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CMC Property Variability and Life Prediction Methods for Turbine Engine Component Application

The ever increasing need for lower density and higher temperature-capable materials for aircraft engines has led to the development of Ceramic Matrix Composites (CMCs). Today's aircraft engines operate with >3000"F gas temperatures at the entrance to the turbine section, but unless heavily cooled, metallic components cannot operate above approx.2000 F. CMCs attempt to push component capability to nearly 2700 F with much less cooling, which can help improve engine efficiency and performance in terms of better fuel efficiency, higher thrust, and reduced emissions. The NASA Glenn Research Center has been researching the benefits of the SiC/SiC CMC for engine applications. A CMC is made up of a matrix material, fibers, and an interphase, which is a protective coating over the fibers. There are several methods or architectures in which the orientation of the fibers can be manipulated to achieve a particular material property objective as well as a particular component geometric shape and size. The required shape manipulation can be a limiting factor in the design and performance of the component if there is a lack of bending capability of the fiber as making the fiber more flexible typically sacrifices strength and other fiber properties. Various analysis codes are available (pcGINA, CEMCAN) that can predict the effective Young's Moduli, thermal conductivities, coefficients of thermal expansion (CTE), and various other properties of a CMC. There are also various analysis codes (NASAlife) that can be used to predict the life of CMCs under expected engine service conditions. The objective of this summer study is to utilize and optimize these codes for examining the tradeoffs between CMC properties and the complex fiber architectures that will be needed for several different component designs. For example, for the pcGINA code, there are six variations of architecture available. Depending on which architecture is analyzed, the user is able to specify the fiber tow size, tow spacing, weave parameter, and angle of orientation of fibers. By holding the volume fraction of the fibers constant, variations in tow spacing can be explored for different architectures. The CMC material properties are usually calculated assuming the component is manufactured perfectly. However, this is typically not the case so that a quantification of the material property variability is needed to account for processing and/or manufacturing imperfections. The overall inputs and outputs are presented using a regression software to rapidly investigate the tradeoffs associated with fiber architecture, material properties, and ultimately cost. This information is then propagated through lifing models and Larson-Miller data to assess timehemperature-dependent CMC strength. In addition, a first order cost estimation will be quantified from a current qualitative perspective. This cost estimation includes the manufacturing challenges, such as tooling, as well as the component cost for a particular application. Ultimately, a cost to performance ratio should be established that compares the effectiveness of CMCs to their current rival, nickel superalloys.

Cheplak, Matthew L.↗

Considerations for AMI-Based Operations for Distribution Feeders

More than $5 billion in investments in advanced metering infrastructure (AMI) technologies, AMI deployments, as pervasive secondary network voltage monitoring systems, provide opportunities for utility operations and controls. This paper focuses on the considerations for AMI-based tools and techniques as the industry moves toward operationalizing such large data sets. Phase identification is a first such tool. Numerous distribution network analysis, monitoring, and control applications - including volt/volt-ampere reactive control, state estimation, and distribution automation - require accurate phase connectivity information in the system models. The phase connectivity database maintained by utilities is inaccurate because of a significant amount of missing data, restoration activities, and network reconfiguration. Existing phase identification techniques that estimate phase connectivity work well in distribution feeders that have low or no photovoltaic (PV) generation; however, they fail to identify the phases accurately when considerable PV generation is present. This work addresses the phase identification problem in the presence of high PV generation using statistical analysis methods. Further, insights into the AMI data requirements for this application in terms of data window length and resolution are provided using sensitivity analysis performed on an actual distribution feeder model of San Diego Gas & Electric Company. The results of this study show that the phase connectivity, even in the presence of high PV generation, can be accurately identified using statistical analysis of AMI data of 1 day.

24 POWER TRANSMISSION AND DISTRIBUTION↗

Greenhouse Gas Concentration Data Recovery Algorithm for a Low Cost, Laser Heterodyne Radiometer

The goal of a coordinated effort between groups at GWU and NASA GSFC is the development of a low-cost, global, surface instrument network that continuously monitors three key carbon cycle gases in the atmospheric column: carbon dioxide (CO2), methane (CH4), carbon monoxide (CO), as well as oxygen (O2) for atmospheric pressure profiles. The network will implement a low-cost, miniaturized, laser heterodyne radiometer (mini-LHR) that has recently been developed at NASA Goddard Space Flight Center. This mini-LHR is designed to operate in tandem with the passive aerosol sensor currently used in AERONET (a well established network of more than 450 ground aerosol monitoring instruments worldwide), and could be rapidly deployed into this established global network. Laser heterodyne radiometry is a well-established technique for detecting weak signals that was adapted from radio receiver technology. Here, a weak light signal, that has undergone absorption by atmospheric components, is mixed with light from a distributed feedback (DFB) telecommunications laser on a single-mode optical fiber. The RF component of the signal is detected on a fast photoreceiver. Scanning the laser through an absorption feature in the infrared, results in a scanned heterodyne signal io the RF. Deconvolution of this signal through the retrieval algorithm allows for the extraction of altitude contributions to the column signal. The retrieval algorithm is based on a spectral simulation program, SpecSyn, developed at GWU for high-resolution infrared spectroscopies. Variations io pressure, temperature, composition, and refractive index through the atmosphere; that are all functions of latitude, longitude, time of day, altitude, etc.; are modeled using algorithms developed in the MODTRAN program developed in part by the US Air Force Research Laboratory. In these calculations the atmosphere is modeled as a series of spherically symmetric shells with boundaries specified at defined altitudes. Temperature, pressure, and species mixing ratios are defined at these boundaries. Between the boundaries, temperature is assumed to vary linearly with altitude while pressure (and thus gas density) vary exponentially. The observed spectrum at the LHR instrument will be the integration of the contributions along this light path. For any absorption measurement the signal at a particular spectral frequency is a linear combination of spectral line contributions from several species. For each species that might absorb in a spectral region, we have pre-calculated its contribution as a function of temperature and pressure. The integrated path absorption spectrum can then by calculated using the initial sun angle (from location, date, and time) and assumptions about pressure and temperature profiles from an atmospheric model. The modeled spectrum is iterated to match the experimental observation using standard multilinear regression techniques. In addition to the layer concentrations, the numerical technique also provides uncertainty estimates for these quantities as well as dependencies on assumptions inherent in the atmospheric models.

Miller, J. Houston↗

Lithium-Ion Battery Diagnostics Using Electrochemical Impedance via Machine-Learning

Diagnosing battery states such as health, state-of-charge, or temperature is crucial for ensuring the safety and reliability of electrochemical energy storage systems. While some states, such as temperature, may be measured using cheap sensors, accurate diagnosis of battery health metrics usually requires time-consuming performance measurements, making them infeasible for use in real-world operation. These health metrics can be measured during lab-testing and then estimated on-line using predictive life models or via state observer algorithms such as Kalman filters, but these predictive methods should be supplemented by actual measurement of battery health whenever possible to ensure reliability. Rapid measurement of battery health may be done by various types of fast diagnostic techniques such as electrochemical impedance spectroscopy (EIS), which can be performed in only a few minutes and require only a fraction of the energy and power needed for a full charge and discharge measurement. But there is a substantial challenge for estimating battery health using EIS data, as EIS is sensitive to cell temperature, state-of-charge, current, and resting time in addition to health. Thus, utilizing EIS data to predict battery capacity requires correcting for all these additional variables, a task that is extremely difficult to handle analytically. This talk utilizes machine-learning methods to estimate the effectiveness of battery capacity prediction from EIS data, leveraging a data set of hundreds of EIS measurements recorded at varying temperature and state-of-charge throughout a 500-day aging study of 32 commercial, large-format NMC-Graphite lithium-ion batteries. Using EIS as input to machine-learning models is complicated by the nonlinear response of impedance to battery health, temperature, and state-of-charge, as well as the collinearity between the impedance response at neighboring frequencies, which can easily lead to overfit models. To train robust models, features from EIS data need to be extracted from the data or some subset of critical frequencies selected. Many approaches for extracting and selecting features from EIS data from electrochemical analysis and machine-learning fields were identified for analysis: using the entire raw spectra; selection of one, two, or many frequencies from the entire spectra; selecting interesting points from the EIS measurement using domain knowledge; fitting EIS with an equivalent-circuit model; calculating statistics on the raw impedance values; and reducing the dimensionality of the data using unsupervised linear (principal component analysis) and non-linear (uniform manifold approximation and projection) methods. These approaches were rigorously compared using a machine-learning pipeline approach, training linear, Gaussian process, and random forest regression models and quantifying performance using cross-validation as well as a held-out test set. An artificial neural network model trained on the raw spectra was also tested. Promising pipelines were fine-tuned via Bayesian hyperparameter optimization using cross-validation loss and training with class-specific weights to counter data set imbalance. The most reliable method for utilizing impedance in this work was the selection of two optimal frequencies through an exhaustive search, resulting in about 2% mean absolute error on test data for both Gaussian process and random forest model architectures. Interrogation of a variety of models reveals critical frequencies of 100 Hz and 103 Hz for this data set, though the optimal set of frequencies is not necessarily intuitive, i.e., the best performing models are not simply those that use impedance at frequencies that have the highest correlation to the relative discharge capacity. The best performing model is an ensemble model, which is able to predict battery capacity with 1.9% mean absolute error for unseen cells using impedance recorded at a variety of temperatures and states-of-charge.

battery↗

Peak Wind Tool for General Forecasting

The expected peak wind speed of the day is an important forecast element in the 45th Weather Squadron's (45 WS) daily 24-Hour and Weekly Planning Forecasts. The forecasts are used for ground and space launch operations at the Kennedy Space Center (KSC) and Cape Canaveral Air Force Station (CCAFS). The 45 WS also issues wind advisories for KSC/CCAFS when they expect wind gusts to meet or exceed 25 kt, 35 kt and 50 kt thresholds at any level from the surface to 300 ft. The 45 WS forecasters have indicated peak wind speeds are challenging to forecast, particularly in the cool season months of October - April. In Phase I of this task, the Applied Meteorology Unit (AMU) developed a tool to help the 45 WS forecast non-convective winds at KSC/CCAFS for the 24-hour period of 0800 to 0800 local time. The tool was delivered as a Microsoft Excel graphical user interface (GUI). The GUI displayed the forecast of peak wind speed, 5-minute average wind speed at the time of the peak wind, timing of the peak wind and probability the peak speed would meet or exceed 25 kt, 35 kt and 50 kt. For the current task (Phase II ), the 45 WS requested additional observations be used for the creation of the forecast equations by expanding the period of record (POR). Additional parameters were evaluated as predictors, including wind speeds between 500 ft and 3000 ft, static stability classification, Bulk Richardson Number, mixing depth, vertical wind shear, temperature inversion strength and depth and wind direction. Using a verification data set, the AMU compared the performance of the Phase I and II prediction methods. Just as in Phase I, the tool was delivered as a Microsoft Excel GUI. The 45 WS requested the tool also be available in the Meteorological Interactive Data Display System (MIDDS). The AMU first expanded the POR by two years by adding tower observations, surface observations and CCAFS (XMR) soundings for the cool season months of March 2007 to April 2009. The POR was expanded again by six years, from October 1996 to April 2002, by interpolating 1000-ft sounding data to 100-ft increments. The Phase II developmental data set included observations for the cool season months of October 1996 to February 2007. The AMU calculated 68 candidate predictors from the XMR soundings, to include 19 stability parameters, 48 wind speed parameters and one wind shear parameter. Each day in the data set was stratified by synoptic weather pattern, low-level wind direction, precipitation and Richardson Number, for a total of 60 stratification methods. Linear regression equations, using the 68 predictors and 60 stratification methods, were created for the tool's three forecast parameters: the highest peak wind speed of the day (PWSD), 5-minute average speed at the same time (A WSD), and timing of the PWSD. For PWSD and A WSD, 30 Phase II methods were selected for evaluation in the verification data set. For timing of the PWSD, 12 Phase\I methods were selected for evaluation. The verification data set contained observations for the cool season months of March 2007 to April 2009. The data set was used to compare the Phase I and II forecast methods to climatology, model forecast winds and wind advisories issued by the 45 WS. The model forecast winds were derived from the 0000 and 1200 UTC runs of the 12-km North American Mesoscale (MesoNAM) model. The forecast methods that performed the best in the verification data set were selected for the Phase II version of the tool. For PWSD and A WSD, linear regression equations based on MesoNAM forecasts performed significantly better than the Phase I and II methods. For timing of the PWSD, none of the methods performed significantly bener than climatology. The AMU then developed the Microsoft Excel and MIDDS GUls. The GUIs display the forecasts for PWSD, AWSD and the probability the PWSD will meet or exceed 25 kt, 35 kt and 50 kt. Since none of the prediction methods for timing of the PWSD performed significantly better thanlimatology, the tool no longer displays this predictand. The Excel and MIDDS GUIs display forecasts for Day-I to Day-3 and Day-I to Day-5, respectively. The Excel GUI uses MesoNAM forecasts as input, while the MIDDS GUI uses input from the MesoNAM and Global Forecast System model. Based on feedback from the 45 WS, the AMU added the daily average wind speed from 30 ft to 60 ft to the tool, which is one of the parameters in the 24-Hour and Weekly Planning Forecasts issued by the 45 WS. In addition, the AMU expanded the MIDDS GUI to include forecasts out to Day-7.

Barrett, Joe H., III↗

Physics-Based Methods of Failure Analysis and Diagnostics in Human Space Flight

The Integrated Health Management (IHM) for the future aerospace systems requires to interface models of multiple subsystems in an efficient and accurate information environment at the earlier stages of system design. The complexity of modern aeronautic and aircraft systems (including e.g. the power distribution, flight control, solid and liquid motors) dictates employment of hybrid models and high-level reasoners for analysing mixed continuous and discrete information flow involving multiple modes of operation in uncertain environments, unknown state variables, heterogeneous software and hardware components. To provide the information link between key design/performance parameters and high-level reasoners we rely on development of multi-physics performance models, distributed sensors networks, and fault diagnostic and prognostic (FD&P) technologies in close collaboration with system designers. The main challenges of our research are related to the in-flight assessment of the structural stability, engine performance, and trajectory control. The main goal is to develop an intelligent IHM that not only enhances components and system reliability, but also provides a post-flight feedback helping to optimize design of the next generation of aerospace systems. Our efforts are concentrated on several directions of the research. One of the key components of our strategy is an innovative approach to the diagnostics/prognostics based on the real time dynamical inference (DI) technologies extended to encompass hybrid systems with hidden state trajectories. The major investments are into the multiphysics performance modelling that provides an access of the FD&P technologies to the main performance parameters of e.g. solid and liquid rocket motors and composite materials of the nozzle and case. Some of the recent results of our research are discussed in this chapter. We begin by introducing the problem of dynamical inference of stochastic nonlinear models and reviewing earlier results. Next, we present our analytical approach to the solution of this problem based on the path integral formulation. The resulting algorithm does not require an extensive global search for the model parameters, provides optimal compensation for the effects of dynamical noise, and is robust for a broad range of dynamical models. In the following Section the strengths of the algorithm are illustrated illustrated by inferring the parameters of the stochastic Lorenz system and comparing the results with those of earlier research. Next, we discuss a number of recent results in application to the development of the IHM for aerospace system. Firstly, we apply dynamical inference approach to a solution of classical three tank problems with mixed unknown continuous and binary parameters. The problem is considered in the context of ground support system for filling fuel tanks of liquid rocket motors. It is shown that the DI algorithm is well suited for successful solution of a hybrid version of this benchmark problem even in the presence of additional periodic and stochastic perturbation of unknown strength. Secondly, we illustrate our approach by its application to an analysis of the nozzle fault in a solid rocket motor (SRM). The internal ballistics of the SRM is modelled as a set of one-dimensional partial differential equations coupled to the dynamics of the propellant regression. In this example we are specifically focussed on the inference of discrete and continuous parameters of the nozzle blocking fault and on the possibility of an application of the DI algorithm to reducing the probability of "misses" of an on-board FD&P for SRM. In the next section re-contact problem caused by first stage/upper stage separation failure is discussed. The reaction forces imposed on the nozzle of the upper stage during the re-contact and their connection to the nozzle damage and to the thrust vector control (TVC) signal are obtained. It is shown that transient impact induced torquean be modelled as a response of an effective damped oscillator. A possible application of the DI algorithm to the inference of damage parameters and predicting fault dynamics ahead of time using the actuator signal is discussed. Finally, we formulate Bayesian inferential framework for development of the IHM system for in-flight structural health monitoring (SHM) of composite materials. We consider the signal generated by piezoelectric actuator mounted on composite structure generating elastic waves in it. The signal received by the sensor is than compared with the baseline signal. The possibility of damage inference is discussed in the context of development of the SHM.

Smelyanskiy, Vadim N.↗

Toward Unified Autonomous Scattering Experiments: A Cross-Facility Case Study at ALS and PETRA III

Autonomous experiments rely on the integration of control, data acquisition, analysis, and decision-making frameworks. While such systems have been demonstrated at individual facilities, adapting them to additional instruments remains challenging due to differences in local infrastructure. We present a modular workflow that connects existing open-source tools for data access (Tiled), workflow orchestration (Prefect), analysis and visualization (pyFAI, Plotly Dash), and Gaussian-process-based adaptive sampling (gpCAM) into a unified framework for autonomous scattering experiments. The same configuration operates across two synchrotron beamlines (ALS 7.3.3 and PETRA III P03) with only minimal facility-specific adjustments, as shown in proof-of-concept demonstrations. This validates that a consistent design emphasizing modularity and shared interfaces can ease deployment across diverse experimental environments. The resulting framework provides a flexible foundation for extending autonomous control and analysis capabilities beyond a single beamline or instrument.

47 OTHER INSTRUMENTATION↗

Open-source Numerical Modeling of Solidification Cracking Susceptibility: Application to Refractory Alloy Systems

Introduction. Alloys such as aluminum, nickel-base, and austenitic stainless steels are susceptible to solidification cracking during welding and 3D printing. Compositional optimization is one method used to effectively mitigate solidification cracking of those alloy systems. With the surge in hypersonic and in-space propulsion activities, refractory metals (Nb, Mo, Ta, W, and Re) and their alloy derivatives are increasing in importance due to their extreme high melting point and retention of high-temperature strength; however, their chemistry was most typically optimized to promote ductility during mechanical operations such as drawing and forming. Welding of such alloys has been a challenge due to a number of issues including solidification cracking, atmospheric contamination (O, C, and N), as well as a shift in ductile-to-brittle transition to higher temperature following grain growth induced by welding. Compositional optimization of refractory alloys for solidification cracking resistance in particular is desirable as their usage increases with the advent of advanced manufacturing methods such as 3D printing. This work evaluates the effect of compositional variation in refractory metal systems on the solidification cracking susceptibility with the goals of optimizing existing alloys and joining process techniques, and formulating new alloys with increased solidification cracking resistance. Experimental Procedures. A python code was developed in a Jupyter notebook environment (Michael and Sowards, 2023) to facilitate the calculation of crack susceptibility index proposed by Kou (2015). Composition is entered as a single point, or as a 1-D or 2-D array. The notebook calls pycalphad (Otis and Liu, 2017 and Bocklund et al, 2020) to calculate the evolution of fraction solid as a function of temperature (under either Scheil or equilibrium assumptions) and then evaluates steepness of the fraction solid curve near the terminal stage of solidification to predict solidification cracking resistance. Open source thermodynamic databases available at online repositories are used (van de Walle). The process is setup in an automated fashion to generate plots that show variation in solidification cracking susceptibility according to composition on 1-D line plots or 2-D contour plots. The Jupyter notebook and crack susceptibility algorithm was also integrated with a widely used commercial CALPHAD code for validation and alloy exploration. Results and Discussion. The crack susceptibility model was first validated against a series of refractory alloy compositions evaluated in past work which utilized a specialized Varestraint test built inside a vacuum chamber environment (Lessman and Gold, 1971). The alloys tested in the Varestraint apparatus included T-111 (Ta-8W-2Hf), ASTAR-811C (Ta-8W-1Re-0.7Hf-0.025C), FS-85 (Nb-27Ta-10W-1Zr), T-222 (Ta-9.6W-2.4Hf-0.01C), Ta-10W, B-66 (Nb-5Mo-5V-1Zr), and SCb-291 (Nb-10W-10Ta). The initial test of the model showed a strong correlation with empirical Varestraint data, i.e., a Spearman rank correlation between model predictions and hot cracking measurements was observed to be greater than 0.8. Following the validation, a set of refractory metal binary mixtures was investigated to evaluate sensitivity of Nb, Mo, W, and Ta to C, N, and O content. A series of plots were produced that suggest ppmw ranges of C, N, and O where solidification cracking increases significantly and reaches a maximum. Also comparative ranking of each primary refractory metal to each interstitial was produced. For example C produces greater cracking response in Mo whereas O produces greater cracking response in Ta and Nb. Such compositional values have utility in setting limits on pickup of these interstitial elements during welding and printing rather than using a one-size-fits-all approach. Furthermore, the results have use in determining additive powder recycling requirements, which is especially pertinent for refractory metal powders due to their high cost compared to conventional alloys. Another application created thousands of hypothetical alloys within the nominal specified composition range of two widely used refractory alloys C103 (Nb-10Hf-1Ti) and TZM (Mo-0.5Ti-0.1Zr). The cracking index was calculated for the alloys and results were fed into machine learning regression techniques including Multiple Linear Regression, Ridge Regression, and Lasso Regression to determine relative potency each alloying element had on computed solidification cracking index. A series of linear equations were produced that relate composition of C103 and TZM to solidification cracking index. The crack susceptibility of C103 for example is described by an equation of the form: cracking index ~ O + 0.667*C + 0.635*N + 0.00037*Ta – 0.0008*Hf (in wt.%) From that equation, it is clear that O has strong propensity to induce solidification cracking. Interestingly, Hf is shown to reduce calculated cracking response. Finally, realizing the potential of this method to discover new refractory alloy formulations across the period table that have low solidification cracking sensitivity, the code was applied to new untested alloy systems including W-Zr-C, W-Ta-C, and others. Conclusions. In summary, an open source numerical method has been developed using Python code to calculate Kou’s crack susceptibility index. The method was applied to refractory metals which are inherently difficult to study from a weldability testing standpoint since inert shielding gas is not sufficient and welding is typically done in vacuum, especially in light of findings presented here where oxygen has profound influence on solidification cracking. This work revealed the effect of compositional variations on a series of refractory metals and showed the framework defined here will be useful in 1) the development of new alloys that have improved weldability and 3D printability, 2) placing compositional limits on existing alloys, and 3) ensuring adequate controls of manufacturing processes such as 3D printing where powder reuse is critical. Keywords. pycalphad; Python; refractory metals; solidification cracking. References. B. Bocklund et. al. (2020) http://doi.org/10.5281/zenodo.3630657. S. Kou. (2015) https://doi.org/10.1016/j.actamat.2015.01.034. G.G. Lessmann and R.E. Gold. Welding Journal, issue 1, pp. 1-s – 8-s (1971). F.N. Michael and J.W. Sowards. NASA/TM-20230002218 (2023). R. Otis and Z.-K. Liu. (2017) http://doi.org/10.5334/jors.140. A. Van de Wallle et. al. (2018) https://doi.org/10.1016/j.calphad.2018.04.003.

pycalphad↗

A Machine Learning Approach to Improve Air Traffic Management Initiatives

Collaborating closely with commercial air carriers and related organizations, the Federal Aviation Administration(FAA) regulates air traffic and ensures the safety and efficiency of air operations. Air traffic controllers make strategic decisions, such as delaying, rerouting, or canceling flights, partly based on guidance provided by the FAA’s Air TrafficControl System Command Center (ATCSCC). The guidance includes, among other things, control measures known asTraffic Management Initiatives (TMIs) designed to enhance safety and improve operational efficiency. TMIs play a crucial role in managing the demand and capacity within the U.S. National Airspace System (NAS). Two major TMIs that are routinely used (primarily to mitigate the adverse effects of bad weather) are Ground Delay Programs (GDPs) andGround Stops (GSs). In a GDP, flights destined for airports facing thunderstorm activity experience delays at their origin airports. This proactive approach minimizes the risk of routing aircraft through hazardous weather conditions and also replaces (fuel burning) airborne delays with ground delays. In a GS, a temporary restriction is imposed on the departure or arrival of aircraft at a specific airport or within a designated airspace. Although other TMIs (e.g., miles-in-trail) are also implemented as part of (air) traffic flow management in the NAS, the focus of this work is on GDPs and GSs. Since TMIs, by design, lead to flight delays or cancellations, it is crucial to put in place the right set of parameters(e.g., scope and duration of the GDP). For example, when the end time of a GDP extends beyond what is necessary, it imposes unnecessary delays on departing flights. This situation could occur as a result of inaccurate prediction of the(required) duration of the GDP based on the weather forecast. On the other hand, if a GDP ends prematurely before the underlying capacity constraints are resolved at the destination airport, it may result in airborne holding. The delicate balance lies in matching the termination of the GDP precisely with the resolution of capacity constraints, avoiding both the imposition of unnecessary ground delays and the need for airborne holding due to premature program termination.Failing to specify the right parameters for TMIs also leads to flight delays, creating a significant obstacle in managing the increasing traffic volumes causing increased work load for the controllers. To address this issue, we propose the integration of Machine Learning (ML) models in the traffic flow management(TFM) pipeline. In current operations, decisions are made by human experts based on extensive training, historical patterns, available traffic and weather data. Since we have an abundance of data from past events that tell us the likely impact of various TMIs, by ingesting historical data, properly trained ML models can offer valuable insights and aid human decision-making. With the FAA increasingly exploring advanced analytics, ML emerges as a focal point for enhancing TFM within the National Airspace System (NAS). As a first step, this study aims to provide traffic controllers with decision-making support for the issuance and adjustment of TMIs. Data analytics and machine learning have been previously employed to address some of the challenges associated with TMIs. Numerous studies have concentrated on various facets of TMI issuance, exploring factors influencing TMI parameters, including arrival rate, airport capacity, and delay prediction. For example, using weather forecasts, several statistical methods were used to produce probabilistic capacity profiles which in conjunction with deterministic models provided insights into the GDP planning process [1–4]. The downside of using deterministic models is that they rely on fixed inputs and predetermined rules, which lack the ability to account for the inherent uncertainty and variability present in real-world scenarios. In a separate series of studies, researchers aimed to predict the occurrences of GDPs and GSs. The majority of these studies utilized various supervised learning methods, including Decision Trees, Naive Bayes, Support VectorMachines, and Random Forests to analyze the influence of weather conditions and arrival demand on TMI incidents[5–8]. However, these studies primarily focused on predicting the incidence of TMIs without explicitly addressing the scope of TMIs, including their duration and their geographical coverage. Furthermore, the emphasis of these studies was largely on GDPs, given their higher frequency and longer duration when compared to GSs. A limited number of studies focused on predicting the parameters of TMIs, specifically addressing their duration and extent. In one such study focusing on optimizing the TMI parameters at San Francisco International Airport (SFO),the authors utilized a probabilistic forecast of fog [9]. They simulated various capacity scenarios based on the (fog)burn-off forecasts, selecting GDP parameters that minimized airborne and overall ground delays. However, this approach exclusively emphasizes stratus (fog) burn-off as the primary determinant of GDP and GS, neglecting other influential factors like severe weather events, runway closures, lower capacity than traffic demand, and other important variables. Given the complexity of predicting the TMI and determining its scope, we seek a more holistic approach. We aim to consider all significant factors that could impact TMIs and their parameters. What sets this research apart is the fusion of all data sources relevant to the issuance and adjustment of TMIs and it represents the first comprehensive attempt to optimize TMIs in this manner. Since this comprehensive solution involves various aspects, we break down the problem into smaller components and input all parameters into a unified model called the “TMI Adjuster”. Figure 1 shows the overall framework and the list of datasets used in each model. The objective of the TMI Adjuster module is to deliver reliable, consistent and expedited recommendations for the progression, adjustment, and termination of TMIs. The ML solution entails developing a pipeline capable of predicting the necessity of a TMI (e.g., GS or GDP) along with its various parameters. For example, in the case of a GS, this includes the scope of the GS either in terms of distance from the destination airport or based on pre-defined airspace sectors. Here, scope refers to those regions and departing airports that are subject to the GS. In this paper, we concentrate on the issuance of GSs in the three major airports in the New York area — LaGuardia(LGA), John F. Kennedy International (JFK), and Newark Liberty International (EWR). We fuse traffic, weather and other relevant aviation data from years 2017 to 2019 to train and validate the ML models. In particular, we use the following datasets: •Terminal Aerodrome Forecast (TAF): meteorological forecasts specific to each airport, issued four times a day, covering predefined time periods. •TMI data: includes all GSs and GDPs along with their respective parameters. •Aviation System Performance Metrics (ASPM): includes traffic related data such as aircraft delays, arrival, and departure rates. •Notices to Airmen (NOTAMs): utilized to extract runway closure data and manage interdependencies between terminals in close proximity. •Flight cancellation data •Airspace Flow Programs (AFP): includes information on flight airborne holdings caused by TMIs. The data preprocessing entails transforming ASPM, TMI, AFP, NOTAMs, and weather data into an hourly format and consolidating all datasets by merging them based on date and time as the primary key. The TMI Adjuster framework comprises two parallel models: one dedicated to GS and a second model focused on GDP. As previously mentioned, our specific focus is on the GS model as a multi-classification problem. In this framework, each data point of the GS model input summarizes ten hours of data. Specifically, the data loader for the GS model generates the input and output of the model as follows: at a given time step, the input includes the actual traffic, weather, and TMI data from the two-hour window before the time step, alongside the weather forecast and scheduled traffic for the next 8 hours starting from the time step. Based on this information, the output of the GS model for each time interval consists of three dimensions. The first dimension represents a binary decision on whether there should be a GS in place for the next hour or not. The second dimension is related to the scope of the GS in the United States, and the third dimension is related to the scope of the GS in Canada (i.e., to determine if the GS impacts airports in Canada).One of the challenges with TMI modeling is the sparsity of TMI events, particularly regarding its scope. To address this challenge in the scope of the GS model output, we implement grouping. The GS scope for the US region is defined based on a list of centers that should be included when the GS is in place. With 20 centers in the US, we utilized historical data to group them into 4 categories. In particular, we summarized our historical data in a graph format where nodes represent centers, and link weights are defined based on the co-occurrence of centers in the scope parameter ofTMIs. By identified strongly connected components in this graph, we were able to partition the centers into four groups. We consider two model structures for the GS Model. Firstly, a hierarchical classification model [10], where the human decision-making for a GS is of hierarchical nature. The decision-maker first decides whether there is a need fora GS, and if the answer is yes, determines the scope. A hierarchical classification model organizes the problem into a class hierarchy, typically a tree or a Directed Acyclic Graph (DAG) structure, and considers the dependency of the decision in the previous step to the next component [10]. Here, we employ the local classifier per level approach, which involves training one multi-class classifier for each level of the class hierarchy. The second structure is the independent structure. In this setting, as the name suggests, we do not consider the dependency of the decisions in the different dimensions of the output of the model. Instead, for each dimension, we train a multi-class classifier independently. Table 1 summarizes GS model statistics for training, validation and testing. The table documents the effect of limiting data to the time steps when there was actually a TMI in place or when a TMI had just terminated. This resulted in a more balanced distribution of the GS class(GS positive class)versus “No GS”(GS negative class), which might help the training process. While JFK and LGA follow very similar distributions, with 40% and 42% GS positive class respectively, EWR has proportionally fewer GS incidents at 28%. Our subsequent phase involves evaluating the performance of both hierarchical structure and independent structure using different state-of-the-art multi-class classifier models such as Random Forest, Decision Trees, K-nearest Neighbors, and Logistic Regression and forecast the duration and scope of the GSs.

Farzan Masrour Shalmani↗