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DOE OSTI2022

Precursor Analysis Report: Cyber Attack on Thyssenkrupp Blast Furnace 2014

The Cyber Attack on Thyssenkrupp Blast Furnace 2014 Precursor Analysis Report leverages publicly available information about the Thyssenkrupp Steel Mill cyber attack and catalogs anomalous observables for each technique employed in the attack. This analysis is based upon the methodology of the Cybersecurity for the Operational Technology Environment (CyOTE) program. In December 2014, the German Government’s Federal Office for Information Security (BSI) released a report detailing a cyber attack on a German steel mill that occurred earlier that year, though exact dates and details of the attack were not revealed. While the report did not specify the name of the company, multiple sources identified the victim as one of Europe’s largest steel manufacturers, Thyssenkrupp AG. Further, Thyssenkrupp announced on 16 May of that year that Europe’s largest blast furnace, “Schwelgern 2,” located at its facility in Duisburg, Germany, would be offline for several weeks for repairs and upgrades, suggesting Schwelgern 2 was likely the target of the attack. The attack began in early 2014, when adversaries infiltrated the victim steel mill’s Information Technology (IT) network via a spearphishing campaign, then worked their way into the Operational Technology (OT) environment, where they executed software that caused denial of service, denial of control, and eventually a loss of control. This led to the blast furnace shutting down without proper safety procedures, resulting in catastrophic physical damage. No lives were lost in the incident, but ThyssenKrupp suffered $4 million in damage to the blast furnace and an additional $6 million in lost revenue. The adversaries required specialized knowledge and expertise in steel production, which enabled them to compromise a variety of internal systems and components across both IT and OT networks. The attack also demonstrated detailed knowledge of the industrial control systems (ICS) and production processes being used. This combination resulted in one of the earliest known publicly reported cybersecurity incidents resulting in physical damage to ICS equipment. Researchers and analysts identified 19 unique techniques (used in a sequence of 20 steps) utilized during the attack with a total of 454 observables using MITRE ATT&CK® for Industrial Control Systems. The CyOTE program assesses observables accompanying techniques used prior to the triggering event to identify opportunities to detect malicious activity. If observables accompanying the attack techniques are perceived and investigated prior to the triggering event, earlier comprehension of malicious activity can take place. Fifteen of the identified techniques used during the Thyssenkrupp cyber attack were precursors to the triggering event. Analysis identified 369 observables associated with these precursor techniques, 316 of which were assessed to have an increased likelihood of being perceived in the 120 days preceding the triggering event. The response and comprehension time could have been reduced if the observables had been identified earlier. The information gathered in this report contributes to a library of observables tied to a repository of artifacts, data sources, and technique detection references for practitioners and developers to support the comprehension of indicators of attack. Asset owners and operators can use these products if they experience similar observables or to prepare for comparable scenarios.

45 MILITARY TECHNOLOGY, WEAPONRY, AND NATIONAL DEF↗

NASA NTRS2018

The OpenSE Cookbook: A Practical, Recipe Based Collection of Patterns, Procedures, and Best Practices for Executable Systems Engineering for the Thirty Meter Telescope

The OpenSE Cookbook is an open-sourced collection of patterns, procedures, and best practices targeted for systems engineers who seek guidance on applying model-based and executable systems engineering (MBSE) using SysML. Its content has emerged from the system level modeling effort on the European Framework Program 6 (FP6) and the Thirty Meter Telescope (TMT). The TMT MBSE approach applied the Executable Systems Engineering Method (ESEM) and the open-source Engineering Environment (OpenMBEE) to specify, analyze, and verify requirements of TMT’s Alignment and Phasing System (APS) and the Narrow Field Infrared Adaptive Optics System (NFIRAOS). In these applications, implicit dependencies are made explicit in a formal model through the use of ESEM, OpenMBEE, and SysML modeling constructs. The value proposition for applying this MBSE approach was to establish precise requirements and fine-grained traceability to system designs, and to verify key requirements beginning early in development. The integration of ESEM and the OpenMBEE tooling infrastructure (providing linked-data and web-operability) is a significant added value for the MBSE approach. The APS is responsible for the overall pre-adaptive optics wavefront quality, using starlight to measure wavefront errors and align the TMT optics. In the formally integrated and executable SysML model, simulations are performed to analyze the impact of changed requirements and verify specified constraints for various operational scenarios. The APS team used several modeling patterns to capture information such as the requirements, the operational scenarios, involved subsystems and their interaction points, the estimated or required time durations, and the mass and power consumption. Adaptive optics systems are designed to sense real-time atmospheric turbulence and correct the telescope’s optical beam to remove its effect. The system model for the adaptive optics operational modes was developed to capture sequence behaviors and operational scenarios to run Monte-Carlo simulations for verifying acquisition time, observing efficiency, and operational behavior requirements. The model is particularly useful for investigating the effect of parallelization, identifying interface issues, and re-ordering sequence acquisition tasks. A former version of the Cookbook (which is now updated to MBSE challenges, goals, and lessons learned) included modeling guidelines and conventions for all system aspects, hierarchy levels, and views, which were developed during for the Active Phasing Experiment (APE), an opto-mechatronical system technology demonstrator for the Extremely Large Telescope (ELT). The Cookbook utilizes the above mentioned system models as real-world case-studies to demonstrate and document the applications of the recipes, providing also instructional examples and addressing the available tooling support. The Cookbook is accompanied by a number of SysML models and aodel libraries which facilitate model authoring and maintenance. The Cookbook covers the different aspects of Systems Engineering such as management of Requirements, Design (behavior and structure), Interfaces, Interdisciplinary Integration, Analysis, Trade Studies, and Technical Resources. This paper presents the background, motivation, architecture, and highlights some key content of the Cookbook. For example, interface management, error budget management, requirements verification, Monte Carlo driven analysis, and timing analysis of operational scenarios. The paper discusses how the capabilities of OpenMBEE contributed significantly to the adoption of executable systems engineering.

Brower, Eric↗

DOE OSTI2025

Deuteron-induced reactions on natural Zr from threshold to 50 MeV: production of 86g Y

Two stacks of thin Zr foils were irradiated with 30 and 50 MeV deuterons, respectively, using the Lawrence Berkeley National Laboratory 88-Inch Cyclotron, and 19 excitation functions for nat Zr(d,x) reactions were measured over a beam energy range of 6.3–47.64 MeV, where the independent cross sections for nat Zr(d,x) 88 Nb and nat Zr(d,x) 86m,g Y were measured for the first time. The well-characterized nat Fe(d,x) 56 Co, nat Ni(d,x) 56 Co, nat Ni(d,x) 58 Co, nat Ni(d,x) 61 Cu, nat Ti(d,x) 46 Sc and nat Ti(d,x) 48 V monitor reactions were used to determine the deuteron beam current throughout the stacks. All cross sections were determined using High Purity Germanium (HPGe) detector γ-ray spectroscopy. A variance minimization technique was employed to simultaneously constrain the deuteron beam currents with multiple monitor reactions, thus reducing systematic uncertainties. An additional 16 channels are reported for reactions on the nickel, titanium, and iron monitor foils, leading to a total of 35 excitation functions, with seven reaction channels reported for the first time in this work. The measured excitation functions are compared to calculations provided by the reaction modeling codes TALYS – 2.0, ALICE – 2020, CoH – 3.5.3 and EMPIRE – 3.2.3, as well as the TENDL – 2023 data library. The degree of agreement between theory and experiments is discussed. The possible production of the important PET radionuclide 86g Y via the nat Zr(d,x) route was critically examined. The physical yields for nat Zr(d,x) 86 Y and other yttrium isotopes produced were calculated and compared to other production pathways. Due to high-level of associated radionuclide impurities, this route cannot deliver 86g Y suitable for medical applications.

86gY↗

NASA NTRS2012

The Role of (Delta)C-13 in the Search for Reduced Organics on the Surface of Mars

The capabilities of the Sample Analysis at Mars (SAM) instrument suite on the Mars Science Laboratory (MSL) to detect trace amounts of organic carbon compounds are unprecedented, and MSL may be the first mission to reveal the presence of organic carbon on Mars. The search for reduced organic carbon on Mars is inextricably tied to: a) the preservation potential of the environment from which we take a solid sample, and b) the evolved gas analysis (EGA) techniques used by SAM to release volatiles from this solid sample. Several prospective targets have been identified for sample analysis at Gale Crater. Stratigraphic sequences of phyllosilicates and sulfates at Gale are thought to represent a period of global climate transition from a moderate pH lacustrine environment to an evaporitic environment, both of which could sequester organic carbon (Thomson et al. 2011). The sediment mound in Gale Crater contains a range of lithologies suggesting changes in redox conditions, and evidence of both lacustrine and fluvial depositional processes, which may have transported organic carbon from the layer in which it formed and resulted in its preservation elsewhere within the crater (Anderson and Bell, 2010). Inverted channel fills suggest erosion resistant material that could serve to preserve organics originally deposited in a low energy aqueous environment. The lithology sampled will affect not only the preservation of organics, but also our ability to detect organics during our evolved gas analysis, based on the sample matrix. For example, reduced organics may be trapped in the mineral structure, and thermal evolution of these organics will occur during thermal decomposition of the host mineral. If organics are occluded in minerals that have very high thermal decomposition temperatures, they may be, in effect, "too well preserved," and difficult to detect during EGA. Alternatively, the possible presence of perchlorate, or other strong oxidants in surface regolith, may result in destruction of structural information identifying organic molecules before reaching the QMS on SAM via oxidation to C02 during heating. If this is the case, the stable carbon isotopic composition (delta 13C) of the C02 evolved and measured by the Tunable Laser Spectrometer (TLS) on SAM may help identify the presence of organics. On Earth, biological activity can cause large fractionations of 13C/12C, which can preserved in sedimentary deposits and distinguish the organic products of biotic processes from inorganic atmospheric and geological reservoirs. It is plausible that similar fractionations could occur on Mars and be preserved in reduced organic matter in sediments. Bulk delta 13C measurements alone may not reveal a signature of trace organic carbon that may be present along with inorganic carbon. If both organic and inorganic carbon compounds are present, it may be possible to detect the organic carbon by comparing the 013C of pyrolysis and combustion experiments. The TLS on SAM is capable of obtaining high precision measurements of delta13C from C02 evolved during pyrolysis and combustion of solid regolith samples. Because carbonates are expected to be present at abundances of 0.1-1 % in Martian soil, and organics in the ppb range (Webster and Mahaffy, 2011), analog samples must represent this mix of reduced organic carbon and carbonate. The work presented here will examine the use of delta13C of C02 produced during combustion of bulk Mars analog samples as a proxy for detection of reduced organic carbon.

Stern, J. C.↗

DOE OSTI2022

Towards a neutron multiplicity measurement with the Accelerator Neutrino Neutron Interaction Experiment

The Accelerator Neutrino Neutron Interaction Experiment (ANNIE) is a 26 ton Gadolinium (Gd)-loaded water Cherenkov detector located on the Booster Neutrino Beam line at Fermilab. Its main goals are the measurement of the neutron multiplicity in neutrino-nucleus interactions as well as the cross-section of Charged Current Quasi-Elastic (CCQE) neutrino interactions on water. Besides the physics goals, the experiment also aims to be a testbed for new technologies such as Large Area Picosecond Photodetectors (LAPPDs) and Water-based Liquid Scintillators (WbLS). This thesis presents a preliminary measurement of the neutron multiplicity with {ANNIE}, using an analysis conducted on a fraction of the 2021 beam year. As preparatory measures, the efficiency of ANNIE's Front Muon Veto (FMV) was determined to be {$\bar{\varepsilon}_{\mathrm{FMV}} = (95.6 \pm 1.6)\%$} while the average efficiency for active scintillator paddles in the Muon Range Detector (MRD) was found to be {$\bar{\varepsilon}_ {\mathrm{MRD}} = (92.1 \pm 7.9)\%$}. Furthermore, the simulation framework used for ANNIE was validated and adapted to reproduce the experimental data by comparing the detector response for samples of Michel electrons, Americium Beryllium neutrons, and through-going muons. The analysis finds average neutron yields of {$\bar{n}_{\mathrm{data}} (\mathrm{beam}) = (0.272 \pm 0.010_{\mathrm{stat}})$} for an inclusive set of all identified muon neutrino candidates and {$\bar{n}_{\mathrm{data}} (\mathrm{beam,FV}) = (0.287 \pm 0.044_{\mathrm{stat}})$ for interactions which happened inside of the Fiducial Volume of ANNIE, which was optimized to increase the neutron detection acceptance. The presented neutron multiplicity values represent the number of detected neutrons after all event selection cuts and are not yet corrected for the neutron detection efficiency. An equivalent analysis on a simulated beam sample predicts neutron yields of $\bar{n}_{\mathrm{MC}}(\mathrm{beam}) = (0.515 \pm 0.0 07_{\mathrm{stat}})$ and $\bar{n}_{\mathrm{MC}}(\mathrm{beam,FV}) = (0.627 \pm 0.031_{\mathrm{stat}})$, indicating that the models tend to overpredict the number of neutrons produced in such interactions. Systematic errors have been briefly considered to contribute {$\sigma_{\mathrm{sys,FMV}} \sim 0.01\,$neutrons/$\nu$-interaction} due to the slight FMV inefficiency and {$\sigma_{\mathrm{sys,n}} \sim 0.05\,$neutrons/$\nu$-interaction} due to the neutron detection efficiency. Simulation studies further highlighted the importance of neutron detection in Diffuse Supernova Background (DSNB) searches. A combination of neutron tagging and Convolutional Neural Networks was found to reduce the most relevant Neutral Current Quasi-Elastic (NCQE) interaction background below the signal level, achieving a Signal-to-Background ratio of 4:1. In a further study, we investigated the positive impact of a deployment of a WbLS target on the energy reconstruction in ANNIE. WbLS provides a scintillation signal from hadronic recoils in addition to the charged lepton that can be included in neutrino energy reconstruction. It was found that a deployed WbLS volume in ANNIE improves the neutrino energy reconstruction from 14\% to 12\%, with the potential of going beyond this if more sophisticated reconstruction algorithms are developed in the future.

72 PHYSICS OF ELEMENTARY PARTICLES AND FIELDS↗

NASA NTRS1999

Autonomous Command Operations of the WIRE Spacecraft

This paper presents operational innovations which will be introduced on NASA's Wide Field Infrared Explorer (WIRE) mission. These innovations include an end-to-end design architecture for an autonomous commanding capability for the uplink of command loads during unattended station contacts. The WIRE mission is the fifth and final mission of NASA's Goddard Space Flight Center Small Explorer (SMEX) series to be launched in March of 1999. Its primary mission is the targeting of deep space fields using an ultra-cooled infrared telescope. Due to its mission design WIRE command loads are large (approximately 40 Kbytes per 24 hours) and must be performed daily. To reduce the cost of mission operations support that would be required in order to uplink command loads, the WIRE Flight Operations Team has implemented all autonomous command loading capability. This capability allows completely unattended operations over a typical two-day weekend period. The key factors driving design and implementation of this capability were: 1) integration with already existing ground system autonomous capabilities and systems, 2) the desire to evolve autonomous operations capabilities based upon previous SMEX operations experience - specifically the TRACE mission, 3) integration with ground station operations - both autonomous and man-tended, 4) low cost and quick implementation, and 5) end-to-end system robustness. A trade-off study was performed to examine these factors in light of the low-cost, higher-risk SMEX mission philosophy. The study concluded that a STOL (Spacecraft Test and Operations Language) based script, highly integrated with other scripts used to perform autonomous operations, was best suited given the budget and goals of the mission. Each of these factors is discussed in addition to use of the TRACE mission as a testbed for autonomous commanding prior to implementation on WIRE. The capabilities implemented on the WIRE mission are an example of a low-cost, robust, and efficient method for autonomous command loading when implemented with other autonomous features of the ground system. They call be used as a design and implementation template by other missions interested in evolving toward autonomous and lower cost operations. Additionally, the WIRE spacecraft will be used as an operational testbed upon completion of its nominal mission later in 1999. One idea being studied is advanced on-board modeling. Advanced on-board modeling techniques will be used to more efficiently display the spacecraft state. This health and safety information could be used by engineers on the ground or could be used by tile spacecraft for its own assessments. Additionally, this same state information could also be input into the event-driven scheduling system, as the scheduling system will need to assess the spacecraft state before undertaking a new activity. Advanced modeling techniques are being evaluated for a number of NASA missions including The Next Generation Space Telescope (NGST), which is scheduled to launch in 2007.

Walyus, Keith↗

DOE OSTI2025

Rapid Bayesian High Entropy Alloy Designs Fabricated via Wire Arc Additive Manufacturing

Purpose: This project seeks to demonstrate a new high-throughput (rapid) alloy design technique applied to creating new high entropy alloys (HEAs) for extreme environments. High entropy alloys shift the design paradigm from being focused on a single principal element (e.g. nickel-based alloys) to target alloys that include high atomic fractions (X >10%) of multiple elements. These HEA materials can exhibit sluggish diffusion and enhanced corrosion resistance, ideal for potential applications in advanced ultra supercritical (A-USC) steam cycles for power generation. Scope: The addition of multiple elements in high atomic fractions creates an enormous design space that cannot easily be investigated by traditional material design strategies such as designed of experiments (DOE). This project utilizes a Bayesian machine learning algorithm that has been modified to work with calculation of phase diagrams (CALPHAD) software. This Bayesian algorithm reduces manual inputs and increase the likelihood of achieving an optimal solution. Compositional inputs to this algorithm will be assessed using existing material property models for high temperature strength and corrosion resistance. The target for alloy performance will be a 15% (~100 ⁰C) increase in allowable service temperature beyond heat-resistant stainless steels while maintaining or improving alloy cost and corrosion resistance. Haynes 230 was selected as a baseline, which is 57 wt% Ni with 22 wt% Cr 14 wt% W, and 2 wt% Mo as solid solution strengtheners. In addition to rapid design via Bayesian machine learning, the alloys were rapidly fabricated using a multi-wire arc additive manufacturing (mWAAM) technique which allows for precise control of alloy composition and assessing of alloy design “windows” to study composition effects. Build speeds for wire-arc additive processes are among the highest for additive technologies enabling rapid and reliable sample fabrication when compared to conventional methods such as arc button melting. The mWAAM samples will be rapidly characterized via instrumented indentation for room temperature modulus and strength and for elevated temperature strength via hot hardness tests. After being screened with hardness testing, potential alloys will be further evaluated with conventional microscopy techniques including scanning electron microscopy (SEM) and transmission electron microscopy (TEM) to assess agreement with modeling results. The most promising compositions will also be evaluated by printing full sized tensile specimens for mechanical behavior tests at elevated temperatures. Results: Bayesian machine learning of a single performance function was initially used to optimize five performance metrics: 1) single phase stability, 2) yield strength, 3) creep resistance (low diffusion coefficient), 4) freezing range (weldability), and 5) material cost. The single performance function was suboptimal as assumptions had to be made about the results while formulating the optimization. A goal-oriented Bayesian optimization strategy (Hanaoka, 2021) was implemented with CALPHAD for use with the five metrics above. This multi-objective Bayesian optimization (MOBO) enabled the design of NiCrCoFe alloys with V and W additions. A base composition of NiCoCr was selected as Ni provides a stable FCC matrix, Cr aids corrosion/oxidation resistance, and Co is a solid-solutions strengthener that also improves creep by increasing the activation energy. Fe helps reduce diffusion coefficients and cost. Finally, V and W were selected for their reasonable solubility and high atomic misfit to aid in solid solution strengthening. Cracking of the mWAAM specimens was an early issue, and the Easton solidification cracking model (Easton et al., 2014a) was selected for addition to the MOBO function. High performing alloys fabricated by mWAAM included Ni 28 Cr 25 Co 26 Fe 15 V 8 and Ni 62 Cr 18 Co 1 Fe 3 W 15 . It was observed that even after adapting the mWAAM process for W, the W did not fully dissolve. To fully evaluate the Ni 62 Cr 18 Co 1 Fe 3 W 15 composition, a cored wire (80-20 NiCr sheath/powder core) was manufactured and printed via WAAM, and HIP’ing was utilized to homogenize and densify the printed alloy. The V and W alloys produced met metrics 1 (solid solution), 4 (solidification cracking), and 5 (cost). However, an unmodeled mechanism of thermal stress cracking was identified in the WAAM produced materials, perhaps exacerbated by the lack of grain boundary strengthening elements (B, C). Conclusions & Recommendations: A high-throughput (rapid) alloy design technique was applied to designing and manufacturing new high entropy alloys (HEAs) for extreme environments utilizing MOBO and mWAAM. The developed process was rapid and effective in addressing the mechanisms included in the model. The lack of grain boundary strengthening element additions (e.g., B, C) was a simplification that likely produced thermal stress cracking that turned into a large part of the investigation. Additions on the order of 0.005 wt% B and 0.05 wt% C likely would have minimized thermal stress grain boundary cracking. Overall, the high throughput design strategy is promising for rapid design of metrics-driven alloys for advanced ultra supercritical (A-USC) steam cycles for power generation. The MOBO and mWAAM process could be commercialized to accelerate metrics-driven alloy design. In addition, the cored-wire process utilized for scale-up is a promising high-volume process for WAAM alloy development and scale-up.

36 MATERIALS SCIENCE↗

NASA NTRS2000

Radiation measurements in low Earth orbit: U.S. and Russian results

The radiation environment in low-Earth orbital flights is complex. It is strongly influenced by altitude, orbital inclination, time within a given solar cycle, flight duration, and shielding configuration. At any specified shielded location, both primary and secondary particles generated by nuclear interactions of primary particles with spacecraft structure are present. In addition, there are atmospheric secondary albedo protons and neutrons. No single detector can adequately measure this complex radiation field, and measurements of very high linear energy transfer target fragmentation products are particularly difficult. Crew radiation exposure have exclusively been measured using passive thermoluminescent detectors (TLDs). The cosmonaut exposures on the Mir station, uncorrected for the TLD inefficiency and neutron contribution, have varied from a low of 2.43 cGy to a high of 8.70 cGy. These correspond to dose rates of 144 microGy d(-1) to 468 microGy d(-1). These are consistent with rates observed by the D2 ion-chamber. Using the rates measured by the D1 chamber, dose rates under 4 cm of water vary from about 60 microGy d-1 to about 350 microGy d(-1). There is variation of about a factor of two between the dose rates at various locations in the same module. There is also a variation of dose rates of about a factor two between various modules. The highest astronaut dose for a Shuttle flight (STS-82) was 3.205 cGy with a dose rate of 3,221 microGy d(-1). Neutron contribution could be 36 +/- 15% of the astronaut charged particle dose equivalent. East-West asymmetry of dose rate is significant for spacecrafts that fly in an fixed altitude, such as the International Space Station.

NASA Center JSC↗

DOE OSTI2022

Geomechanical and Hydrogeological Evaluation of a Shallow Hydraulic Fracture at the Devine Fracture Pilot Site, Medina County, Texas

UT-Austin’s Devine Fracture Pilot Site, 50 miles southwest of San Antonio, Texas, has been targeted for a comprehensive, multidisciplinary development of fracture diagnostic techniques that are cross-validated by ground-truth data acquisition near a recently created, 175-ft-deep, horizontal hydraulic fracture (Ahmadian et al. 2018 Demonstration of proof of concept of electromagnetic geophysical methods for high resolution illumination of induced fracture networks. In Proceedings of the SPE Hydraulic Fracturing Technology Conference and Exhibition, The Woodlands, Texas, USA, 23–25 January 2018. SPE-189858-MS.). To evaluate the fracture diagnostic methods at this site, we conducted injection tests with a predefined volumetric flow-rate profile, resembling a diagnostic fracture injection test on September 2020. Subsequently, we developed hydrogeological and geomechanical models based on flow-rate and bottomhole-pressure measurements. History-matching efforts using a simplified layer-cake hydrogeological model resulted in the field-scale formation permeability of 9.87 × 10 –15 m 2 (10 mD) and Darcy-scale fracture permeability. The analysis of the bottomhole pressure and injection-rate history showed that (1) the newly created horizontal fracture was closed adjacent to the injection well pre-injection and (2) the initial pump-pressure increase at a nominal volumetric injection rate led to near-well fracture reopening, fluid conductivity increase, and abrupt injection-rate increase. To overcome hydrogeological-model limitations of predicting fracture reopening throughout injection, we extended the modeling to a finite-element, poroelastic analysis of horizontal-fracture growth using a cohesive-zone model. Using this fracture-reopening model, we improved the history match of the transient-pressure response during the experiment by adjusting the hydromechanical properties. Furthermore, post-injection pressure transient analyses helped reduce uncertainty in the overburden-stress gradient, and the initial hydraulic-fracturing simulation verified the plausibility of achieving the surveyed propped fracture area.

02 PETROLEUM↗

DOE OSTI2025

Using active learning to improve quasar identification for the DESI spectra processing pipeline

The Dark Energy Spectroscopic Instrument (DESI) survey uses an automatic spectral classification pipeline to classify spectra. QuasarNET is a convolutional neural network used as part of this pipeline originally trained using data from the Baryon Oscillation Spectroscopic Survey (BOSS). In this paper we implement an active learning algorithm to optimally select spectra to use for training a new version of the QuasarNET weights file using only DESI data, with the goal of improving classification accuracy. This active learning algorithm includes a novel outlier rejection step using a Self-Organizing Map to ensure we label spectra representative of the larger quasar sample observed in DESI. We perform two iterations of the active learning pipeline, assembling a final dataset of 5600 labeled spectra, a small subset of the approximately 1.3 million quasar targets in DESI's Data Release 1. When splitting the spectra into training and validation subsets we achieve similar performance to the previously trained weights file in completeness and purity calculated on the validation dataset but do so with less than one tenth of the amount of training data. The new weights also more consistently classify objects in the same way when used on unlabeled data compared to the old weights file. In the process of improving QuasarNET's classification accuracy we discovered a systemic error in QuasarNET's redshift estimation and used our findings to improve our understanding of QuasarNET's redshifts.

Machine learning↗

DOE OSTI2026

Higher Efficiency, Demand Flexible Refrigerator with On-Demand Micro-Vibrational De-icing Technology

Refrigerator technology has advanced significantly over the last couple of decades. Today’s refrigerators use only about 25% of the energy that was required to power models built in 1975. Even as they continually improve efficiency to meet standards, refrigerators have increased in size by almost 20%, added energy-consuming features such as through-the-door ice, and provide more benefits than ever before. However, a few challenges and technology gaps are preventing further improvement of the demand responsiveness and efficiency of the refrigerators. One of the major technology gaps in existing refrigerators is their outdated de-icing process. When the evaporator generates frost, an old-fashioned resistive heating element melts the ice. Most refrigerators have a timed defrost cycle, rather than an active system that could monitor the state of the frost. In these systems, not only is the precious electricity used at its least efficient form of conversion (direct conversion of electricity to heat), but also all the latent heat associated with the ice is wasted during the melting process. On top of that, the refrigerator needs to work harder to pull the temperature down after defrosting, and, last but not least, the food quality is severely impacted by the temperature swings during the defrost cycle. According to a study, the EU alone wastes 89 million tons of food in the supply chain every year. Any temperature swing during defrosting (about 6F according to Emerson for low-temperature cases) can negatively impact the shelf life of meat and other products for multiple days. All these issues can happen during the peak demand time of the electric grid. Unlike the conventional systems, the proposed novel advanced micro-vibrational deicing process uses no heat for defrosting. Instead, it uses the micro vibrations generated by a piezoelectric or vibration-generating module to mechanically break ice from the heat exchanger almost instantaneously. The project titled “Higher Efficiency, Demand Flexible Refrigerator with On-Demand Micro-Vibrational De-icing Technology, performed by Ultrasonic Technology Solutions, LLC (UTS) of Knoxville, TN, in collaboration with Emerson (now Copeland), represents the final phase of a multi-year effort funded under the U.S. Department of Energy’s Building Technologies Office (BTO) BENEFIT FOA 2020. Initiated on October 1, 2021, and completed after a nine-month no-cost extension ending September 30, 2025, this project aimed to develop and validate a novel micro-vibrational mechanical defrosting system, achieving more than 25% improvement in defrosting energy efficiency over conventional baseline defrosting technologies. Over sixteen quarters, the project advanced from fundamental ice-mechanical characterization and prototype development to full-scale system integration and validation. Initial efforts established project management infrastructure and characterized ice adhesion properties, followed by the design and fabrication of early aluminum-based prototypes for resonance frequency testing. Subsequent quarters saw rapid technical progression, including the identification of optimal piezoelectric and motor-based vibration mechanisms, the demonstration of effective de-icing over 6x6-inch aluminum surfaces. The team achieved its Go/No-Go milestone by exceeding the 25% energy-efficiency improvement target—reaching up to 3,340% under optimized conditions—and later confirmed that motor-driven systems offered superior performance and energy efficiency compared to piezoelectric alternatives. Continued refinement led to the development of amplifier systems on printed circuit boards, improved control and instrumentation hardware, and integration into full-scale heat exchanger (HX) prototypes at both UTS and Copeland facilities. Multiple vibration-mounting studies and frost-growth experiments guided mechanical optimization and noise-mitigation strategies, achieving a 17.5 dB reduction in sound pressure level and verifying robust mechanical performance. Advanced analyses, including modal and harmonic simulations, established a quantitative understanding of vibrational behavior and de-icing efficiency across >1000 cm² systems. The final project phase successfully demonstrated scalable integration within reach-in and chest freezer prototypes, confirmed >25% efficiency improvements in large-area systems, and completed a comprehensive business model and scale-up strategy identifying electric defrost systems as the primary beachhead market. The culmination of this DOE-supported effort establishes micro-vibrational defrosting as a viable, high-efficiency, low-noise, and demand-flexible de-icing technology, paving the way for commercial deployment and broader application in next-generation refrigeration systems.

32 ENERGY CONSERVATION, CONSUMPTION, AND UTILIZATI↗

DOE OSTI2020

The Beam Dump eXperiment

Hadronic matter makes about 14% of the known universe. The remaining 86% is Dark Matter (DM). Since it does not interact with the ordinary matter via electromagnetic force, DM is not visible and, to date, it escaped detection. The search for Dark Matter (DM) is one of the hottest topic in modern physics. Despite the increasing number of astrophysical and cosmological observations proving the existence, so far no particle physics experiment has detected DM yet. Up to now, most of the experimental efforts have been focused on the so called WIMP (Weakly Interacting Massive Particle) paradigm, which predicts heavy DM (10 GeV-10 TeV mass range) interacting with Standard Model (SM) particles via the weak force mediators (W or Z bosons). More recently, due to the lack of clear evidence of WIMPs, other models of DM gained the interest of the physics community. These models consider Light DM particles (LDM), in MeV-GeV mass range. Among LDM theories, the Dark Photon theory predicts the existence of a Dark Sector interacting with SM particles via a new massive vector boson (Dark Photon, Heavy Photon or A0), mediator of a new force. This scenario, despite being theoretically well motivated, is remarkably experimentally unexplored. The Beam Dump eXperiment (BDX), is an approved experiment at Jefferson Lab (JLab), aiming to discover the DM predicted witihn the Dark Photon theory. The experiment uses the CEBAF (Continuous Electron Beam Accelerator Facility) 11 GeV electron beam, impinging on the JLab Hall-A beam-dump, to produce a beam of DM particles, detected by a ~ 1 m3 detector made of thallium doped cesium iodide (CsI(Tl)) crystals located ~ 20 m downstream. In order to achieve excellent background rejection, the experimental setup includes active vetos and passive shielding surrounding CsI(Tl) crystals. Given the weakness of the DM-SM interaction, the scattering of a DM particle in the BDX detector is a rare event. Therefore, the characterization of the expected background is a critical aspect of the experiment. Both cosmogenic and penetrating SM particles produced by the beam interaction in the dump contribute to the background of the experiment. While the cosmogenic contribution can be measured during the experiment when the beam is off, beam-related background can only be estimated via Monte Carlo (MC) simulations. Therefore, a careful assessment of possible systematics introduced by the MC is needed. The beam-correlated background characterization was made by measuring the muon flux produced by the interaction of the CEBAF beam with Hall-A dump in a dedicated experimental campaign in spring 2018 [1]. The comparison to the ?ux predicted by MC allowed us to validate the BDX simulation framework. The reach of BDX, i.e. the region that the experiment can probe in the LDM theory parameter space, depends critically on the background rejection capability and signal detection effciency. For this reason, the detector setup was fine-tuned through a dedicated study. The response to LDM and background events was evaluated for different setups and selection cuts. As a result of this procedure, the configuration resulting in the best sensitivity was selected [2]. The reach calculation was performed taking into account the different LDM production mechanisms, including the contribution of secondary particles produced in the beam-dump. In particular, the effect of the secondary positrons annihilation was found to be extremely significant. In the majority of the sensitivity studies, this contribution is neglected, but recent results [3] [4] demonstrated that this process significantly enhances the sensitivity of lepton beam-dump experiments. Currently, the BDX collaboration is focused on the deployment and operation of a small detector, called BDX-MINI, built to perform a preliminary physics measurement searching for LDM at JLab. This test will pave the way to the realization of the full BDX experiment. The measurement is currently ongoing but results are expected by the end of this year. During my PhD I was involved in all aspects of the BDX experiment: design, simulation, prototyping and data analysis. The main results of my work are reported in this thesis. This manuscript is organized as follows: the first Chapter provides an introduction to the theory of LDM, with particular attention to the Dark Photon paradigm; the second Chapter illustrates the BDX experimental setup, the LDM production and detection mechanisms and the expected backgrounds; Chapter 3 and 4 describe, respectively, the BDX-HODO measurement, with a detailed description of the simulations, and the BDX experimental setup and analysis cuts optimization. Chapter 5 reports about BDXMINI detector characterization, calibration and sensitivity estimate. Finally, Chapter 6 describes in detail the calculation of the secondary positron annihilation contribution to the sensitivity of BDX and other electron-beam thick-target experiment.

Marsicano, Luca↗

DOE OSTI2026

Development of Advanced, Radiation Resistant, Optical-based Detector Technology for Future Experiments.

The primary objective of this project has been to advance the design of high-performance electromagnetic (EM) calorimeters for future particle physics experiments, to identify and measure the timing, position and energy of electrons, positrons and gamma rays, particularly in high-luminosity environments with intense radiation and pileup conditions. To meet such challenges, the proposed research has focused on the development of ultra-compact, radiation-hard calorimeter modules, to provide excellent timing, spatial, and energy resolution. The work aligns with the DOE’s Basic Research Needs (BRN) for High Energy Physics (HEP) Instrumentation and the research team contributes actively to the Coordinating Panel on Advanced Detectors (CPAD) RDC9 calorimetry collaboration in the USA and the European Committee on Future Accelerators (ECFA) DRD-CALO calorimetry collaboration at CERN, the European Laboratory for Particle Physics located in Geneva, Switzerland. The research builds on the RADiCAL (radiation-hard, ultra-compact) modular sampling calorimeter approach, developed by the research team, which employs dense and very bright optical materials such as LYSO:Ce scintillator plates that are interleaved with very dense tungsten plates to minimize detector size while optimizing performance. The modules are comparable in size to a human index finger, dimensionally 14 mm x 14 mm in cross section and 135 mm in length. And despite the small size, the structure is capable of providing excellent timing and energy resolution. This is facilitated through the use of specialized quartz capillaries filled with wavelength-shifting filaments, positioned at various depths along the length of a module, to collect and guide light signals to silicon photomultipliers (SiPMs) which detect and convert the optical signals to electronic signals for analysis. The primary goals of this project have been: (1) Achieve a timing resolution to σ t ≤ 30 ps for high-energy electrons and photons, important for their association with specific events produced in colliding-beam experiments and for the detection of decays-in-flight of long-lived particles. The project has achieved this goal in beam tests of a single RADiCAL module at CERN, during which a timing resolution of σ t = 27 ps was measured for electrons of energy E = 150 GeV. Based upon a mathematical fit to the data measured over a broad energy range from low energy to high energy, a resolution of σ t ≤ 18 ps has been estimated for electrons of very high (TeV) energy. From these measurements and with further expected technical improvements, the timing resolution should reach σ t ≤ 10 ps, important for searches for discovery physics in upcoming and future experiments. (2) Achieve an energy resolution of σ E / E ≤ 10% / $\sqrt{E}$. The project has yet to achieve this goal, but is close to it, having measured a value of σ E / E ≤ 15.9% / $\sqrt{E}$ using a modular array. Ultimately, the resolution goal is expected to be reached by adjustments to material thicknesses within the modules, which will improve the sampling fraction to measure more precisely the shower energy for lower energy particles. The versatility of the modular RADiCAL approach enables the testing of advanced materials, photosensors and electronics, developed in collaboration with CPAD RDC and ECFA DRD-CALO groups. The structure can distinguish electrons, positrons and gamma rays from hadrons and muons and beam-induced backgrounds, making it a valuable tool in a variety of detector environments, including future circular colliders (FCC-ee, FCC-hh) proposed for the European Laboratory for Particle Physics (CERN), the muon-collider proposed for Fermi National Accelerator Laboratory (Fermilab), and searches for new physics in beam-dump, fixed target and forward-physics experiments. And, while designed with particle physics applications in mind, the technologies developed in this project have the potential for application more broadly in particle and nuclear physics, materials science, and medical physics, underscoring the far-reaching potential of this line of instrumentation research and development.

47 OTHER INSTRUMENTATION↗

DOE OSTI2025

Field Validation of Thermoelectric Generation System at Holcim Cement Plant in Alpena, Michigan

Executive Summary Project Background The Industrial Technology Validation (ITV) program aims to identify and demonstrate the performance of new, emerging, and underutilized energy-saving technologies in the industrial sector to help inform decisions to help accelerate their commercialization and deployment, as well as to help make industries more competitive. This ITV demonstration evaluated a thermoelectric generation (TEG) technology at a cement plant, aiming to reduce energy demand in the cement industry. A median cement plant consumes 5.73 million British thermal units per ton of clinker production (resulting in 0.838 metric tons of carbon dioxide [CO₂] emissions per ton of clinker) (Boyd and Zhang 2011, EPA 2021), equivalent to approximately 6.9 trillion British thermal units (TBtu) per year in energy consumption at a cement plant producing 3,300 tons of clinker per day.¹ Collaborating with Holcim, Advanced Thermovoltaic Systems (ATS) developed and deployed a pilot-scale thermoelectric power system to efficiently capture and convert waste heat to electricity. The system leverages the Seebeck effect to convert temperature differences on two sides of semiconductor cartridges into electrical power (ScienceDirect, n.d.). This generation is realized with minimal moving parts compared to existing waste-heat-to-generation solutions and allows capture from heat sources with temperatures as low as 150°C. This project aimed to validate a scalable solution applicable for capturing medium-temperature waste heat, including ambient losses from other high-temperature processes, and high-temperature sources less suitable for other waste-heat-to-power solutions. By recovering this otherwise wasted heat, this project intends to validate improvements to overall process efficiency through reduction in purchased electricity, thereby reducing operational costs while enhancing resiliency and competitiveness. Description and Scope This study evaluated the performance of a TEG system from ATS as a solution to convert waste heat into useful power at a Holcim cement plant in Alpena, Michigan. This plant is a fully integrated cement plant that has been operating since 1907. The facility operates continuously (24/7/365) with approximately 250 employees and five long dry kilns, yielding a total production capacity of 7,852 tons of cement per day (EPA 2023). Currently, the Alpena plant uses waste heat boilers to convert waste heat from the exhaust of each kiln into steam, which drives steam turbine generators. The ATS TEG is being evaluated for its potential to supplement the steam turbines by capturing the remaining lower grade heat. This technology is also being considered for other Holcim plants where steam turbines are not a viable option. ATS installed a pilot-scale TEG unit with an array of 582 individual thermoelectric semiconductor cartridges, of which 573 were operational. The cartridges are sandwiched between 48 hot plates and 49 cold plates. Each cartridge is designed to generate 20 watts (W) of gross power at a hot-side temperature of 240°C and cold-side temperature of 20°C. As such, the total gross generation capacity of the installed system is 11.5 kilowatts (kW) at design conditions. The system configuration for the evaluation was designed to prioritize convenience of installation and minimize disruption to production at the site, while ensuring that the heat required can be obtained for evaluating the TEG system at various operational conditions. To accomplish this, a portion of the steam supplied to Alpena’s steam turbine generation system was diverted to be used as the heat source for the TEG system, while water was supplied to the cold side of the system from nearby Lake Huron. This configuration was designed for the evaluation of the pilot-scale system to assess the performance at different conditions. A commercial-scale system will likely vary from the pilot system depending on typical configurations, including both scale and application. Future commercial applications of the ATS system would involve integrating the system into the exhaust from kiln preheaters, clinker coolers, or radiant heat capture from kiln shells for the heat source. For the cold source, a range of cooling solutions can be considered, including a mechanical cooling system, depending on the location and the application. To increase the generation capacity for commercial applications, the technology provider is working toward developing a commercial-scale TEG system, which would combine multiple TEG units (each similar in design to the pilot system) together. The scope of this evaluation includes the pilot-scale TEG system and all impacted equipment including pumps, controllers, and power handling equipment. Study Objectives The evaluation's goal was to assess the potential of the ATS TEG system to generate useful electrical power by capturing waste heat from cement production kilns. The objectives of this study are to evaluate and verify the following claims made by ATS regarding the pilot-scale system installed at the Holcim Alpena plant. The following design parameters and claims are also outlined in Table ES- 1 and Table ES- 2: • Gross Power: The thermoelectric system converts heat into power to create gross power, the total measured power generated by the system. The 573 active cartridge pilot-scale system is expected to generate 11.5 kW of gross power at the designed hot-side temperature of 240°C and cold-side temperature of 20°C. Power production is dependent on the temperature difference between the heat source (ultimately from the waste heat) and cold temperature supply source. • Net Power: The net power is the total usable power provided to the site by the TEG system after deducting parasitic power loads from the gross generated power. Supplementary equipment is required to operate the TEG system including pumps, controllers, and, in certain anticipated applications, mechanical cooling, which introduce parasitic loads to system operation. After deducting the parasitic loads from the gross power generation, ATS anticipates achieving a net power generation of 7.5 kW from the pilot-scale system. • Thermal Efficiency: The thermal efficiency is the percent of the total heat transferred to the TEG system that is converted to gross power. Historically, TEGs have a thermal efficiency of 2%–5% (DOE 2008). Prior industrial-scale TEG systems, such as the E1 TEG offered by Alphabet Energy, operated at an efficiency of 2.5% (Lamonica, 2014). ATS anticipates achieving an average efficiency of 4.8% or higher in converting heat energy to usable electricity. • Cartridge Performance: The TEG system comprises 573 active individual semiconductor cartridges, each of which generates a portion of the total power. Cartridge optimization and selection is an important design consideration for potential future TEG system design performance. Therefore, understanding the distribution of gross power and efficiency within the pilot system is vital to understanding what is achievable. At a design hot-side temperature of 240°C and cold-side temperature of 20°C, ATS anticipates a cartridge performance of 20 W of gross power per cartridge at an efficiency of 4.8% per cartridge. In addition to evaluating the claimed performance of the TEG pilot-scale unit, the study estimated the potential annual impacts of a scaled-up commercial system used to capture kiln waste heat over annual operations. The evaluation estimated the gross and net annual electric generation achievable by capturing heat from the two proposed tap-in points: the kiln exhaust and the clinker cooler exhaust; see Section 2.1 for details. Two use cases were examined: • Holcim Alpena: The Holcim Alpena site consists of long dry kilns with superheater boilers, which differs from the rest of Holcim’s cement plant portfolio and results in lower waste heat temperatures. The study estimates gross and net annual generation using the superheater boiler exhaust and clinker cooler exhaust, based on 2023 operational data. • Typical Installation: Common cement plants have preheater kilns with higher exhaust temperatures than Holcim Alpena across a range of production rates. The study estimates gross and net annual generation using the preheater exhaust and clinker cooler exhaust, with a sensitivity analysis to account for the typical range of preheater exhaust temperatures, clinker cooler exhaust temperatures, and clinker production rates. Methodology The evaluation methodology followed a measurement and verification (M&V) strategy based on the International Performance Measurement and Verification Protocol Option B through comprehensive measurements and analyses of the affected systems. Evaluation data was collected from March 9 to March 11, 2024, the test period of the pilot TEG system. During the test period, in coordination with the ITV team, the ATS team adjusted system operations to capture the range of variability expected for each of the variables pertinent to performance of the system. The methodology consisted of two parts: evaluating the performance of the pilot unit's TEG system and estimating the annual TEG impact in terms of gross and net power based on a given waste heat profile. First, the evaluation of the thermoelectric generation performance of the pilot unit relative to the claims was performed by analyzing the collected test data. Gross power of the pilot TEG system was directly measured. Net power was determined by deducting the measured parasitic power from the gross power. The gross power generation was compared to heat transferred to the system by the working fluid (which was heated by steam generated from the kiln waste heat) to calculate the thermal efficiency achieved by the system. Performance of individual semiconductor cartridges within the pilot array was also assessed in terms of measured gross cartridge power and calculated cartridge thermal efficiency. The second part of the evaluation estimated the annual TEG impacts in terms of gross power and net power (calculated from the difference between gross power and parasitic power). This analysis comprised development of mathematical regression models for gross power and parasitic power, with assessment of each model’s goodness-of-fit characteristics to ensure satisfaction of statistical requirements. The models predicted the gross power generation, the parasitic load based on the temperature difference between the hot working fluid and the cold-side fluid (cold water from Lake Huron) entering the system, the volumetric flow rate of the cold-side fluid at the inlet, and the volumetric flow rate of the hot working fluid at the inlet. The annual impact analysis considered a theoretical commercial-scale system sized to capture the available waste heat at a cement plant, consisting of linked pilot-scale units that receive heat from a theoretical gas-to-working-fluid heat exchanger. To estimate annual impacts at the Alpena plant, the gross power and parasitic power regression models were applied to the arrays in the theoretical commercial-scale system. The heat supplied to the unit was calculated based on the kiln run time, annual production, kiln exhaust waste heat, and clinker cooler waste heat derived from 2023 Holcim Alpena kiln operational data. Net power impacts were calculated by deducting the resulting parasitic power from the estimated gross power. Inputs for the model were generated from a combination of hourly data, assumed design considerations for TEG system scale-up from the pilot-scale unit, and assumptions regarding TEG system operations. This analysis was then used as the basis for estimating annual impacts of typical TEG installation at cement plants, by applying sensitivity analyses to key kiln operational characteristics including kiln preheater exhaust temperatures, cooler clinker exhaust temperatures, and plant daily production rates across a range of expected values. Project Results/Findings Table ES- 2 and Table ES- 2 provide a summary of the operating conditions and evaluation results compared to the stated claims from the technology provider. Key takeaways include: • Gross Power: The peak gross power achieved during the testing period was 10.0 kW, compared to the 11.5 kW expected for 573 active cartridges. The claimed gross power was associated with a target hot side of 240°C; however, the system only received a maximum hot-side mean plate temperature of 212°C during the testing period. • Net Power: The pilot-scale unit exceeded the claims for net power, achieving a peak of 7.7 kW net compared to a claim of 7.5 kW. One factor contributing to the higher achieved net power is the relatively high water pressure available through Lake Huron. The pilot TEG system did not require cold-side pumps during the test, whereas most installations would. This reduced the parasitic loads on the system, ultimately contributing to higher net power relative to the gross power. • Thermal Efficiency: The pilot-scale unit outperformed the claimed efficiency, achieving a peak system efficiency of 5.0% thermal efficiency compared to the stated 4.8%. • Cartridge Performance: To compare cartridge performance against claims, the study focused on the third day of testing, which aimed for conditions closest to the design specifications, with a hot side of 240°C and cold-side exit temperature of 6.4°–30°C. On this day, the mean gross power observed in the cartridges within the TEG array was 18.1 W/cartridge, and the peak performance was 34.7 W/cartridge. The estimated mean cartridge efficiency was 5.2%, and the estimated efficiency at peak gross cartridge power was 10%. The regression models developed for gross power generation and parasitic loads were used to estimate the generation impact for given heat input to the TEG from the working fluid (captured from the waste heat) and from the cold loop (Lake Huron) on an hourly basis for a year of operation. Based on this analysis, installation of a commercial-scale TEG system at the Holcim cement plant in Alpena, Michigan, with a waste heat exchanger of 0.85 effectiveness, would generate up to 391 kW of net power, translating to between 920,000 and 1,800,000 kilowatt-hours (kWh) in net electricity per year. Based on typical grid emissions for Alpena, this would avoid estimated net emissions by 752 metric tons of CO₂ annually.² The sensitivity analysis estimated that typical TEG system installations at cement plants could generate an average of 56–1,040 kW of net power, or between 488,000 and 9,110,000 kWh of net energy. This generation potential is most significantly affected by plant production rates and also influenced by preheater and clinker cooler exhaust temperatures. Applying the national average emission rate, typical commercial-scale installations at Holcim plants are projected to avoid between 182 and 3,401 metric tons of CO₂ annually per site. Table ES- 3 shows a summary of the estimated annual impacts.³ While parasitic loads are significant and vary by application, this analysis assumed the use of heating loop pumps and access to Lake Huron as a cold sink. This setup assumed no need for cooling loop pumps due to the available water pressure at the test site. Applications that require cooling towers or additional equipment are likely to experience higher parasitic loads. Therefore, the study’s estimates are most applicable to scenarios with similar parasitic load configurations—namely, access to a high-pressure cold sink. Applicability to other locations may be limited, as differing conditions could necessitate additional pumps and cooling systems, potentially impacting performance significantly.

32 ENERGY CONSERVATION, CONSUMPTION, AND UTILIZATI↗

DOE OSTI2020

Evaluating the Effectiveness of an Ultrasonic Acoustic Deterrent in Reducing Bat Fatalities at Wind Energy Facilities

This project was designed to use thermal video cameras and fatality monitoring to evaluate the effectiveness of an ultrasonic acoustic deterrent (UAD) on bat activity and mortality, respectively. Our goals were to redesign the UAD device and installation infrastructure, determine the placement on wind turbines to optimize safety, compatibility and functionality, and to compare the mortality among the following conditions: Control (deterrents off and turbines feathered up to the manufacturer’s cut-in speed of 3.5 m/s), Deterrent (deterrents on and turbines feathered up to the manufacturer’s cut-in speed of 3.5 m/s), Curtailment (deterrents off and turbines feathered up to 5/ m/s), and combination (deterrents on and turbines feathered up to 5 m/s). The project was divided into a Feasibility Study and Comparative Study. The objectives for the Feasibility Study were to develop an installation strategy, redesign a previous iteration of a UAD to improve performance and weatherization, and test the effectiveness of the deterrents on bat activity. The Feasibility Study was intended to work out potential issues using a relatively small number of devices prior to manufacturing and installing numerous devices for a larger-scale comparative study. The division of the project into these separate studies was based on previous experience and the challenges of assessing the capabilities of an untested UAD. During the initial development and manufacturing of the UAD, NRG Systems decided to use a piezoelectric transducer rather than an electrostatic transducer, which was used by a previous device (i.e. Deaton UAD). NRG Systems conducted lab testing (i.e., IP67 or Ingress Protection) to ensure no water or dust ingress. In addition, shock/drop trials and variations in temperature exposure were conducted as part of the reliability testing. NRG Systems also developed a communications system to allow for continuous performance monitoring of the UADs. For the Feasibility Study, we installed 6 UADs on each of 2 Gamesa G90 2-MW wind turbines (Turbine 14 and 8) at the South Chestnut Wind Energy Facility, Pennsylvania and monitored activity under control and treatment (i.e. Deterrent) conditions using thermal video monitoring. There are two major sources of variation in bat activity (beyond the anticipated treatment effect): 1) environment around the turbines might inherently favor more activity at one than the other; 2) weather conditions on any given night or within season difference (e.g., migration later during the study period) might favor more activity on some nights than on other nights. Because we could only monitor two turbines on any night, we sought to control the potential influences of these two sources by alternating the turbine on which deterrents were activated each night. If there were no loss of data due to technical failures, this design would result in an equal number of deterrent and control nights at each turbine through the monitoring period, balancing the effects of both sources of variation. We compared the time bats spent and the number of events that occurred in overlapping cameras FOV as an indicator of risk, since 80% of the overlapping FOV of the cameras was in the RSA. Equipment failures, majority due to lightning, resulted in only 17 nights with useable data, with unbalanced treatment assignment within turbines and uneven distribution of treatment assignment throughout the observational period. This resulted in a confounding of treatment assignment and seasonal change. Deterrent treatment was measured at Turbine 14 on only 2 of the first 8 usable nights (spanning the period from 8/18-9/17), whereas 6 times on Turbine 8. From 9/18-927, deterrent was on at Turbine 14 on 6 of the remaining 10 nights, and 4 on Turbine 8. We recorded a total of 1,057 bats and observed a reduction in number of events and duration of events at the UAD-activated turbine when it was Turbine 14. When Turbine 8 had the UAD activated, we observed no difference in number or duration of events. Variation between turbines is not unusual and can cause issues when study designs have no true replication, i.e., multiple turbines per treatment. Within-turbine differences suggested a trend for reduced activity when UADs were activated, particularly for Turbine 14. These results may be caused by the overall higher bat activity at Turbine 8 and confounding of treatment assignment and seasonal trends. We mapped 58 bat events in 3-dimensional space (3D), 30 and 28 events during control and treatment conditions, respectively. We observed bats crossing the rotor plane under both control and treatment conditions and observed a total of 40 confirmed or near-collisions (i.e., target close to blade but no visual confirmation of a strike) out of a total of 1,491 medium and high confidence bat observations (880 control, 611 at treatment). Twice as many collisions/possible collisions were observed during control conditions. Given the challenges with the equipment and potential confounding of the data (i.e., different activity levels at the two wind turbines), we were unable to determine whether this initial turbine placement and orientation was optimal. Given no new information on how best to install the devices, we elected to use the same placement and orientation for the comparative study. For the Comparative Study, the objectives were to investigate the relative mortality rates among 4 treatments. We searched the area within 90 m of each turbine daily to recover the highest number of fresh fatalities possible. We were unable to detect a clear reduction in mortality from deterrents alone for any individual species. Surprisingly, mortality rate of the eastern red bat (Lasiurus borealis) was estimated to be 1.3–4.2 times as much when turbines were operating normally and UADs were on than when UADs were off. Reduction in mortality of all bat species combined due to curtailment of turbines was estimated to be between 0%–38%. This effect was nullified when, in addition to curtailment, UADs were on, with 95% confidence interval ranging from a 45% reduction to a 36% increase in mortality. This was likely due to the large proportion of eastern red bats in the total carcass population. Mortality of all low-frequency echolocating bats combined (i.e. hoary bat [L. cinereus], big brown bat [Eptesicus fuscus], silver-haired bat [Lasionycteris noctivagans]) relative to control was lower when curtailed (95% CI: 0%–74%), but the addition of UADs had no detectable effect (95%CI: 13%–79%). The combined treatment reduced mortality in silver-haired bats relative to control by 11%–99%, compared to curtailment (81% reduction–67% increase) or deterrent (82% reduction–67% increase) alone. Because silver-haired bats comprised a large proportion of low-frequency calling bats found during this study, a similar effect was seen for that group. The higher mortality observed for eastern red bats at UAD compared to control could have been caused by several factors, such as the effective range of the UAD, particularly at higher frequencies, behavior, positioning of the devices on the nacelle, or a combination of these. We used 3D thermal videography to compare control and UAD bat behavior from two turbines using a total of 203 3D bat-tracks across 34 nights. We recorded a similar number of bat-tracks between treatment groups, with 51% and 49% for control and UAD, respectively. Due to potential differences in bat behavior around spinning vs stationary turbine blades, we examined UAD effectiveness separately for non-operating turbines (feathered below cut-in speed of 3.5 m/s) and operating (normal operation above wind speed of 3.5 m/s). We found a higher proportion of bat-tracks at operating turbines (82%) compared to non-operating turbines (18%), although this does not account for overall time turbines were operating versus not. At non-operating turbines the UAD appears to be effective at reducing the amount of time, flight length, and number of passes through the rotor plane, compared to control. In addition, we found bats approached turbines similarly between control and treatment turbines, with 61% of control and 63% of UAD bat-tracks originating leeward of the hub. In contrast, at operating turbines, we saw little change in bat behavior in response to UADs. For example, we found an increase in the average duration of bat-tracks between non-operating and operating turbines for UAD but at control turbines we found average duration decreased once turbines became operational. Both control and UAD had a high proportion of bat-tracks that crossed the rotor plane (i.e., collision risk) originate from the windward side when turbines were operational 65% to 92%, respectively. Given that the UAD devices closest to the blades were orientated parallel to the blades, its possible bats were not exposed to the signal until they were close to the turbine blades, as suggested by the slightly higher mean duration within 5 meters of the blades for UAD turbines. Future research should consider concentrating UAD intensity on the areas of risk (i.e. blades) with enough buffer to allow bats to react to the sound before entering the rotor-swept area (RSA). In addition, investigating the potential of installing UAD units windward of the turbine blades (e.g. a hub-mounted UAD), particularly since even under control conditions, a relatively high proportion (65%) of crosses through the blade plane originated windward. 3D thermal videography provided valuable information on future testing strategies (e.g. device placement, UAD orientation) to improve UAD effectiveness when bats are at risk (i.e., operating wind turbines). Across the entire project we experienced issues with the operation and communication with the UADs. Most of the issues occurred during the Feasibility Study and were resolved prior to the Comparability Study. Additional challenges surfaced during the Comparability Study but were remedied immediately and are thought to have little impact on the results. We had logistical constraints at the project that limited our ability use traditional methods in our camera calibration. Several calibrations showed inaccurate scales, which may have been related to inadequate spatial coverage of “points” in the camera calibration volume. Because we were using actual video recordings of bats at a wind turbine, the behavior of bats could have concentrated “points” in specific areas of the turbine (i.e. leeward of nacelle), and limited “points” in other areas, resulting in camera calibration issues. We have plans to address these inconsistencies and improving the software and related methodologies by early 2020.

17 WIND ENERGY↗

DOE OSTI2023

Development of Analysis Methods that Integrate Numeric and Textual Equipment Reliability Data

Within the Light Water Reactor Sustainability (LWRS) program, the Risk-Informed Systems Analysis (RISA) Pathway is performing collaborative research on the development and deployment of technologies designed to assist operating nuclear power plants (NPPs) to reduce operating costs improve plant reliability and availability. One of the RISA research areas is focusing on the development of methods and tools designed to optimize plant operations (e.g., maintenance/replacement schedules, optimal maintenance postures for plant structures, systems, and components [SSCs]) in a manner that is more cost effective than current approaches and makes better use of available SSC health data. The Risk-Informed Asset Management (RIAM) project targets this research area by creating a direct bridge between component equipment reliability (ER) data and system engineer decision making regarding maintenance activity scheduling and component aging management. In this respect, one challenge that NPP system engineers are facing is that the amount of ER data being continuously generated is not only extremely large in size, but it comes in different forms: textual (e.g., condition or maintenance reports) and numeric (e.g., generated by monitoring systems). All these data elements provide them with valuable insights and information regarding: 1) the discovery of anomalous behaviors or degradation trends, 2) the identification of the possible causes behind such behaviors/trends, and 3) the prediction of their direct consequences. However, several challenges have proved to be roadblocks to this process. While some of these challenges are technical in nature (i.e., data are often distributed over several physical servers/databases), others are conceptual in nature: data elements come in different formats (e.g., numeric or textual), and measured values have different scales (e.g., vibration spectra and oil temperature). The activities performed by the RIAM project during FY23 directly tackles the need to simultaneously integrate the analysis of ER data in all its forms, numeric and textual. Note that such task has never been performed before due to the complexity of the systems under consideration but, most importantly, because of the technical challenges behind the harmonization of ER data formats and the lack of adequate computational methods to analyze them. Our approach borrows ideas and concepts from the medical field where integration of several data sources is vital to assist medical practitioners to perform correct diagnosis and indicate optimal treatments. In our view a NPP asset is equivalent to a patient in a medical context. The main difference is the complexity of a human body is a magnitude more complex when compared to typical assets commonly present in NPPs (e.g., centrifugal pumps, or motor operated valves). This simplifies our first requirement when analyzing heterogenous ER data formats: to put data into “context”. Context is here intended as the additional piece of information that is needed by ER data analysis tools to understand what these data elements are referring to, i.e., which king of knowledge they are generating. In our context, this knowledge can be translated into models that capture the form and functional architecture of assets/systems, their dependencies, and how they interact. These models actually emulate the knowledge that that NPP system engineers possess about assets and systems; this is their key of success when analyzing ER data, their challenge is ability to handle large amount of data. Here, we employ model-based system engineering (MBSE) models of systems and assets to represent and capture their architecture and functional, i.e. cause-effect, relations. Then, ER data elements are processed by identifying first of all which elements of the developed MBSE elements they are referring to. For numeric ER data this task is fairly easy since it is possible to precisely pinpoint what MBSE elements the corresponding sensor are observing (e.g., bearing temperature of a centrifugal pump). Task is much harder for textual data since the information contained in issue or maintenance reports needs to “be understood” by a computational tool. Here we called this process as “knowledge extraction”. Once again, we borrow the experience in the medical field where methods to extract knowledge from textual data have been developed in the past decade. The missing element for us is the availability of a complete dictionary of NPP related concepts (in addition to the MBSE models presented earlier) that can put “text into context”. In FY23, such dictionary has been developed along with all the computational elements required for knowledge extraction. Lastly, once numeric and textual ER data elements have been processed and “understood”, then the last step is the discovery of possible cause-effect relations among them. This is performed by observing if a logical connection through the MBSE models exists, and if the

97 MATHEMATICS AND COMPUTING↗

NASA NTRS1998

Site Selection for Mars Exopaleontology in 2001

The microbial fossil record encompasses a wide range of information, including cellular remains, stromatolites, biofabrics, trace fossils, biominerals and chemofossils. The preservation of fossils is strongly influenced by the physical, chemical and biological factors of the environment which, acting together, ultimately determine the types of information that will be captured and retained in the rock record. The critical factor in assessing the suitability of a site for a microbial fossil record is the paleoenvironment. The reconstruction of ancient sedimentary environments usually requires the integration of a wide variety of geological information, including the shape, geometry and internal structure of sedimentary deposits, their mineralogy, and geochemistry. For Mars, much of our knowledge about past environments is based on orbital imaging of geomorphic features. This evidence provides an important context and starting point for site selection. However, our knowledge of the martian surface is quite limited, and a major goal of the upcoming exploration effort is to reconstruct the history of Martian volatiles, climate, and hydrology as a context for the exploration for past or present life. Mineralogical mapping from orbit will be an important key in this effort. In exploring for evidence of past life, terrestrial experience suggests that the long-term preservation of biological information as fossils occurs under a fairly narrow range of geological conditions that are well known to paleontologists (1). In detrital sedimentary systems, microbial fossilization is favored by rapid burial in fine-grained, clay-rich sediments. In chemical sedimentary systems, preservation is enhanced by rapid entombment in fine-grained chemical precipitates. For long term preservation, host rocks must be composed of stable minerals that resist chemical weathering, and which form an impermeable matrix and closed chemical system that can protect biosignatures from alteration during subsequent diagenetic change or metamorphism. In this context, host rocks composed of highly ordered, chemically-stable mineral phases, like silica (forming cherts) or phosphate (forming phosphorites), are especially favored. Such lithologies tend to have very long crustal residence times and (along with carbonates and shales), are the most common host rocks for the Precambrian microfossil record on Earth. If we assume that a subsurface hydrosphere has been present throughout martian history, then life could have originated there at any time, perhaps emerging at the surface periodically when climate changes, induced by external forcing or endogenous processes (e.g. volcanism), allowed liquid water to exist at the surface. The recent discovery of subsurface chemolithoautotrophic organisms which are capable of synthesizing organic substrates from C02 and H2 liberated from the aqueous weathering of basalt, is especially. relevant as a model for martian life. While a subsurface habitable zone may yet exist on Mars, access to such environments will likely require drilling to depths of several kilometers. Given the technological challenge of deep drilling, this is unlikely to occur prior to human missions. So, even if there is extant life on Mars today in subsurface habitats, it may be much easier to find its fossil counterparts in ancient deposits exposed at the surface. In exploring for a fossil record in subsurface environments on Mars there are several geological situations that may provide access to the appropriate materials. These include 1) ejecta from impact craters, 2) talus slopes, debris flows or alluvial fans developed below the walls of deep canyons, and 3) the deposits of outflood channels. Examples of aqueous mineral deposits of formed in subsurface environments that could harbor a microbial fossil record include such things as cements in detrital sedimentary rocks, low temperature diagenetic minerals deposited in veins, or filling vesicles in volcanic rocks, and hydrothermal deposits formed below the upper temperature limit for life (about 160 degrees C). There are many sites within the present latitudinal constraints for the 2001 mission (15 deg S to 30 deg N) that meet these requirements. But the practical problem with these kinds of deposits is that they tend to be disseminated, making up only a small percentage of a host rock. Even with mineralogical information provided by the Thermal Emission Spectrometer (TES) presently in orbit around Mars, predicting their occurrence ahead of time may be quite difficult. The deposits of surficial aqueous sedimentary systems are likely to provide the largest targets for site selection in 2001. Of these, the deposits of hydrothermal systems (subaerial and subaqueous thermal springs) have been discussed previously. It is likely that hydrothermal systems were widespread on Mars early in its history and a number of common geo-tectonic settings on Mars are likely to have hosted hydrothermal activity. Most of these are represented within the latitudinal constraints presently identified for 2001. However, the deposits of surface spring systems are likely to be difficult to find as well. On Earth, exposure areas for hydrothermal spring mounds are typically a few square kms, less than a single TES pixel. But such deposits may be quite abundant within some volcanic terrains, It is estimated, for example, that between 15-20% of the floor of Yellowstone caldera is covered by thermal spring deposits. In such abundances, subaerial sinters could well be detected by TES. Where exposed, the shallow subsurface portions of these systems may be quite a lot larger (perhaps tens of square kms), although (as noted above) mineralization may be finely disseminated in the basement rock, making remote detection more difficult. Paleolake Basins. There are a large number of potential paleolake basins on Mars (inclusive of impact craters and volcanic calderas) that have been previously identified using Viking images. Most of these lie in the southern highlands beyond the l5 deg S constraint for 2001. However, deposits of paleolakes may offer the largest and most easily identified exopaleontological targets from orbit. Based on a variety of arguments, some workers have suggested that there was once an ancient ocean on the northern plains, and some sites of interest (potential shoreline terraces) fall within the 30 deg N constraint. From a paleontological standpoint the most interesting places of this type are terminal paleolake basins which are likely to have been both saline and alkaline. Models by Schaefer suggest such environments could be widespread on Mars. The conditions in terminal lake basin settings favor widespread chemical sedimentation, an important condition for microbial fossilization. Important lithological targets for a microbial fossil record in terminal lake basins include spring-deposited carbonates, shoreline cements, a wide variety of evaporite minerals and fine-grained detrital sediments including shales, marls, and water-lain volcanic ash deposits. In developing a strategy to explore for ancient hydrothermal deposits on Mars, we can learn from the methods that have been developed by explorationists to explore for economic mineral deposits on Earth. Due to their simple mineralogy, hydrothermal deposits can often be detected using remote sensing methods. Common thermal spring mineral assemblages include silica, carbonate, and various metallic oxides and sulfides. But there are also a number of diagnostic silicate minerals, including clays, formed by the hydrothermal alteration of country rocks. These hydrothermal minerals have characteristic spectral signatures that could be detected from Mars orbit using high resolution infrared remote sensing methods. In playa lake settings, evaporite deposits often form a predictable "bull's eye" pattern with carbonates being deposited in marginal basin areas, and sulfates and halides occurring progressively more basinward. The floors of some impact craters on Mars, such as "White Rock" and Bequeral Crater (see Oxia Palus NE, Site 148), have floor deposits that could be evaporites, inclusive of carbonates. Evaporite minerals possess characteristic spectral signatures in the infrared and could similarly be identified from Mars orbit using high resolution remote sensing methods. Clearly, utilization of TES data will be important for optimizing site selection for Exopaleontology, and every effort should be made to benefit from that data before a final decision is made.

Farmer, Jack↗

NASA NTRSDate not supplied

James Webb Space Telescope Navigation Optimization Challenges

The James Webb Space Telescope (JWST) is a NASA flagship mission launched on December 25, 2021. The early orbit phase was highlighted by three midcourse correction burns that were performed to maneuver the vehicle into a libration orbit at the second Sun-Earth-Moon (SEM) libration point (L2). During the coast to L2, the vehicle’s primary observatory and sunshield were deployed. Once the tennis-court-sized sunshield was unfurled and tensioned into place, the large area exposed to solar radiation pressure (SRP) dictated that the SRP force model would need to account for the vehicle’s geometry, reflective properties, and orientation relative to the Sun. Following the insertion of JWST into its L2 libration orbit on January 24, 2022, the commissioning phase for the vehicle’s observatory commenced along with the first cycle of routine station-keeping maneuvers. The NASA Goddard Space Flight Center’s Flight Dynamics Facility (FDF) provides navigation services for the JWST mission. The FDF serves as the prime or backup navigation operations center for more than 30 active missions spanning a wide array of flight regimes performing orbit determination, maneuver planning, trajectory optimization, and tracking data evaluation. Definitive orbit determination for JWST is performed by the FDF using an Extended Kalman Filter (EKF) to estimate the vehicle’s trajectory and reflective properties using Deep Space Network (DSN) TRK-2-34 tracking data and spacecraft attitude telemetry. For the purposes of orbit prediction and station-keeping maneuver targeting, the sensitivity of the SRP force to the vehicle’s orientation requires that predictive attitude information must be incorporated to generate accurate orbit predictions and maneuver plans. Predictive attitude plans are provided to the FDF by the JWST Spacecraft Operations Center (SOC). Short-term (28 day) orbit predictions are propagated using a Short Range Attitude Plan (SRAP) to model the vehicle’s future attitude states for up to a week. SRAP attitude data is highly reliable, as it reflects finalized planned attitude states that the vehicle will be commanded to attain during the ensuing week. A Long Range Attitude Plan (LRAP) can be implemented to model predicted attitude states beyond one week, but these predictions are tentative and subject to revision due to changes in science operations plans. Instead, a conservative approach of applying a Sun-Pointing Neutral (SPN) attitude configuration is utilized for long-term (2 year) orbit predictions where reliable planned attitude data is not available. SPN attitude mode aligns the net SRP force along the JWST-to-Sun vector where it becomes independent of the vehicle’s angle of rotation about this vector, defined as the Sun yaw. Given the dynamic instability of the libration orbit, station-keeping thrust must be applied in either the sunward or anti-sunward direction to balance the resulting orbit. The attitude constraints of the vehicle also impose limits on the available pointing directions for station-keeping thrusters. The thrusters cannot be aligned with the optimal pointing direction for sunward maneuvers, rendering sunward maneuvers to be significantly less fuel efficient than anti-sunward maneuvers. Consequently, station-keeping maneuvers must be targeted to balance the orbit while ensuring that the next maneuver will also be performed in the anti-sunward direction to optimize propellant usage. When targeting a station-keeping maneuver, the attitude and SRP modeling configuration which is applied to the predicted post-maneuver trajectory will dictate the direction of the subsequent station-keeping maneuver, assuming nominal propulsion system performance. If the predicted post-maneuver attitude states result in an SRP model which under-predicts the cumulative SRP impact on the post-maneuver orbit, a targeted anti-sunward maneuver will be larger than necessary and the next maneuver will need to be executed sunward in order to compensate. In contrast, an anti-sunward maneuver which is targeted using an SRP model which over-predicts the cumulative SRP impact will achieve station-keeping while ensuring that the next maneuver will likewise be performed anti-sunward. For this reason, station-keeping maneuvers are targeted while applying the SPN attitude mode, as this mode entails the largest possible SRP area cross-section and therefore a larger modeled cumulative SRP impact. This paper documents the NASA Goddard Space Flight Center’s FDF support for JWST on-orbit operations and the analysis projects undertaken utilizing the experiences and data accumulated throughout the first full year of routine science operations. The results of these analysis efforts have been used to implement improvements to orbit prediction accuracy and maneuver efficiency which have the potential to prolong the lifespan of JWST to continue to conduct ground-breaking infrared astronomy for decades to come.

Flight Dynamics↗