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Trade-offs between individual and ensemble forecasts of an emerging infectious disease

Probabilistic forecasts play an indispensable role in answering questions about the spread of newly emerged pathogens. However, uncertainties about the epidemiology of emerging pathogens can make it difficult to choose among alternative model structures and assumptions. To assess the potential for uncertainties about emerging pathogens to affect forecasts of their spread, we evaluated the performance 16 forecasting models in the context of the 2015-2016 Zika epidemic in Colombia. Each model featured a different combination of assumptions about human mobility, spatiotemporal variation in transmission potential, and the number of virus introductions. We found that which model assumptions had the most ensemble weight changed through time. We additionally identified a trade-off whereby some individual models outperformed ensemble models early in the epidemic, but on average the ensembles outperformed all individual models. Our results suggest that multiple models spanning uncertainty across alternative assumptions are necessary to obtain robust forecasts for emerging infectious diseases.

60 APPLIED LIFE SCIENCES↗

ProbabilisticRecalibration of Forecasts

In this work, we present a scheme by which a probabilistic forecasting system whose predictions have a poor probabilistic calibration may be recalibrated through the incorporation of past performance information in order to produce a new forecasting system that is demonstrably superior to the original, inasmuch as one may use it to win wagers consistently against someone who is using the original system. The scheme utilizes Gaussian process (GP) modeling to estimate a probability distribution over the probability integral transform (PIT) of a scalar predictand. The GP density estimate gives closed-form access to information entropy measures that are associated with the estimated distribution, which allows the prediction of winnings in wagers against the base forecasting system. A separate consequence of the procedure is that the recalibrated forecast has a uniform expected PIT distribution. One distinguishing feature of the procedure is that it is appropriate even if the PIT values are not i.i.d. The recalibration scheme is formulated in a framework that exploits the deep connections among information theory, forecasting, and betting. We demonstrate the effectiveness of the scheme in two case studies: a laboratory experiment with a nonlinear circuit and seasonal forecasts of the intensity of the El Nino-Southern Oscillation phenomenon.

54 ENVIRONMENTAL SCIENCES↗

The NASA Energy and Water Cycle Extreme (NEWSE) Integration Project

Skillful predictions of water and energy cycle extremes (flood and drought) are elusive. To better understand the mechanisms responsible for water and energy extremes, and to make decisive progress in predicting these extremes, the collaborative NASA Energy and Water cycle Extremes (NEWSE) Integration Project, is studying these extremes in the U.S. Southern Great Plains (SGP) during 2006-2007, including their relationships with continental and global scale processes, and assessment of their predictability on multiple space and time scales. It is our hypothesis that an integrative analysis of observed extremes which reflects the current understanding of the role of SST and soil moisture variability influences on atmospheric heating and forcing of planetary waves, incorporating recently available global and regional hydro- meteorological datasets (i.e., precipitation, water vapor, clouds, etc.) in conjunction with advances in data assimilation, can lead to new insights into the factors that lead to persistent drought and flooding. We will show initial results of this project, whose goals are to provide an improved definition, attribution and prediction on sub-seasonal to interannual time scales, improved understanding of the mechanisms of decadal drought and its predictability, including the impacts of SST variability and deep soil moisture variability, and improved monitoring/attributions, with transition to applications; a bridging of the gap between hydrological forecasts and stakeholders (utilization of probabilistic forecasts, education, forecast interpretation for different sectors, assessment of uncertainties for different sectors, etc.).

House, P. R.↗

Robust Deep Gaussian Process-Based Probabilistic Electrical Load Forecasting Against Anomalous Events

The abnormal events, such as the unprecedented COVID-19 pandemic, can significantly change the load behaviors, leading to huge challenges for traditional short-term forecasting methods. This article proposes a robust deep Gaussian processes (DGP)-based probabilistic load forecasting method using a limited number of data. Since the proposed method only requires a limited number of training samples for load forecasting, it allows us to deal with extreme scenarios that cause short-term load behavior changes. In particular, the load forecasting at the beginning of abnormal event is cast as a regression problem with limited training samples and solved by double stochastic variational inference DGP. The mobility data are also utilized to deal with the uncertainties and pattern changes and enhance the flexibility of the forecasting model. The proposed method can quantify the uncertainties of load forecasting outcomes, which would be essential under uncertain inputs. Extensive comparison results with other state-of-the-art point and probabilistic forecasting methods show that our proposed approach can achieve high forecasting accuracies with only a limited number of data while maintaining the excellent performance of capturing the forecasting uncertainties.

anomalous events↗

Data-Driven Probabilistic Anomaly Detection for Electricity Market under Cyber Attacks

Information and communication technologies have been widely used in smart grid for efficient operation. However, these technologies are vulnerable to malicious cyber attacks, which may lead to severe reliability and economic issues. Recently, a variety of data-driven anomaly detection approaches have been explored to detect potential cyber attacks in smart grids. In this paper, we researched on the electricity market data aiming to identify anomalies from the locational marginal prices (LMPs) and provide a new indicator for potential cyber attacks in power grids. Specifically, a novel data-driven probabilistic anomaly detection framework is proposed for electricity market, which consists of three major components: long short-term memory (LSTM) based deterministic electricity price forecasting, probabilistic electricity price forecasting and anomaly detection. This framework is tested on a model-based electricity market simulator under two types of cyber attacks, i.e., load redistribution attack (LRA) and price responsive attack (PRA). Numerical results on the simulated LMPs show that the proposed framework is capable of detecting data anomalies over these attacks.

29 ENERGY PLANNING, POLICY, AND ECONOMY↗

Using probabilistic solar power forecasts to inform flexible ramp product procurement for the California ISO

How can independent system operators (ISOs) take advantage of probabilistic solar forecasts to lower generation costs and improve reliability of power systems? We discuss one three-step approach for doing so, focusing on how such forecasts might help the California Independent System Operator (CAISO) prepare unexpected net load ramps, where net load equals gross demand minus wind and solar production. First, we enhance an existing solar forecasting system to provide well-calibrated hours-ahead probabilistic forecasts. We then relate the degree of uncertainty reflected in the forecasted prediction intervals (independent variables) to error distributions for net load ramp forecasts for the CAISO real-time market (dependent variable) using machine learning and quantile regression. Projected ramp forecast errors conditioned on solar uncertainty are translated into flexible ramp requirements that therefore reflect real-time meteorological and solar conditions, improving on typical ISO procedures. Detailed descriptions are provided on the quantile regression and kth-nearest neighbor categorization methods for accomplishing that translation. Finally, a multiple time-scale look-ahead market simulation model is applied to a 118-bus IEEE Reliability Test System, modified to represent the CAISO generation mix and demand distributions. The model runs quantify how solar-conditioned ramp requirements can, first, decrease operating costs by reducing requirements compared to often conservative unconditional methods and, second, decrease generation scarcity events and consequently improve reliability by increasing flexibility requirements at times when unconditional forecast-based requirements understate actual ramp uncertainty. Solar-conditioned ramp requirements are found to reduce generation operating costs by about 2% for the test system (which would be equivalent to over $\$100$ million per year for a CAISO-size system).

14 SOLAR ENERGY↗

ARPA-E PERFORM datasets

Time-coincident load, wind, and solar data including actual and probabilistic forecast datasets at 5-min resolution for ERCOT, MISO, NYISO, and SPP. Wind and solar profiles are supplied for existing sites as well as planned sites based on interconnection queue projects as of 2021. For ERCOT actuals are provided for 2017 and 2018 and forecasts for 2018, and for the remaining ISOs actuals are provided for 2018 and 2019 and forecasts for 2019. There datasets were produced by NREL as part of the ARPA-E PERFORM project, an ARPA-E funded program that aim to use time-coincident power and load seeks to develop innovative management systems that represent the relative delivery risk of each asset and balance the collective risk of all assets across the grid. For more information on the datasets and methods used to generate them see https://github.com/PERFORM-Forecasts/documentation.

5-min data↗

A Public-Private-Acadmic Partnership to Advance Solar Power Forecasting

The National Center for Atmospheric Research (NCAR) is pleased to have led a partnership to advance the state-of-the-science of solar power forecasting by designing, developing, building, deploying, testing, and assessing the SunCast™ Solar Power Forecasting System. The project has included cutting edge research, testing in several geographically- and climatologically-diverse high penetration solar utilities and Independent System Operators (ISOs), and wide dissemination of the research results to raise the bar on solar power forecasting technology. The partners include three other national laboratories, six universities, and industry partners. This public-private-academic team has worked in concert to perform use-inspired research to advance solar power forecasting through cutting-edge research to advance both the necessary forecasting technologies and the metrics for evaluating them. The project has culminated in a year-long, full-scale demonstration of provide irradiance and power forecasts to utilities and ISOs to use in their operations. The project focused on providing elements of a value chain, beginning with the weather that causes a deviation from clear sky irradiance and progresses through monitoring and observations, modeling, forecasting, dissemination and communication of the forecasts, interpretation of the forecast, and through decision-making, which produces outcomes that have an economic value. The system has been evaluated using metrics developed specifically for this project, which has provided rich information on model and system performance. Research was accomplished on the very short range (0-6 hours) Nowcasting system as well as on the longer term (6-72 hour) forecasting system. The shortest range forecasts are based on observations in the field. The shortest range system, built by Brookhaven National Laboratory (BNL) and based on Total Sky Imagers (TSIs) is TSICast, which operates on the shortest time scale with a latency of only a few minutes and forecasts that currently go out to about 15 min. This project has facilitated research in improving the hardware and software so that the new high definition cameras deployed at multiple nearby locations allow discernment of the clouds at varying levels and advection according to the winds observed at those levels. Improvements over “smart persistence” are about 29% for even these very short forecasts. StatCast is based on pyranometer data measured at the site as well as concurrent meteorological observations and forecasts. StatCast is based on regime-dependent artificial intelligence forecasting techniques and has been shown to improve on “smart persistence” forecasts by 15-50%. A second category of short-range forecasting systems employ satellite imagery and use that information to discern clouds and their motion, allowing them to project the clouds, and the resulting blockage of irradiance, in time. CIRACast (the system produced by the Cooperative Institute for Atmospheric Research [CIRA] at Colorado State University) was already one of the more advanced cloud motion systems, which is the reason that team was brought to this project. During the project timeframe, the CIRA team was able to advance cloud shadowing, parallax removal, and implementation of better advecting winds at different altitudes. CIRACast shows generally a 25-40% improvement over Smart Persistence between sunrise and approximately 1600 UTC (Coordinated Universal Time) . A second satellite-based system, MADCast (Multi-sensor Advective Diffusive foreCast system), assimilates data from multiple satellite imagers and profilers to assimilate a fully three-dimensional picture of the cloud into the dynamic core of WRF. During 2015, MADCast (provided at least 70% improvement over Smart Persistence, with most of that skill being derived during partly cloudy conditions. That allows advection of the clouds via the Weather Research and Forecasting (WRF) model dynamics directly. After WRF-Solar™ showed initial success, it was also deployed in nowcasting mode with coarser runs out to 6 hours made hourly. It provided improvements on the order of 50-60% over Smart Persistence for forecasts up to 1600 UTC. The advantages of WRF-Solar-Nowcasting and MADCast were then blended to develop the new MAD-WRF model that incorporates the most important features of each of those models, both assimilating satellite cloud fields and using WRF-So far physics to develop and dissipate clouds. MAE improvements for MAD-WRF for forecasts from 3-6 hours are improved over WRF-Solar-Now by 20%. While all the Nowcasting system components by themselves provide improvement over Smart Persistence, the largest benefit is derived when they are smartly blended together by the Nowcasting Integrator to produce an integrated forecast. The development of WRF-Solar™ under this project has provided the first numerical weather prediction (NWP) model specifically designed to meet the needs of irradiance forecasting. The first augmentation improved the solar tracking algorithm to account for deviations associated with the eccentricity of the Earth’s orbit and the obliquity of the Earth. Second, WRF-Solar™ added the direct normal irradiance (DNI) and diffuse (DIF) components from the radiation parameterization to the model output. Third, efficient parameterizations were implemented to either interpolate the irradiance in between calls to the expensive radiative transfer parameterization, or to use a fast radiative transfer code that avoids computing three-dimensional heating rates but provides the surface irradiance. Fourth, a new parameterization was developed to improve the representation of absorption and scattering of radiation by aerosols (aerosol direct effect). A fifth advance is that the aerosols now interact with the cloud microphysics, altering the cloud evolution and radiative properties, an effect that has been traditionally only implemented in atmospheric computationally costly chemistry models. A sixth development accounts for the feedbacks that sub-grid scale clouds produce in shortwave irradiance as implemented in a shallow cumulus parameterization Finally, WRF-Solar™ also allows assimilation of infrared irradiances from satellites to determine the three dimensional cloud field, allowing for an improved initialization of the cloud field that increases the performance of short-range forecasts. We find that WRF-Solar™ can improve clear sky irradiance prediction by 15-80% over a standard version of WRF, depending on location and cloud conditions. In a formal comparison to the NAM baseline, WRF-Solar™ showed improvements in the Day-Ahead forecast of 22-42%. The SunCast™ system requires substantial software engineering to blend all of the new model components as well as existing publically available NWP model runs. To do this we use an expert system for the Nowcasting blender and the Dynamic Integrated foreCast (DICast®) system for the NWP models. These two systems are then blended, we use an empirical power conversion method to convert the irradiance predictions to power, then apply an analog ensemble (AnEn) approach to further tune the forecast as well as to estimate its uncertainty. The AnEn module decreased RMSE (root mean squared error) by 17% over the blended SunCast™ power forecasts and provided skill in the probabilistic forecast with a Brier Skill Score of 0.55. In addition, we have also developed a Gridded Atmospheric Forecast System (GRAFS) in parallel, leveraging cost share funds. An economic evaluation based on Production Cost Modeling in the Public Service Company of Colorado showed that the observed 50% improvement in forecast accuracy will save their customers $819,200 with the projected MW deployment for 2024. Using econometrics, NCAR has scaled this savings to a national level and shown that an annual expected savings for this 50% forecast error reduction ranges from $11M in 2015 to $43M expected in 2040 with increased solar deployment. This amounts to a $455M discounted savings over the 26 year period of analysis.

14 SOLAR ENERGY↗

Managing Uncertainty and Flexibility in Day-Ahead Electricity Markets

Net load imbalances from day ahead forecasts can lead to significant grid operations costs and are expected to increase as variable renewable energy adoption grows. We propose a new wholesale market product to manage the risk of net load imbalances called Flexibility Options. This product relies on probabilistic forecasts to estimate flexibility demand and would be co-optimized in the day-ahead market. We also propose stochastic methods that enable DER and flexible load aggregators to participate in flexibility markets while considering the uncertainty in weather and occupant behavior.

day-ahead market↗

Integration of Weather Data into Airspace and Traffic Operations Simulation (ATOS) for Trajectory- Based Operations Research

Explicit integration of aviation weather forecasts with the National Airspace System (NAS) structure is needed to improve the development and execution of operationally effective weather impact mitigation plans and has become increasingly important due to NAS congestion and associated increases in delay. This article considers several contemporary weather-air traffic management (ATM) integration applications: the use of probabilistic forecasts of visibility at San Francisco, the Route Availability Planning Tool to facilitate departures from the New York airports during thunderstorms, the estimation of en route capacity in convective weather, and the application of mixed-integer optimization techniques to air traffic management when the en route and terminal capacities are varying with time because of convective weather impacts. Our operational experience at San Francisco and New York coupled with very promising initial results of traffic flow optimizations suggests that weather-ATM integrated systems warrant significant research and development investment. However, they will need to be refined through rapid prototyping at facilities with supportive operational users We have discussed key elements of an emerging aviation weather research area: the explicit integration of aviation weather forecasts with NAS structure to improve the effectiveness and timeliness of weather impact mitigation plans. Our insights are based on operational experiences with Lincoln Laboratory-developed integrated weather sensing and processing systems, and derivative early prototypes of explicit ATM decision support tools such as the RAPT in New York City. The technical components of this effort involve improving meteorological forecast skill, tailoring the forecast outputs to the problem of estimating airspace impacts, developing models to quantify airspace impacts, and prototyping automated tools that assist in the development of objective broad-area ATM strategies, given probabilistic weather forecasts. Lincoln Laboratory studies and prototype demonstrations in this area are helping to define the weather-assimilated decision-making system that is envisioned as a key capability for the multi-agency Next Generation Air Transportation System [1]. The Laboratory's work in this area has involved continuing, operations-based evolution of both weather forecasts and models for weather impacts on the NAS. Our experience has been that the development of usable ATM technologies that address weather impacts must proceed via rapid prototyping at facilities whose users are highly motivated to participate in system evolution.

Peters, Mark↗

Diffusion Probabilistic Modeling for Video Generation

Denoising diffusion probabilistic models are a promising new class of generative models that mark a milestone in high-quality image generation. This paper showcases their ability to sequentially generate video, surpassing prior methods in perceptual and probabilistic forecasting metrics. We propose an autoregressive, end-to-end optimized video diffusion model inspired by recent advances in neural video compression. The model successively generates future frames by correcting a deterministic next-frame prediction using a stochastic residual generated by an inverse diffusion process. We compare this approach against six baselines on four datasets involving natural and simulation-based videos. We find significant improvements in terms of perceptual quality and probabilistic frame forecasting ability for all datasets.

97 MATHEMATICS AND COMPUTING↗

Managing Wind Power Uncertainty Through Strategic Reserve Purchasing

With the rapidly increasing penetration of wind power, wind producers are becoming increasingly responsible for the deviation of the wind power output from the forecast. Such uncertainty results in revenue losses to the wind power producers (WPPs) due to penalties in ex-post imbalance settlements. This paper explores the opportunities available for WPPs if they can purchase or schedule some reserves to offset part of their deviation rather than being fully penalized in the real time market. The revenue for WPPs under such mechanism is modeled. The optimal strategy for managing the uncertainty of wind power by purchasing reserves to maximize the WPP's revenue is analytically derived with rigorous optimality conditions. The amount of energy and reserves that should be bid in the market are explicitly quantified by the probabilistic forecast and the prices of the energy and reserves. A case study using the price data from ERCOT and wind power data from NREL is performed to verify the effectiveness of the derived optimal bidding strategy and the benefits of reserve purchasing. Additionally, the proposed bidding strategy can also reduce the risk of variations on WPP's revenue.

17 WIND ENERGY↗

Pro2R: Procurement of Ramping Product and Regulation in CAISO Using Probabilistic Solar Power Forecasts

This presentation summarizes the objectives and findings from the project titled, "Pro2R: Coordinated Procurement of Ramping Product & Regulation in CAISO Using Probabilistic Solar Power Forecasts," funded by DOE SETO. The goal is to develop cutting edge probabilistic solar power forecasting methods, and integrate them into ISO market operations. The team has integrated in two ways: 1) to procure ramping product and regulation requirements (ancillary services) in the California ISO market, and 2) to develop an open source visitation and ramp alert related situational awareness using probabilistic forecasts. This deck also summarizes the results from the use of machine learning methods to relate probabilistic solar forecasts to the the needs for flexible ramp product in the California ISO system.

41 EE - Solar Energy Technologies Office (EE-4S)↗

The United States COVID-19 Forecast Hub dataset

Academic researchers, government agencies, industry groups, and individuals have produced forecasts at an unprecedented scale during the COVID-19 pandemic. To leverage these forecasts, the United States Centers for Disease Control and Prevention (CDC) partnered with an academic research lab at the University of Massachusetts Amherst to create the US COVID-19 Forecast Hub. Launched in April 2020, the Forecast Hub is a dataset with point and probabilistic forecasts of incident cases, incident hospitalizations, incident deaths, and cumulative deaths due to COVID-19 at county, state, and national, levels in the United States. Included forecasts represent a variety of modeling approaches, data sources, and assumptions regarding the spread of COVID-19. The goal of this dataset is to establish a standardized and comparable set of short-term forecasts from modeling teams. These data can be used to develop ensemble models, communicate forecasts to the public, create visualizations, compare models, and inform policies regarding COVID-19 mitigation. These open-source data are available via download from GitHub, through an online API, and through R packages.

60 APPLIED LIFE SCIENCES↗

A model of subjective probabilities from small groups

Methods for aggregating the opinions of individual forecasters in order to improve the quality of probabilistic forecasts are presented. Experimental results obtained by Seaver in his study of probability judgments by groups of four people are considered. The decision variable partition model of subjective probability and a simple model of the effects of interaction on judgments were used to simulate the group judgment of discrete probabilities investigated by Seaver. The initial results of the simulation are very promising in that (1) they show the principal effects Seaver observed and (2) these effects can, for the most part, be traced to specific characteristics of the models.

Ferrell, W. R.↗

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↗