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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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NASA NTRS1991

Two Point Exponential Approximation Method for structural optimization of problems with frequency constraints

The point exponential approximation method was introduced by Fadel et al. (Fadel, 1990), and tested on structural optimization problems with stress and displacement constraints. The reports in earlier papers were promising, and the method, which consists of correcting Taylor series approximations using previous design history, is tested in this paper on optimization problems with frequency constraints. The aim of the research is to verify the robustness and speed of convergence of the two point exponential approximation method when highly non-linear constraints are used.

Fadel, G. M.↗
NASA NTRS1974

A synthesis theory for the externally excited adaptive system /EEAS/

The externally excited adaptive system (EEAS) is a two-degree-of-freedom feedback system with a nonlinearity which is saturated hard by an external periodic signal. Under certain conditions, the EEAS responds quasi-linearly to command and plant disturbance signals, permitting the development of a quantitative synthesis theory for satisfying system tolerances despite large plant uncertainty. The great advantage of the EEAS is its zero sensitivity to plant gain variations, a property it shares with the self-oscillating adaptive system (SOAS). The EEAS is, however, more flexible than the SOAS in satisfying the quasi-linearity constraints. The essential difference is that in the EEAS the loop transmission bandwidth is not rigorously tied to the 'carrier' signal, as it is in the SOAS. There is a class of problems for which the EEAS is superior to the purely linear system, which in turn is superior to the SOAS. The superiority of the EEAS over the SOAS is especially marked in the case of significant plant disturbances, which generally vitiate a SOAS design.

Horowitz, I. M.↗
DOE OSTI2021

Encoding Frequency Constraints in Preventive Unit Commitment Using Deep Learning With Region-of-Interest Active Sampling

With the increasing penetration of renewable energy, frequency response and its security are of significant concerns for reliable power system operations. Frequency-constrained unit commitment (FCUC) is proposed to address this challenge. Despite existing efforts in modeling frequency characteristics in unit commitment (UC), current strategies can only handle oversimplified low-order frequency response models and do not consider wide-range operating conditions. This paper presents a generic data-driven framework for FCUC under high renewable penetration. Here, deep neural networks (DNNs) are trained to predict the frequency response using real data or high-fidelity simulation data. Next, the DNN is reformulated as a set of mixed-integer linear constraints to be incorporated into the ordinary UC formulation. In the data generation phase, all possible power injections are considered, and a region-of-interest active sampling is proposed to include power injection samples with frequency nadirs closer to the UFLC threshold, which enhances the accuracy of frequency constraints in FCUC. The proposed FCUC is investigated on the IEEE 39-bus system. Then, a full-order dynamic model simulation using PSS/E verifies the effectiveness of FCUC in frequency-secure generator commitments.

42 ENGINEERING↗
DOE OSTI2025

Splitting regions and shrinking islands from higher point constraints

We study constraints from higher-point amplitudes on 2 → 2 scattering in the context of effective field theory (EFT) using the perturbative numerical S-matrix bootstrap. Specifically, we investigate the class of weakly coupled EFTs with amplitudes that obey the hidden zero and split conditions that are known to hold both for Tr(Φ 3 ) theory and for certain string tree amplitudes, including at 4-point the beta function. Requiring the splitting condition for the 5-point amplitude not only fixes nearly all its contact terms, but it also imposes non-linear constraints among the 4-point EFT Wilson coefficients. When included in the bootstrap, the resulting allowed region consistent with positivity is no longer convex but is restricted to a smaller non-convex region — which has a sharp corner near the string beta function! Assuming the absence of an infinite spin tower at the mass gap, the allowed region bifurcates into a trivial region (with states only above a chosen cutoff) and an island that continues to shrink around the string as more constraints are included in the bootstrap. The numerics indicate that in the absence of single-mass infinite spin towers the string beta function is the unique 4-point amplitude compatible with hidden zero and the 5-point splitting constraints. The analysis provides a prototype example for how features of higher-point amplitudes constrain the bootstrap of 4-point amplitudes.

72 PHYSICS OF ELEMENTARY PARTICLES AND FIELDS↗
DOE OSTI2025

McCormick envelopes in mixed-integer PDE-constrained optimization

McCormick envelopes are a standard tool for deriving convex relaxations of optimization problems that involve polynomial terms. Such McCormick relaxations provide lower bounds, for example, in branch-and-bound procedures for mixed-integer nonlinear programs but have not gained much attention in PDE-constrained optimization so far. This lack of attention may be due to the distributed nature of such problems, which on the one hand leads to infinitely many linear constraints (generally state constraints that may be difficult to handle) in addition to the state equation for a pointwise formulation of the McCormick envelopes and renders bound-tightening procedures that successively improve the resulting convex relaxations computationally intractable. We analyze McCormick envelopes for a model problem class that is governed by a semilinear PDE involving a bilinearity and integrality constraints. We approximate the nonlinearity and in turn the McCormick envelopes by averaging the involved terms over the cells of a partition of the computational domain on which the PDE is defined. This yields convex relaxations that underestimate the original problem up to an a priori error estimate that depends on the mesh size of the discretization. These approximate McCormick relaxations can be improved by means of an optimization-based bound-tightening procedure. We show that their minimizers converge to minimizers to a limit problem with a pointwise formulation of the McCormick envelopes when driving the mesh size to zero. We provide a computational example, for which we certify all of our imposed assumptions. The results point to both the potential of the methodology and the gaps in the research that need to be closed. Our methodology provides a framework first for obtaining pointwise underestimators for nonconvexities and second for approximating them with finitely many linear inequalities in an infinite-dimensional setting.

Approximations and Expansions↗
DOE OSTI2020

$\mathcal{N}$ = (1, 0) anomaly multiplet relations in six dimensions

We consider conformal and ’t Hooft anomalies in six-dimensional $\mathcal{N}$ = (1, 0) superconformal field theories, focusing on those conformal anomalies that determine the two- and three-point functions of conserved flavor and SU(2) R currents, as well as stress tensors. By analyzing these correlators in superspace, we explain why the number of independent conformal anomalies is reduced in supersymmetric theories. For instance, non- supersymmetric CFTs in six dimensions have three independent conformal c-anomalies, which determine the stress-tensor two- and three-point functions, but in superconformal theories the three c-anomalies are subject to a linear constraint. We also describe anomaly multiplet relations, which express the conformal anomalies of a superconformal theory in terms of its ’t Hooft anomalies. Following earlier work on the conformal a-anomaly, we argue for these relations by considering the supersymmetric dilaton effective action on the tensor branch of such a theory. We illustrate the utility of these anomaly multiplet relations by presenting exact results for conformal anomalies, and hence current and stress-tensor correlators, in several interacting examples.

72 PHYSICS OF ELEMENTARY PARTICLES AND FIELDS↗
DOE OSTI2021

Considering computational speed vs. accuracy: Choosing appropriate mesoscale RVE boundary conditions

Modeling a material’s microstructure using continuum theories allows for inspection of the relationship between coarse scale and fine scale behaviors. Computational limits generally require selection of a sub-volume from a bulk sample in order to directly model the microstructure. Boundary conditions are applied to the sub-volume to mimic the excluded bulk material. Appropriate selection of boundary conditions helps effectively determine the appropriate spatial scale required of the sub-volume. Applicable boundary conditions include direct displacement, periodic, and uniform traction. While direct displacement and periodic boundary conditions are commonly used, uniform traction boundary conditions have seen limited use due to rigid body stability issues in simulations of compression or shear deformation. A new application of uniform traction boundary conditions was developed through linear constraint equations, similar to approaches employed by direct displacement and periodic boundary conditions, to quench rigid body motions with minimal interference of the relative deformation of the model. These boundary conditions were tested by compressing several synthetically generated periodic microstructures using the finite element method. Evaluating the effective stiffness along the compression axis, the direct displacement boundary condition produced the stiffest response, whereas the uniform traction boundary condition produced the most compliant. Periodic boundary conditions produced the same response for all volumes analyzed and both the direct displacement and uniform traction boundary conditions trended toward the periodic response as the domain volume increased. Computational performance was also evaluated for each boundary condition using implicit and explicit solvers. Direct displacement boundary conditions presented the lowest computational cost of all of the boundary conditions followed by periodic then uniform traction. The computational expense of periodic and uniform traction boundary conditions limited the viable spatial scale and mesh resolutions able to be simulated. Selection of appropriate boundary conditions for specific uses need to be a balance between allowable computational expense and accuracy of the method. Techniques for evaluating which boundary conditions to use are discussed.

42 ENGINEERING↗
DOE OSTI2022

Optimizing lane reversals in transportation networks to reduce traffic congestion: A global optimization approach

This paper studies how to reduce the overall travel time of commuters in a transportation network by reversing the direction of some lanes in the network using a macroscopic network-wide perspective. Similar to the Network Design Problem, the lane reversal problem has been shown to be NP-hard given the dependence of the users’ route selection on the lane direction decision. Herein, we propose and compare three efficient methods to solve the routing and lane reversal problem jointly. First, we introduce an alternating method that decouples the routing and lane assignment problems. Second, we propose a Frank–Wolfe method that jointly takes gradient steps to adjust both the lane assignment and routing decisions. Third, we propose a convex approximation method that uses a threshold-based approach to convexify the joint routing and lane reversal objective. The convex approximation method is advantageous since it finds a global optimum solution for the approximated problem and it enables the possibility to include linear constraints. Using this method, we extend the main formulation to be able to limit a maximum number of reversed lanes, as well as to incorporate multiple origin–destination (OD) patterns. We test the proposed methods in a case study using the transportation network of Eastern Massachusetts where our results indicate an overall reduction in travel times of 4.7% by selecting the best 15 reversals. Moreover, using a small test network, we investigate the performance of the lane reversal strategies as a function of the OD demand symmetry. As expected, we observe that when the OD demand is very asymmetric (e.g., for a single OD pair, evacuations, large events), the reduction in travel times is larger than the symmetric case, reaching travel time reductions of 60%.

32 ENERGY CONSERVATION, CONSUMPTION, AND UTILIZATI↗
DOE OSTI2021

Toward active disruption avoidance via real-time estimation of the safe operating region and disruption proximity in tokamaks

This paper describes a real-time capable algorithm for identifying the safe operating region around a tokamak operating point. The region is defined by a convex set of linear constraints, from which the distance of a point from a disruptive boundary can be calculated. The disruptivity of points is calculated from an empirical machine learning predictor that generates the likelihood of disruption. While the likelihood generated by such empirical models can be compared to a threshold to trigger a disruption mitigation system, the safe operating region calculation enables active optimization of the operating point to maintain a safe margin from disruptive boundaries. The proposed algorithm is tested using a random forest disruption predictor fit on data from DIII-D. The safe operating region identification algorithm is applied to historical data from DIII-D showing the evolution of disruptive boundaries and the potential impact of optimization of the operating point. Real-time relevant execution times are made possible by parallelizing many of the calculation steps and implementing the algorithm on a graphics processing unit. Lastly, a real-time capable algorithm for optimizing the target operating point within the identified constraints is also proposed and simulated.

70 PLASMA PHYSICS AND FUSION TECHNOLOGY↗
DOE OSTI2022

Ensuring Transient Stability With Guaranteed Region of Attraction in DC Microgrids

DC microgrids have promising applications in renewable integration due to their better energy efficiency when connecting DC components. However, they might be unstable since many loads in a DC microgrid are regulated as constant power loads (CPLs) that have a destabilizing negative impedance effect. As a result, the state trajectory displacement caused by abrupt load changes or contingencies can easily lead to instability. Many existing works have been devoted to studying the region of attraction (ROA) of a DC microgrid, in which the system is guaranteed to be asymptotically stable. Nevertheless, existing work either focuses on using numerical methods for ROA approximations that generally have no performance guarantees or cannot ensure a desired ROA for a general DC microgrid. To close this gap, this paper develops an innovative control synthesis algorithm to make a general DC microgrid have a theoretically guaranteed ROA, for example, to cover the entirety of its operating range regarding state trajectories. Here, we first study the nonlinear dynamics of a DC microgrid to derive a novel transient stability condition to rigorously certify whether a given operating range is a subset of the ROA; then, we formulate a control synthesis optimization problem to guarantee the condition’s satisfaction. This condition is a linear constraint, and the optimization problem resembles an optimal power flow problem and has a good computational behavior. Simulation case studies verify the validity of the proposed work.

24 POWER TRANSMISSION AND DISTRIBUTION↗
DOE OSTI2024

MULTI-LEADER: MULTI-source LEarning-Accelerated Design of high-Efficiency multi-stage compRessor (Final Technical Report)

The objective of MULTI-LEADER is to cut design costs by 80% while generating more energy-efficient designs of multi-stage compressors by developing and implementing novel machine learning (ML) techniques, which enable faster and fewer design iterations, improved solver performance, and concurrent multi-disciplinary design. Current industrial practices for the design of multi-stage compressors involve simulation-based design optimization with successive levels of model fidelity, iteratively evaluated between distinct disciplines, one stage at a time to tackle the high dimensional design variations. This project addresses these key design challenges: (1) concurrent optimization of multiple stages under many non-linear constraints; (2) multitude of evaluation of high-fidelity and expensive solvers and their gradients during optimization convergence in high-dimensional design; (3) multi-disciplinary design to maximize aerodynamic performance while guaranteeing structural integrity and additive manufacturability; (4) utilization of multiple fidelity of solvers with disparate parameterization and modeling assumptions. MULTI-LEADER achieved more than 5x speed up in detailed design of more energy-efficient compressors via these machine learning (ML) innovations: (i) rapid design surrogates by multi-source learning from diverse fidelities across multiple disciplines, (ii) physics-constrained data-augmented modeling for improved empiricism, (iii) generative manifold embedding for high dimensional concurrent design without gradient information; (iv) budget-constrained fidelity-adaptive sampling towards fewer design iterations.

33 ADVANCED PROPULSION SYSTEMS↗
NASA NTRS1973

Eleventh order resonance terms in the geopotential from the orbit of Vanguard 3

The orbit of Vanguard 3 (1959-7A) is strongly resonant with 11th order and odd degree terms in the geopotential. It affords an excellent opportunity to determine a significant linear constraint between these terms. Tracking data on this satellite (in the form of mean Kepler elements) are analyzed over a 3 1/2 year period in the early 1960's, which ends with the orbit having just passed through perfect commensurability. The eccentricity and inclination show the deep resonance variations (up to 0.0002 in e and .02 deg in i) with great clarity. Previous and current geopotential solutions fail to explain these perturbations.

Wagner, C. A.↗
NASA NTRS1974

Eleventh-order geopotential resonance on the orbit of Vanguard 3

The orbit of Vanguard 3 (1959-7A) is strongly resonant with eleventh-order and odd degree terms in the geopotential. It affords an excellent opportunity to determine a significant linear constraint between these terms. Tracking data on this satellite (in the form of mean Kepler elements) are analyzed over a 3.5-year period in the early 1960s, which ends with the orbit having just passed through perfect commensurability. The eccentricity e and inclination I show the deep resonance variations (up to .0002 in e and 0.02 deg in I) with great clarity. Previous and current geopotential solutions fail to explain these perturbations. A constraint for the deep resonant terms is determined in fully normalized harmonics.

Wagner, C. A.↗
NASA NTRS1983

A function space approach to state and model error estimation for elliptic systems

An approach is advanced for the concurrent estimation of the state and of the model errors of a system described by elliptic equations. The estimates are obtained by a deterministic least-squares approach that seeks to minimize a quadratic functional of the model errors, or equivalently, to find the vector of smallest norm subject to linear constraints in a suitably defined function space. The minimum norm solution can be obtained by solving either a Fredholm integral equation of the second kind for the case with continuously distributed data or a related matrix equation for the problem with discretely located measurements. Solution of either one of these equations is obtained in a batch-processing mode in which all of the data is processed simultaneously or, in certain restricted geometries, in a spatially scanning mode in which the data is processed recursively. After the methods for computation of the optimal estimates are developed, an analysis of the second-order statistics of the estimates and of the corresponding estimation error is conducted. Based on this analysis, explicit expressions for the mean-square estimation error associated with both the state and model error estimates are then developed.

Rodriguez, G.↗
NASA NTRS1983

Programming the gradient projection algorithm

The gradient projection method of numerical optimization which is applied to problems having linear constraints but nonlinear objective functions is described and analyzed. The algorithm is found to be efficient and thorough for small systems, but requires the addition of auxiliary methods and programming for large scale systems with severe nonlinearities. In order to verify the theoretical results a digital computer is used to simulate the algorithm.

Hargrove, A.↗
NASA NTRS1983

A function space approach to state and model error estimation for elliptic systems

An approach is advanced for the concurrent estimation of the state and of the model errors of a system described by elliptic equations. The estimates are obtained by a deterministic least-squares approach that seeks to minimize a quadratic functional of the model errors, or equivalently, to find the vector of smallest norm subject to linear constraints in a suitably defined function space. The minimum norm solution can be obtained by solving either a Fredholm integral equation of the second kind for the case with continuously distributed data or a related matrix equation for the problem with discretely located measurements. Solution of either one of these equations is obtained in a batch-processing mode in which all of the data is processed simultaneously or, in certain restricted geometries, in a spatially scanning mode in which the data is processed recursively. After the methods for computation of the optimal esimates are developed, an analysis of the second-order statistics of the estimates and of the corresponding estimation error is conducted. Based on this analysis, explicit expressions for the mean-square estimation error associated with both the state and model error estimates are then developed. While this paper focuses on theoretical developments, applications arising in the area of large structure static shape determination are contained in a closely related paper (Rodriguez and Scheid, 1982).

Rodriguez, G.↗
NASA NTRS1988

Advances in dual algorithms and convex approximation methods

A new algorithm for solving the duals of separable convex optimization problems is presented. The algorithm is based on an active set strategy in conjunction with a variable metric method. This first order algorithm is more reliable than Newton's method used in DUAL-2 because it does not break down when the Hessian matrix becomes singular or nearly singular. A perturbation technique is introduced in order to remove the nondifferentiability of the dual function which arises when linear constraints are present in the approximate problem.

Smaoui, H.↗