudes can reduce aviation environmental impact by reducing Absolute Global Temperature Change Potential, a climate assessment metric that adapts a linear system for modeling the global temperature response to aviation emissions and contrails. However, these methods will increase fuel consumption that leads to higher operational costs imposed on airlines resulting in reluctance to adopt a new routing strategy. This paper evaluates the tradeoff between environmental impact reduction and the corresponding added operational costs for enroute air traffic. The concept of social cost of carbon and the carbon auction price from California's recent cap-and-trade system were used to provide estimates and a methodology to evaluate environmental costs for carbon dioxide emissions and contrail formations. Depending on the specific environmental policy, the strategy is considered favorable when the reduction in environmental costs exceeds the increase in operational costs. The results show how the net environmental bene t varies with different decision-making time horizons, different carbon and fuel costs, and different days. The study provides guidance towards the development of the environmental reduction strategies.

environmental impact↗

DOE OSTI2021

An Integrated Paradigm for the Management of Delivery Risk in Electricity Markets: From Batteries to Insurance and Beyond

This presentation discusses the objectives to quantify flexibility from distributed energy resources (DERs) through DER risk scores, increase the number of hedging options for resources with uncertain output by tapping system-wide resources through a system-wide flexibility auction, and create transparent flexibility prices ahead of time, alleviating the need for forecasting of balancing prices.

27 ARPA - Advanced Research Projects Agency-Energy↗

DOE OSTI2021

Developing Southeast Asia Solar Resource Data to Support the Clean Energy Transition in the Region

This fact sheet describes the development and release of a high-fidelity solar time series data set for the entire Southeast Asia region, which can be used to drive energy sector investment, support enabling policies to support solar energy market expansion, and inform prospecting, renewable energy auctions, target-setting, grid integration and other high impact decisions, ranging from the micro to macro scale, to accelerate renewable energy deployment throughout SE Asia. This data is available on the enhanced and expanded RE Data Explorer (RE Explorer) platform.

Advanced Energy Partnership for Asia↗