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DOE OSTI2022

High-Octane Gasoline from Lignocellulosic Biomass via Syngas and Methanol/Dimethyl Ether Intermediates (2021 State of Technology)

The 2021 state of technology (SOT) assessment for the indirect liquefaction (IDL) of lignocellulosic biomass to high-octane gasoline (HOG) via methanol and dimethyl ether (DME) intermediates details the techno-economic analysis (TEA) results and technical progress of the pathway since the 2020 SOT report. A detailed process description and collection of underlying assumptions is given the 2015 design report. In 2021, research efforts rigorously quantified the selectivity of DME to aromatic compounds. As a result, the overall carbon selectivity to hydrocarbon products was updated based upon new findings. Additionally, research conducted over the past few years resulted in successful lower temperature regeneration of NREL's Cu/BEA catalyst with favorable implications on catalyst longevity. Discussions with an engineering firm resulted in an update to the excess air requirement for process combustors (including the char combustor, tar reformer combustor, and catalyst regenerator) in which excess air was reduced from 20% excess to 10%. The cumulative effect of the above efforts was used to calculate a minimum fuel selling price for the modeled pathway. Sensitivity cases examining federal carbon tax credits from CO 2 capture, product selectivity and yield, catalyst lifetime, and other key financial and process parameters were also considered in this assessment.

09 BIOMASS FUELS↗

DOE OSTI2024

Aqueous-phase product treatment and monetization options of wet waste hydrothermal liquefaction: Comprehensive techno-economic and life-cycle GHG emission assessment unveiling research opportunities

While wet waste hydrothermal liquefaction technology has a high biofuel yield, a significant amount of the carbon and nitrogen in the feedstock reports to the aqueous-phase product. Pretreatment of this stream before sending to a conventional wastewater plant is essential or at the very least, advisable. In this work, techno-economic and life-cycle assessments were conducted for the state-of-technology baseline and four aqueous-phase product treatment and monetization options based on experimental data. Further, these options can cut minimum fuel selling prices by up to 13 % and life-cycle greenhouse gas emissions by up to 39 % compared to the baseline. These findings highlight the substantial influence of aqueous produce treatment strategies on the entire wet waste hydrothermal liquefaction process, demonstrating the potential for optimizing economic viability and environmental impact through further research and development of milder treatment methods and diversified by-product valorization pathways.

09 BIOMASS FUELS↗

DOE OSTI2022

Coupling AFEX and steam-exploded sugarcane residue pellets with a room temperature CIIII-activation step lowered enzyme dosage requirements for sugar conversion

In this study, the potential integration of steam explosion (StEx) and ammonia fiber expansion (AFEX) with existing sugar/ethanol mills to form decentralized pre-processing depots was explored. Both StEx and AFEX pretreatment facilitated the production of sugarcane bagasse (SCB) and cane leaf matter (CLM) pellets with significantly higher bulk density, mechanical durability, and hydrophobicity relative to their untreated biomass pellet controls. However, ethanol production from standalone StEx and AFEX-treated SCB and CLM pellets required enzyme dosages greater than 21 mg/g glucan to achieve enzymatic hydrolysis sugar yields of 75% and ethanol titres greater than 40 g.L -1 . Coupling AFEX-treated SCB or CLM pellets with a room temperature CIII I -activation step using liquid ammonia lowered enzyme dosage requirements by more than 50% without affecting ethanol titers and production yields (greater than300 L per Mg residual dry matter raw dry biomass (RDM)). In contrast, treating StEx-treated pellets with CIIII-activation using liquid ammonia did not result in similar enzyme dosage reductions, due to pseudo-lignin formation, leading to enzyme deactivation and/or lignin blockage that retarded enzymatic hydrolysis at low enzyme dosages. A gross energy conversion assessment revealed that low enzyme dosage (3-4 mg enzyme/g RDM) ethanol and electricity co-production from AFEX and CIII I -activated SCB and CLM can recover up to 73% of the energy in the untreated biomass, compared to 54% recovered by StEx and CIII I -activation. The results from this work suggest that StEx or AFEX based pre-processing depots can produce dense and mechanically durable biomass pellets. The AFEX-treated pellets can be easily upgraded using a room temperature CIII I -activation step at the biorefinery to significantly reduce bioconversion enzymes.

42 ENGINEERING↗

DOE OSTI2023

Incentivizing Cold-Climate Efficiency in Juneau (Final Report)

This is the final technical report for the DOE EERE BTO project Incentivizing Cold-Climate Efficiency in Juneau. The project implemented a community energy campaign to deploy heat pumps and efficiency for residents of Juneau, in Southeast Alaska. The project helped Juneau make progress towards its renewable energy goal of reaching 80% renewable energy for space heating by 2045. The Incentivizing Cold-Climate Efficiency in Juneau (ICE-Juneau) project began in 2020 and concluded three years later in 2023. During that time, a group of implementation partners and a research advisory team instituted a beneficial electrification campaign to promote energy savings and carbon reduction in residences of Juneau, Alaska. The campaign, Thermalize Juneau, focused on the installation of single head ductless mini-split heat pumps along with other efficiency upgrades. Thermalize Juneau was the first campaign of its kind in Alaska. After several months of planning, registration opened to the public in early 2021, and over the course of six months 164 participants enrolled. Campaign staff provided education to homeowners on heat pumps and efficiency, and each participant received a one-on-one heat pump assessment using a custom Microsoft Excel-based calculator that estimated energy savings for their residence based on building characteristics and past utility bills. Participants could also obtain a free energy audit from one of the two local energy auditors to further inform their decision. A heat pump installer, electrician, and builder were selected via a competitive RFP process. Participants who felt ready to install a heat pump or other efficiency upgrades received a site visit and custom quote from each of these contractors free of charge, and if they still felt energy upgrades were right for them, could move forward with an individual contract. Participants received a $400 heat pump installation rebate, offered by the installer if 40 heat pump installations occurred through the campaign. Overall, the campaign facilitated 75 heat pump installations (including participants that went with another contractor or heat pump model) and 30 efficiency upgrades (including participants that went with another builder or did DIY upgrades). The campaign created 3 new jobs as the heat pump installer hired an administrative assistant and two apprentices over the course of the campaign. It also helped Juneau work toward achieving its renewable energy goal of 80% renewable energy for space heating by 2045 by upgrading houses from fuel oil to heat pumps powered by the hydropower electric grid. Researchers conducted four surveys to inform Thermalize Juneau and future energy campaigns. The first surveyed existing and prospective heat pump owners in Juneau to identify barriers the campaign could address and inform recruitment efforts. Entry and exit surveys provided information on participant demographics, goals, outcomes, and suggestions for improving future campaigns. And a final survey of community members who had not participated in Thermalize Juneau gave insight on ways future campaigns could include a greater diversity of participants so they could realize similar benefits. Researchers also used pre-campaign energy modeling to predict energy savings, which was then compared to the savings estimated through aggregation of heat pump assessments and energy audits, and later to actual energy savings of 10 participants who installed a heat pump and were able to provide complete energy use data sets. In addition to energy savings, and to assist the electric utility in future planning efforts, researchers analyzed the overall change in electric use across participants with energy data and heat pump installations. They also completed a life cycle cost analysis, showing positive net present values for those displacing a fuel oil appliance, and a more mixed case for those switching from electric baseboard. This project proved the feasibility of energy campaigns, with a goal of beneficial electrification, in cold, remote locations. The Thermalize Juneau team compiled a Guidebook to Thermalize Campaigns, available online. In addition to documenting what occurred in Alaska’s first thermalize campaign, it provides tips and resources for other communities wishing to implement a similar program.

29 ENERGY PLANNING, POLICY, AND ECONOMY↗

DOE OSTI2025

A framework for testing soil carbon dynamics post land-use transition in a multisector dynamics model

Soil carbon plays a crucial role in the global carbon cycle. Changes in land use can determine whether carbon is stored or is emitted into the atmosphere as carbon dioxide, which has broad implications for the human and Earth systems. These feedbacks to the carbon cycle and their socio-economic drivers are modelled by many global multisector dynamics models to project future possibilities for the human-Earth system. One notable model of this class is the Global Change Analysis Model (GCAM), which uses a simplified process to model soil organic carbon (SOC) content after land-use transition across 384 land units. While the current GCAM soil carbon framework is based on scientific principles, it has not been tested against experimental data. This work examines rates of SOC change from GCAM input data. Specifically, first order rate constants derived from model inputs were compared to values from two syntheses to assess GCAM’s accuracy. Welch’s t-tests and linear models were used to determine if rate constants were consistent across all tested geographical areas and land-use transition types. While we found that there was general agreement on the direction and magnitude (i.e., rate) of SOC change, the rate constant derived from GCAM and empirical values differed strongly in a subset of specific instances. These results indicate that GCAM’s current SOC dynamics during land use transition successfully capture broad patterns of change in this critical carbon pool, but should be interpreted with caution at finer spatial scales. One potential cause of these discrepancies is our highly aggregated variable, soil timescale, which could be made more granular to improve accuracy. When using economically rooted multisector dynamics models, such as GCAM, it is critical to understand such model limitations for representing specific Earth system processes.

carbon↗

DOE OSTI2023

Towards a circular economy for PET bottle resin using a system dynamics inspired material flow model

Not Available

Ghosh, Tapajyoti (ORCID:0000000205220235)↗

DOE OSTI2023

Modeling, testing, and mitigation of electromagnetic pulse on PV systems

Electromagnetic Pulse (EMP) poses a significant threat to the normal operation of power systems, especially with the increasing penetration of renewable energy. Without adequate protection, EMP can severely damage equipment or result in circuit breakdowns or short circuits. Solar photovoltaic (PV) facilities are particularly susceptible to EMP since PV systems are outdoors and exposed to EMP radiation. To assess and mitigate this threat, this paper summarizes various models and tests used to study the effects of EMP on PV systems, assesses the nature of the threat, and identifies measures to mitigate it. The paper provides a comprehensive review by categorizing analytical methods based on their pros and cons, introducing and describing EMP-related events, and providing a taxonomy of analytical methods for studying EMP. This paper compares the processes of modeling, testing, and mitigating EMP at both the component and system levels of PV systems. Furthermore, it also presents a case study that reveals the vulnerability of solar inverters to EMP using the pulse current injection method. Finally, the paper discusses some of the remaining challenges that should be considered in future solar PV system design and deployment.

14 SOLAR ENERGY↗

DOE OSTI2021

Long noncoding RNAs: A potential target in sepsis-induced cellular disorder

Sepsis, an inflammation-related clinical syndrome, is characterized by disrupted immune homeostasis accompanied by infection and multiple organ dysfunction as determined by the Sequential Organ Failure Assessment (SOFA). Substantial evidence has recently suggested that lncRNAs orchestrate various biological processes in diseases, and lncRNAs play special roles in the diagnosis and management of sepsis. To date, very few reviews have provided clear and comprehensive clues to demonstrate the roles of lncRNAs in the pathogenesis of sepsis. Based on previously published studies, in this review, we summarize the different functions of lncRNAs in sepsis-induced cellular disorders and sepsis-induced organ failure to show the potential roles of lncRNAs in the diagnosis and management of sepsis. We further depict the function of some lncRNAs known to be pivotal regulators in the pathogenesis of sepsis to discuss the underlying molecular events. Additionally, we list and discuss several hotspots in research on lncRNAs, which may be conducive to future lncRNA-targeted therapeutic approaches for sepsis treatment.

60 APPLIED LIFE SCIENCES↗

DOE OSTI2020

Advances in catalytic production processes of biomass-derived vinyl monomers

Plastic industries currently source the majority of monomers from crude oil substances. Although we have witnessed a significant interest of companies in the utilization of sustainable feedstock materials for bio-based compound synthesis in the past decade, the transition to photosynthetic or chemosynthetic plant-based production in a circular carbon economy is largely slow due to complex biomass processing, costs and related reaction factors. The upgrade of the separated platform chemicals with a deeper supporting understanding of processes, models and a root–cause analysis about the underlying distribution challenges of engineered transformation mechanisms, catalyzed conversion pathways and selectivity would be beneficial to advance applied scientific development, bio-refining and manufacturing output amount. This review provides a summary, assessment and perspective for three important polymer-forming vinyl molecules, i.e. acrylic acid, methacrylic acid and styrene. These provide a backbone to produce acrylates, polystyrene, resins, rubbers, protective surface coatings, adhesives, textiles and other obtained copolymers. A succinct analytical overview on the thermo-catalytic intermediate routes for property-wise drop-in alternatives is presented. Sugars, acrolein, allyl alcohol, ethylbenzene, glycerol, 3-hydroxypropionic acid, isobutene, itaconic acid and lactic acid are considered as the main starting reactants. Catalysts span mixed metal oxides, silicates, native or impregnated zeolite frameworks (HBEA, HZSM, and MFI) and hetero-poly acids as well as homogeneous base hydroxides or platinum group metals, supported on carbon, alumina and sulfates. Finally, the article concludes with a brief state sum-up of the results, topics and opportunities for systematic future research or scaling.

37 INORGANIC, ORGANIC, PHYSICAL, AND ANALYTICAL CH↗

DOE OSTI2026

Forest residue harvest optimization: spanning the bridge between plant biology and biorefinery performance

Forestry residues have immense potential as alternative feedstocks to petroleum, yet their inherent complexity remains a major challenge to widespread use. Pairing the temporal rhythms of plant biology with biorefinery performance is critical to industrial-scale biorefinery development. Here, we provide the first report of a techno-economic analysis (TEA) and life cycle assessment (LCA) for a model integrated reductive catalytic fractionation (RCF)–molten salt hydrolysis process for forestry residues varying in tree part, species, and phenophase. All forestry residues resulted in net-negative greenhouse gas (GHG) emissions vs. comparable petroleum feedstocks, with GHG emissions potentially reduced >4.0× through composition-based feedstock selection (e.g., harvesting American beech bark in spring vs. summer). Moreover, American beech twigs/branchlets and bark in leafed and emergence phenophases, respectively, had 7.9× lower predicted phenolic minimum selling prices (MSPs) vs. other feedstocks and MSPs within the current global phenolic market range. Hemicellulose content and RCF yield emerged as key parameters impacting GHG emissions and biorefinery revenue, identifying hardwood twigs/branchlets in the leafed phenophase as optimal biofeedstocks. Biorefinery expenses were dominated by purchased equipment, raw materials, and utility costs, highlighting essential areas for future study. Notably, RCF reactor pressures drove 85–90% of equipment costs, but sensitivity analysis revealed that decreasing the pressure 20% could reduce the phenol MSP 4-fold. Structural carbohydrate dynamics were also investigated using a two-step acid hydrolysis method to resolve tissue- and species-level patterns in biomass composition throughout the year to enable harvest optimization based on TEA/LCA findings. Ultimately, elucidating the impact of biofeedstock dynamics on biorefinery performance enables harvest optimization, informed engineering design, and progress towards an expanded bioeconomy.

Shapiro, Alison J. [University of Delaware, Newark↗

DOE OSTI2020

A High-resolution Regional Wave Resource Characterization For The U.S. West Coast

Objectives/Scope: Wave resource characterization is a critical step for wave energy converter deployment in the coastal ocean and relies on long-term, high-resolution wave datasets. This study presents a detailed modeling study of the wave resource along the U.S. West Coast (Washington, Oregon, and California), a coastal region that was identified with high wave energy potential in earlier studies. Methods, Procedures, Process: The wave hindcast covers a 32-year period from 1979 to 2010 and is based on a multi-resolution, unstructured-grid SWAN model framework. Model configuration closely follows and meets the requirements recommended by the International Electrotechnical Commission Technical Specification (IEC TS) for wave energy resource assessment and characterization (Class 2 - feasibility study). The model domain covers the entire U.S. Exclusive Economic Zone (EEZ) in the West Coast and has a spatial resolution varying from ~300 m in the nearshore region (20 km from the shoreline) to ~2500 m within the EEZ and ~5000 m at the open boundary, which extends beyond the EEZ. The model was forced by hourly 2-D wave spectra produced by a two-way nested WaveWatch III model, which covers the global ocean domain and the broader U.S. West Coast region domain with spatial resolutions of 0.5 degree and 10 arc-minutes, respectively. Both wave models are forced by hourly, 0.5-degree wind forcing obtained from NCEP’s Climate Forecast System Reanalysis (CFSR) product. Results, Observations, Conclusions: The standard model output for the SWAN model includes 3-hourly output for the six IEC wave resource parameters (e.g., omnidirectional wave power) at each grid point and hourly 2-D spectra at more than 50 NDBC buoys. Extensive model validation was achieved by comparing the six model-predicted IEC parameters with those derived from field observations at representative NDBC buoys. The error statistics indicated the model’s satisfactory performance. Further analyses were conducted to systematically evaluate the temporal and spatial distributions of wave energy potential and wave climate along the U.S. West Coast. Results suggest that Washington and Oregon coasts have similar nearshore wave resource, which is significantly higher than resources in Southern California. Strong seasonal variations are also observed, e.g., high wave energy tends to occur in the winter months. In summary, this study produced the first high-resolution, comprehensive dataset on wave energy distribution along the U.S. West Coast. Novel/Additive Information: The results are being used by the National Renewable Energy Laboratory to update the MHK Atlas, which was originally derived from NOAA’s 4-arc-minute WaveWatch III model output. In addition, the monthly averaged wave energy climatology dataset can be readily shared to support a variety of research and application efforts within the EEZ of the U.S. West Coast.

Wang, Taiping↗

DOE OSTI2025

Artificial Intelligence and Digital Engineering as Enablers for System Engineering in the Energy Sector

Systems engineering is of utmost importance for the success of high-cost, high-complexity megaprojects, which are common in the energy sector. However, the traditional document-centric systems engineering approach tends to be labor-intensive and time-consuming, which has inhibited its full adoption despite proven metrics on its return on investment. However, with the modern approach of digital engineering and technological advancements in artificial intelligence (AI) technologies, the barriers to systems engineering adoption can finally be broken. This paper goes through the systems engineering V-model for lifecycle management and assesses the current state of implementation of digital engineering (especially, mod-el-based systems engineering, digital twins, and digital threads) and AI for each step. It was observed that a combination of digital engineering and AI is being used across different industries to accelerate and optimize systems engineering processes such as concept development, requirements management, architecture definition, system development, verification and validation, operations, and maintenance. Specifically in the energy sector, AI-augmented digital engineering has shown initial potential in accelerated development and deployment, performance optimization, anomaly detection, predictive maintenance, and configuration management. However, challenges remain in integrating DE and AI into an end-to-end system lifecycle management ecosystem safely and reliably. Addressing these challenges and continuously developing impactful tools will enable fast, efficient, and high-frequency deployment of power generation capabilities to keep up with the world’s energy demands and build energy security.

42 - ENGINEERING↗

DOE OSTI2025

Artificial Intelligence and Digital Engineering as Enablers for Systems Engineering in the Energy Sector

42 - ENGINEERING↗

DOE OSTI2025

Studies as a function of different ALD capping layers on cavity losses for QIS and accelerators

Niobium-based bulk SRF cavities have demonstrated exceptional performance. To further improve niobium cavity performance, we present studies involving a novel surface engineering process designed to prevent the formation of amorphous niobium oxides on the surface. This is achieved by encapsulating the niobium surface using thermal Atomic-Layer-Deposition (ALD). This technique has been shown to enhance the properties of niobium cavities and 2D resonators. This study not only aims to improve SRF performance at high fields but also has the potential to enhance the quality factor in low-field regimes, particularly for quantum applications. For the method to be effective, it is essential to have a clean interface between the encapsulating layer and the bulk niobium. Achieving this requires a uniform coating across the entire cavity surface and efficient removal of the underlying niobium oxides. To optimize the process, a variety of material characterization tools have been utilized to refine parameters such as thin film thickness and annealing conditions. Cavity RF measurements were performed at the vertical test facilities at FNAL to assess the Q vs. Eacc curves for accelerator applications, as well as at the SQMS dilution refrigerators to investigate the full two-level system (TLS) losses at milliKelvin and single-photon levels. Based on the results, we characterized the loss of different oxides in various regimes and applications, comparing them to natural niobium pentoxide.

Grassellino, L. [Fermilab]↗

DOE OSTI2025

Securing Smart Manufacturing: Detection of Cyber-Physical Attacks in CNC-Based Systems

As Industry 4.0 advances, the integration of computer numerical control (CNC) machines and advanced manufacturing technologies is transforming production into smart manufacturing systems that blend physical and digital processes as cyber-physical systems. However, this increased cyber-physical connectivity exposes manufacturing systems to cyber threats that can cause severe operational and financial disruptions. This paper presents a comparative study on cyber attacks and anomaly detection techniques in manufacturing, focusing on network traffic from CNC machines. The data extracted from network packets includes machine commands and control signals exchanged between the machine's interface and control system, crucial for maintaining operational integrity. We explore two types of cyber attacks, design modification and command injection, which pose substantial risks to CNC machine productivity and system integrity. Our investigation involves experiments on a real CNC system, highlighting the urgent need for effective detection mechanisms. To address these threats, we evaluate three anomaly detection methods: dynamic time warping (DTW), rolling average, and a deep learning, long short-term memory (LSTM) time-series-based autoencoder. Each is assessed for its effectiveness in identifying anomalous behaviors caused by the attacks. Our findings demonstrate the unique strengths and limitations of each detection technique, providing a deeper understanding of their applicability in realworld manufacturing environments. The comparative analysis indicates that while certain methods are highly effective against specific attack types, others offer broader applicability across different attacks. This study contributes to the accurate detection of anomalies in CNC machining processes, thereby enhancing the reliability and security of smart manufacturing systems against diverse cyber threats.

Williams, Bethanie [Tennessee Technological Univer↗

DOE OSTI2025

Conversion of Waste PET Plastic to Aramid Fiber

A three-step synthesis was used to convert waste polyethylene terephthalate (PET) into the high value polymer, poly-para-phenylene terephthalamide (PPTA), used in the production of high strength aramid fiber, such as Kevlar. Improvements to the polymerization reaction by addition of calcium chloride to the solvent, N-methyl-2-pyrrolidone (NMP), and rigorous anhydrous conditions enabled the production of a PET-derived PPTA with a 4.15 dL/g inherent viscosity in sulfuric acid that is amenable to fiber spinning. PPTA fibers were spun using a wet spinning apparatus under varied process parameters to assess their impact on fiber surface morphology, diameter, and the mechanical properties of the fibers. Select fibers were subjected to a post-spinning heat treatment at 150 °C , which improved the tensile strength and modulus by 100% and 30%, respectively, relative to the as-spun fibers. Techno-economic and life cycle analyses were conducted to evaluate the economic feasibility and the life-cycle greenhouse gases (GHG) emissions of the approach. In conclusion, the results suggest the potential for up to a 30% cost reduction, and comparable GHG emissions against conventional petroleum-based processes.

Lifecycle Analysis↗

DOE OSTI2021

Physics-Informed Machine Learning-Aided System Space Discretization

Decision-making is the process of identifying and choosing alternatives based on an agreed-upon set of metrics and preferences established by the decision-maker. There are options to be considered during the decision-making process and each option offers a different trajectory and associated success profile in moving from a given system state to the desired system state. The decision-making process typically involves uncertainties associated with the current component and system states. In this sense, probabilistic risk assessment (PRA) can be an analytical method and tool for accomplishing the probabilistic aspect of the decision-making process. Dynamic PRA is an evolution of conventional PRA methodology in which driving forces on modeled plant elements and the element behaviors are explicitly modeled over time. In the recent past, risk assessment methodologies have evolved to address risk issues in a continuously evolving environment and a novel probabilistic dynamics framework in continuous time and state-space discretization forms has been proposed. While state-space discretization has shown its strength in both consequence and causal reasoning modes, several challenges, including the computational requirement and physically meaningful system state identification, exist. Conventional system space discretization has usually been done by either the equal width discretization method or a data-driven method. Those methods naturally possess challenges coming from the physical understanding of discretized system space (i.e., system state) and the trajectory moving from a given system state to another system state. The purpose of this paper is to present a physics-based and data-driven system state discretization method such that one can justify what the discretized system space implies and understand the state trajectory from the viewpoint of operational actions.

Kim, Junyung↗

DOE OSTI2023

Status Report on Regulatory Criteria Applicable to the Use of Artificial Intelligence (AI) and Machine Learning (ML)

Although the interest in the use of artificial intelligence (AI) and machine learning (ML) in nuclear energy is increasing rapidly, at present their implementation is limited. This rapid increase in interest is not surprising considering that implementing AI and ML technology would allow for continuous monitoring, facilitate the implementation of predictive maintenance with optimized staffing plans, enable automation and autonomy opportunities that could drastically reduce fixed operation and maintenance costs, and provide training for operations and maintenance. Other industries are using AI for construction, and in the nuclear arena AI could provide great benefit in decommissioning activities. The ability of AI and ML to operate in real time vastly increases their potential impact. Before AI can be used in design, operations, or as a regulatory tool, the specifics on the regulations applicable to the use of AI for nuclear power applications need to be established. The difficulty is that the specific use cases will dictate the applicability of regulations. For example, even within the application domain associated with operations, the regulations might vary if the AI is used to create a virtual reference for plant operations or is used for training, optimization of maintenance intervals, prioritization of maintenance activities, etc. Different still is if the AI is to be used for design or setting technical specifications, which will introduce additional requirements. US Nuclear Regulatory Commission (NRC) licensing reviews are based on an applicant’s design meeting its performance assessment based on (1) safety goals and objectives, (2) deterministic and/or probabilistic analysis of accident scenarios, and (3) quantitative assessment of design alternatives against the safety goals and objectives using accepted engineering tools, methodologies, and performance criteria. The current regulatory framework does not explicitly address AI or autonomous control. However, as implementing AI technology will require the use of a digital platform, it must meet the requirements of an instrumentation and control (I&C) system. The regulatory requirements for AI, which will be incorporated into the I&C system, will be very dependent on how it is used (i.e., its functionality, safety classification, etc.). The licensing process is primarily risk-based with the identification of components and systems as nonsafety, important to safety, or safety related. A risk-informed approach allows further gradation of components and systems based on risk metrics such as core damage frequency or large early release fractions. Thus, the use cases and the risk categorization of impacted systems and components will determine the regulatory requirements. Regardless of how AI is used it presents new opportunities for risk-informing operating, maintenance, and regulatory decisions. Trustworthiness, transparency, and the ability to validate and verify the results will be paramount in showing that the systems and plant still meet their performance requirements. This report describes the results of research to identify regulatory implications of AI technologies and their uses. Specifically, this report reviews current regulatory guidance relevant to the application of AI for design (including design changes or new designs including advanced reactors), construction, operations, training, maintenance, research, testing, and as a regulatory tool. AI can be automated at different levels from purely informative purposes to autonomous controls. The focus of this review included determination of constraints on the application of AI technology, identification of any regulatory gaps or uncertainties, and clarification of anticipated technical basis information likely to be important for regulatory acceptance of these technologies. Currently, any use of AI at nuclear power plants is focused on nonsafety-related applications. The NRC and other regulatory bodies are evaluating providing guidance to address gaps rather than create new regulations to address the use of AI and ML. This approach seems to be the best to encourage AI development without adding regulatory uncertainty.

97 MATHEMATICS AND COMPUTING↗